Rebuilding Sustainable Communities for Children and their Families after Disasters : A Global Survey [1 ed.] 9781443818209, 9781443817769

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Rebuilding Sustainable Communities for Children and their Families after Disasters

Rebuilding Sustainable Communities for Children and their Families after Disasters: A Global Survey

By

Adenrele Awotona

Rebuilding Sustainable Communities for Children and their Families after Disasters: A Global Survey, by Adenrele Awotona This book first published 2010 Cambridge Scholars Publishing 12 Back Chapman Street, Newcastle upon Tyne, NE6 2XX, UK British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library Copyright © 2010 by Adenrele Awotona All rights for this book reserved. No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owner. ISBN (10): 1-4438-1776-7, ISBN (13): 978-1-4438-1776-9

TABLE OF CONTENTS

List of Figures............................................................................................. ix List of Tables .............................................................................................. xi Acknowledgements .................................................................................. xiii Introduction ............................................................................................. xvii Adenrele Awotona PART I: CROSS-CUTTING THEMES Chapter One ................................................................................................. 3 A Sociological Perspective on Disasters Russell K. Schutt Chapter Two .............................................................................................. 13 A Gendered Human Rights Approach to Rebuilding after Disaster Elaine Enarson Chapter Three ............................................................................................ 29 Place Loss and Rebuilding Sustainable Communities Mindy Thompson Fullilove and Robert E. Fullilove Chapter Four .............................................................................................. 43 Three Answers to Urban Poverty: Consistent Leadership, Organizational Partnerships, and Faith Community Involvement Jonathan Wortmann, Robert Bachelder and Paul Block Chapter Five .............................................................................................. 69 Participatory Video as a Tool for Rebuilding Communities for Children and Youth in the Aftermath of Disaster: A Proposal Myra Margolin Chapter Six ................................................................................................ 83 Rebuilding Sustainable Communities after Disasters: Municipal Emergency Preparedness for Special Populations Sonja Darai

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Chapter Seven............................................................................................ 95 A Practical Guide for Assistance Organizations—Avoiding Dangerous Dependencies and Achieving Sustainable Prevention and Mitigation of Disaster Impacts in Communities John W. Barbee Chapter Eight ........................................................................................... 105 From Emergency Relief to Livelihood Recovery after the Tsunami: What Post-Disaster Management Lessons? Philippe Régnier Chapter Nine............................................................................................ 121 The Nature of Psychosocial Resilience and its Significance for Managing Mass Emergencies, Disasters and Terrorism Richard Williams and John Drury PART II: REBUILDING SUSTAINABLE COMMUNITIES FOR CHILDREN Chapter Ten ............................................................................................. 151 The Impact of Violence and Disaster on Children and How to Help them Heal and Thrive Afterwards Diane E. Levin Chapter Eleven ........................................................................................ 159 Katrina and Kids: The Impact, the Sequelae Chester Hartman and Gregory D. Squires Chapter Twelve ....................................................................................... 171 The Role of Schools in Rebuilding Sustainable Communities after Disasters Beryl Cheal Chapter Thirteen ...................................................................................... 185 “Child Participation”: A Concept to Consider—Lessons Learnt from Ecuador Cecile de Milliano and Pat Gibbons

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Chapter Fourteen ..................................................................................... 207 The Dilemma of Reintegrating Child Soldiers in Nepal: An Analysis from Child Rights NGO Perspectives Sanjaya Aryal Chapter Fifteen ........................................................................................ 223 Using Songs as an Effective Educational Tool for Teaching Disasters to Preschoolers Yasamin O. Izadkhah and Mahmood Hosseini PART III: REBUILDING SUSTAINABLE COMMUNITIES AFTER WARS Chapter Sixteen ....................................................................................... 239 The Lebanese in Post-Conflict Liberia Shelby Grossman Chapter Seventeen ................................................................................... 259 Female Ex-Child Soldiers: A Case Study of East and West Africa Grace Oyebola Adetula Chapter Eighteen ..................................................................................... 277 War and Misunderstanding: Errors of Judgment in Colombian Job-Training Policies Alvaro Gallardo and Humberto García PART IV: REBUILDING SUSTAINABLE ENERGY INFRASTRUCTURE Chapter Nineteen ..................................................................................... 289 Rebuilding Critical Energy Assets in Times of Disaster: Strategies for a Resilient System Justin Dargin Chapter Twenty Energy as a Compounding Disaster Component ..................................... 303 Michael Donlan

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PART V: DISASTERS AND INNOVATIVE SOLUTIONS Chapter Twenty-One ............................................................................... 335 Disasters as a Chance to Implement Novel Solutions that Highlight Attention to Human Dignity Evelin Lindner Chapter Twenty-Two............................................................................... 359 Social and Economic Mobility for the Roma in Hungary: A Look at Government Initiatives and International Responses Nichole Fiore Bibliography ........................................................................................... 375 List of Contributors ................................................................................. 429 Index ....................................................................................................... 449

LIST OF FIGURES

3.1. Two Views of the Bronx .................................................................... 38 8.1. Sustainable Livelihood Recovery .................................................... 107 9.1. The Broad Spectrum of Psychosocial Responses to Disasters ......... 128 9.2. The Relationships of the Concepts that Relate to Resilience ........... 134 9.3. The NATO Model of Care ............................................................... 145 10.1. The Continuum of Violence in Children’s Lives ........................... 152 13.1. The Virtuous Sequence of Participation ........................................ 188 13.2. The RED’s Dual Understanding of Child Participation ................. 192 13.3. The Components of the Cycle of Child Participation .................... 192 13.4. The Process of Child Participation in Building Sustainable Communities with Organizations ........................................................... 196 13.5. Indication of Differences in Perceptions between Field Workers (RED) and Adolescents (FA and AL) ...................................... 201 15.1. Audio Tape for Teaching Earthquake Safety in the Form of a Rhythmic Song ....................................................................................... 224 15.2. Children Sing the “Earthquake and Safety” Song in the Annual Drills .......................................................................................... 226 15.3. Children Singing the “Earthquake and Safety” Song while Marching to their Bus in the 2008 Annual Drill ..................................... 226 15.4. Children Singing the “Earthquake and Safety” Song in their Kindergarten ........................................................................................... 227 21.1. The Historic Transition to Equal Dignity ...................................... 343

LIST OF TABLES

3.1. Table of Losses ................................................................................... 36 4.1. A Comparison of Population and Median Household Income from 1970 to 2006 ....................................................................... 66 8.1. Critiques of Post-Tsunami Relief .................................................... 108 9.1. The Nature of Resilience ................................................................. 131 9.2. Resilience Factors ............................................................................ 133 10.1. Summary: Understanding and Helping Young Children with Violence and Disasters ................................................................... 157 18.1. Basic Elements of a Sustainability Proposal .................................. 283

ACKNOWLEDGEMENTS

Most of the essays in this edited volume were originally presented at the November 2008 International Conference on Rebuilding Sustainable Communities for Children and their Families after Disasters that was held at the University of Massachusetts Boston in the United States of America. In addition to our esteemed program participants, I would like to acknowledge the following people and organizations for their efforts to make the conference a success: Alice Barton-Joumaa, Massachusetts Department of Education; Alkia Powell, John W. McCormack Graduate School of Policy Studies University of Massachusetts Boston; Angela Devlen, President, Mahila Partnership (a Grassroots NGO partner of the Center for Rebuilding Sustainable Communities after Disasters and a cosponsor of the conference); Ann-Marie Kent, Senior Staff Writer, University Communications and Community Relations, University of Massachusetts Boston; Arthur Cleaves, Regional Administrator, Federal Emergency Management Agency; Asgedet Stefanos, College of Public and Community Service, University of Massachusetts Boston; Barbara Lewis, Director, William Monroe Trotter Institute for the Study of Black Culture, University of Massachusetts Boston (a co-sponsor of the conference); Bill Clifford, Executive Director, WorldBoston; Candyce Carragher, John W. McCormack Graduate School of Policy Studies University of Massachusetts Boston; Carol Darcy, Vice President for the World Organization for Early Childhood Education, United States National Committee and acting secretary of the UNICEF NGO Committee on the Working Group on Education; Christine DePalma, Communications Coordinator, Office of the Vice Chancellor for Academic Affairs, University of Massachusetts Boston; Christopher Hogan, Chief of Staff, Chancellor’s Office, University of Massachusetts Boston; Darrel Byers, Vice Chancellor, University Advancement, University of Massachusetts Boston; DeWayne Lehman, Director of Communications, University of Massachusetts Boston; Diane Levin, Professor of Education, Wheelock College, Boston; Eileen McHenry and Michael Carroll, Romanian Children Relief Fund; J. Keith Motley, Chancellor, University of Massachusetts Boston; Jane O’Brien Friederichs, Dean Division of Social Sciences and Professional Studies, MassBay Community College, Wellesley, Massachusetts; Jeffrey Mitchell, University Editor, University of Massachusetts Boston; Jennifer Brunson, Research Assistant, Center for

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Rebuilding Sustainable Communities after Disasters (CRSCAD), University of Massachusetts Boston; John Ciccarelli, Associate Vice Chancellor for Government Relations, Public Affairs, and Economic Development, University of Massachusetts Boston; Jon Hutton, Director of Enrollment Information Services, Office of Enrollment Management, University of Massachusetts Boston; Judith Roberts, Former Assistant to the Dean for Special Projects, College of Public and Community Service, University of Massachusetts Boston; Judy Byrne-Ariel, University of Massachusetts Boston; Kaushik Prakash, Communications Research Associate, University of Massachusetts Boston; Lisa Van Thiel, Institute for Community Inclusion, University of Massachusetts Boston; Lauren Tredeau, Scheduling and Event Logistics Manager, Campus Center Operations, University of Massachusetts Boston; Lisa Johnson, Associate Vice Chancellor, Office of Enrollment Management, University of Massachusetts Boston; Marcellette G. Williams, Senior Vice President, Academic Affairs, Student Affairs and International Relations, University of Massachusetts; Michael F. Donlan, Adjunct Professor and Research Affiliate, Center for Rebuilding Sustainable Communities after Disasters (CRSCAD), University of Massachusetts Boston; Patricia Monteith, Executive Director, WUMB Public Radio Network, University of Massachusetts Boston; Paul Breslin, Quinn Graphics Production Supervisor, Central Reprographics, University of Massachusetts Boston; Peter Adams, Director of Communication and Information Technology, College of Public and Community Service, University of Massachusetts Boston; Philip O’Donnell, Director, Public Safety, University of Massachusetts Boston; Rachael Wilcox, Administrative Assistant, Center for Rebuilding Sustainable Communities after Disasters (CRSCAD), University of Massachusetts Boston; Rasheeda Herbert, Research Assistant, Center for Rebuilding Sustainable Communities after Disasters (CRSCAD), University of Massachusetts Boston; Robert Weiner, Professor of Political Science, University of Massachusetts, Boston; Rose Coveney, Senior Graphic Designer, University Communications and Community Relations, University of Massachusetts Boston; Russell K. Schutt, Professor of Sociology, University of Massachusetts, Boston; Sarah Weatherbee, Art Director, Marketing and Communications, University of Massachusetts Boston; Sodexho Catering, University of Massachusetts Boston; Stanley Stewart, Public Safety Special Services, Sergeant Detective Special Supervisor; Steve Crosby, Dean, John W. McCormack Graduate School of Policy Studies; Will Kilburn, Assistant Director of Public Information and Public Relations, University of Massachusetts Boston; William (“Russ”) Webster, Federal Preparedness

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Coordinator, Region 1, Federal Emergency Management Agency; Winston Langley, Interim Provost, University of Massachusetts Boston; and Marita Labedz Poll, Associate Vice Chancellor for Student Affairs/Dean of Students. In addition to these people, there were many others who worked tirelessly on this event. I thank all of them as well.

Adenrele Awotona Center for Rebuilding Sustainable Communities after Disasters (CRSCAD) University of Massachusetts Boston USA

INTRODUCTION

Disasters inflict massive suffering, and too little attention is accorded to societies’ most vulnerable members—namely, the children. Children’s special needs during catastrophic events are often neglected as the adults involved deal with their own anguish and trauma and the seemingly more immediate issues of responding to the disaster. The following are some dramatic data. In the report by the United Nations Children’s Fund (UNICEF, 2007), the conditions of children worldwide portrayed a picture of concern that requires an immediate intervention. According to the report, an estimated twenty million children have been forced to flee their homes because of conflict and human rights violations. Many of them either are living as refugees in neighboring countries or are officially classified as internally displaced population. The UNICEF report shows that two million children have died as a direct result of armed conflict over the past decade, and at least six million have been permanently disabled or seriously injured. More than one million have been orphaned or separated from their families. Records show that between 8,000 and 10,000 children are killed or maimed by landmines every year, and an estimated 300,000 child soldiers —boys and girls under the age of eighteen—are involved in more than thirty conflicts worldwide. Furthermore, the UNICEF report indicates that during the unprecedented 1994 genocide in Rwanda, many teenage girls aged twelve and above who survived the genocide were raped. Similarly, during the conflict in the former Yugoslavia, over 20,000 females were reported to have been sexually assaulted. The overall effect of conflicts, like the ones in Rwanda and Yugoslavia, is the break-up of the families, and women in general are the ones who carry the additional economic and emotional burdens of the surviving communities. The UNICEF report concludes that children, who are very vulnerable to the aftermaths of conflicts, require special care and attention. Unfortunately, these children are often forgotten and left to take care of themselves until the next disaster (UNICEF, “The State of the World’s Children”, 2007). Globally, millions more have suffered death, disease and dislocation as a result of such natural disasters as earthquakes, droughts and floods. Even in apparently stable environments—such as Boston, the site of this conference, where the murder rate is at a ten-year high—epidemic violence

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endlessly harms lives and communities. And even when emergency relief is available, permanent human damage remains. Here again, all too often, families fall apart, women are assaulted and degraded, and children are left to take care of themselves. An international conference with a focus on the creation of a sustainable, just, secure and disaster resilient community for children and their families. How can communities recover from disasters in ways that permanently protect and empower their most vulnerable members? In order to attempt to answer this question, the Center for Rebuilding Sustainable Communities after Disasters at the University of Massachusetts at Boston convened a four-day international conference in November 2008. It was entitled “Rebuilding Sustainable Communities for Children and their Families after Disasters.” The conference focused on five main objectives. These were: • The role of gender equality in alleviating poverty and assisting children, their families and their communities after disasters; • The status of children and women in various communities after disasters and the continuing need for superior research and appropriate data; • The roles of governments, the private sector, and non-governmental organizations; • The promotion of human dignity in the creation of sustainable environments that empower families in the aftermath of disasters; and • Sexual violence in disasters. The conference presenters and panelists came from all the continents of the world and from many different disciplines. There were fourteen panel sessions altogether, which addressed the following topics, amongst many others: • Sociological perspective on disasters; • A gendered human rights approach to rebuilding after disaster; • Municipal emergency preparedness for special populations; • Poverty as an ongoing disaster in the United States of America; • The role of schools in rebuilding sustainable communities after disasters; • Disaster and trauma: lessons from Katrina and elsewhere; • When the Cameras Leave: Journeys of Recovery; • Understanding the impact of disasters on children and helping them heal and thrive afterwards;

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• Everybody’s child: supporting children in emergency situations; • Child participation: a concept to consider in (re)building sustainable communities in disaster prone urban areas: Lessons learnt from Ecuador; • The impact of HIV/AIDS on children in Uganda: case studies from the work of the Family Support Initiative – Uganda; • One drop of water: involving children in long-term disaster relief; • Building community resilience; • The Lebanese in post-conflict Liberia; female ex-child soldiers: case studies for East and West Africa; • Women and national reconstruction: Eritrea after its thirty-year war of independence; • War and misunderstanding: errors of judgment in Colombian jobtraining policies; • Building communities after the Indian Ocean Tsunami: micro-credit self-help groups for widows and abandoned women; • Rebuilding sustainable communities in the African context; • Dilemma in reintegration of child soldiers in Nepal: an analysis from child rights NGO perspectives; • Using songs as educational tools for teaching disasters to preschoolers; • Rebuilding sustainable communities for children orphaned by the 2004 Aceh Tsunami; • Disasters as a chance to implement novel solutions that highlight attention to human dignity; • Lessons to learn: roles of government, private sector and NGOs in disaster reconstruction in fragile states and impoverished communities; • The global food crisis and long-term food security; • Trauma, war and disaster: recent advances in our understanding of post-traumatic stress disorder; and • Sexual violence in disasters. The conference sought to contribute to and recommend future policy formulation and implementation processes by local, regional and national governments as well as multilateral agencies and grass-roots organizations. Specialists from various disciplines (health, education, social sciences, public policy, community planning, etc.) made many observations and recommendations on how to reconstruct sustainable communities that would be safe for children and their families after disasters. These included the following:

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1) Meeting children’s needs must be given a higher priority in disaster situations than is generally the case today. 2) Develop best practices for the development and implementation of comprehensive risk reduction or preparedness plans for schools. These should include involving children directly in the process in age-appropriate ways. 3) Work to increase awareness of the needs of children and families immediately after a disaster, including making shelters safe for children, both physically and psychologically. 4) Help communities prepare for their most vulnerable populations prior to a disaster. 5) If conditions are in place, child participation should be considered as a method for implementing child-centred community development in (re)building disaster-prone urban areas. 6) In the short term, create comprehensive programs for traumatized children that address the full-range of their basic needs. In the longer term, develop the capacity for the children to become contributing members of the community as they grow up. 7) Create policies for China such as realistic pricing that make people realize the true value of water as a scarce resource. 8) Work to improve the quality of education about the sustainability of scarce resources such as water. 9) Research the steps necessary to impact federal law in such a way that housing in disaster areas would be considered a right, rather than merely a product for profit. 10) Establish a public commission to enforce participatory principles so that major decisions affecting quality of life must factor in community knowledge and opinion. 11) Reach out to management at Boston’s MyTown with the objective of investigating the feasibility of creating a similar teen-based walking tour organization in New Orleans. 12) The spirit of human rights (not just their legal aspects), namely the emphasis on human dignity, should be mainstreamed in disaster management, and in human intervention in general. 13) Strategies, approaches and methods for any type of disaster management have to adopt best practices for the promotion of human dignity for the creation or rebuilding of sustainable environments for communities after disasters. This approach must start from the conviction that any development cannot be sustainable unless disaster mitigation is built into the development process. The cornerstone of this method is “the part to whole” and

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“the whole to part” approach along with a “multi-disciplinary and multi-sectoral” approach that incorporates risk reduction in the developmental plans, processes and policies/strategies after disasters. This can be achieved through institutions and charitable trusts, such as Rotary International. 14) Disasters can offer a chance. When old solutions fail, space opens for new solutions. Solutions that were “unthinkable” before, solutions for which there was no political will earlier, become “thinkable.” Disasters can open space for the implementation of novel solutions that highlight attention to human dignity. For example, victims of disasters can be encouraged to become cocreators of interventions, rather than merely recipients of help, thus counteracting the tendency that help can have humiliating effects. Since disasters disrupt established life, they even entail the potential to open more space for empowerment than was present prior to the event. 15) Not only economic but also ecological crises must be monitored and their damaging impact preventively mitigated or completely avoided. Institutions, rules, practices need to be put in place. Planners of nuclear power plants cannot afford to neglect foreseeing disaster, including disaster caused by human error or human malice. They have to put in place institutional structures, rules, and practices that continuously monitor the situation and prevent problems from arising. 16) To discuss reconstruction, we must embrace the community as a whole, including the ethnic, political, religious and other minority populations with rooted identities there. Like women and children, these groups’ vulnerabilities are typically magnified by a disaster. Planners must fuse physical, social and political elements to create flexible, integrated planning frameworks for building capacities as well as objects. With a vision of community-led recovery, outsiders can play a role to facilitate—without dominating—fruitful relations (state-civil society, majority-minority) among adversaries to sustain rebuilding, especially in large-scale disasters. Accepting that planners are guests in others’ communities, which ultimately control our shared success, is essential. 17) Very many disasters have global proportions, thus, merely local and regional responses are often inadequate in dealing with them. 18) In the absence of strong geopolitical countering, energy-related disasters will soon reach inexorable points-of-no-return. Indeed, disaster-responding institutions (and any other savvy leadership

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cadre) should raise a hue-and-cry so as to increase the priority of heading off energy-related disasters. 19) It is necessary that a globalized response be undertaken to deal with global problems. In particular, a global response should be initiated using energy as the crux of the solution to our geopolitical problems; primarily to deal with climate change and peak oil. 20) In Niger, rated the world’s poorest country by the UNDP Human Development Index in 2006, over 60 percent of the population lives on less than US$1 a day. To further complicate issues, the country has been wracked with several major droughts, locust swarms, famines, and rebellions over the past thirty-five years. It is necessary that the international community undertake the issues of ethnic reconciliation amongst the Tuareg people and the central government of Niger, in order to forestall a conflict that has the potential to mirror the Rwandan genocide. 21) The civil rights of all minority groups in the Sahel region should be guaranteed, with international observers making certain that the government of Niger upholds its part of the social contract. 22) Further, the food crisis has a direct impact on ethnic relations in the region, and should be considered a crux in any regional peace plan with the restive Tuareg people. 23) Perhaps the most important problem facing society is the food and water crisis. It is/will be the cause of civil disturbances and the collapse of societies. 24) Demand for food in the developing world is expected to double within the next twenty-five to fifty years. 25) One of the most important policy recommendations is to stop the use of farmland to grow biofuels, which puts upward pressure on the price of food. 26) Further, the world should return to a grain-based diet and use meat sparingly. In conjunction with a grain-based diet, farming efficiency should be increased in order to assist with world-wide rising food demand. 27) The US national energy grid is overly regional, inflexible and vulnerable to supply disruptions. It should be reformed through the incorporation of “smart” technology, such as advanced metering and energy efficiency measures. Further, decentralized energy assets (DEA) should be used to run parallel with the national grid; thus, in times of electricity disruption, DEAs should smoothly take over and ensure minimal disruption. Use of DEAs for critical facilities such as hospitals, military bases and police stations is

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essential to make certain that a disaster does not spiral out of control through lack of energy to assist the first responders. The conference presentations graphically illustrated that there were many diverse ways to meet children’s needs effectively when disaster strikes, but that there were also common issues and themes that must be addressed.

Structure of the Book This book is based on papers that were presented at the conference by academics and practitioners. It consists of five parts. Part 1 examines cross-cutting themes and has nine chapters. In Chapter One, Russell K. Schutt presents five lessons gleaned from sociological research on disasters ranging from the 1927 Great Mississippi Flood and the 1973 Buffalo Creek mining disaster to the 1993 Chicago heat and 2005’s Hurricane Katrina. These lessons highlight the role of social forces in shaping the causes, course and consequences of every disaster, the social factors that shape the interpretation of disasters, and the importance of informal social ties for community recovery. In Chapter Two Elaine Enarson explores gender and human security concerns. She makes a case for gender-inclusive post-disaster recovery based on appreciation of the rights of women and children. She then offers a vision of sustainable recovery that ensures women’s full and equal participation in creating a just, safe and disaster resilient community for themselves and for their children. In Chapter Three Mindy Fullilove and Robert E. Fullilove examine the extremely injurious costs of the recurring dislodgment of minority and poor populations in the US as a result of public policies which are geared towards new development for the well-heeled rather than neighborhood solidity. They then present a multifaceted set of interventions which are necessary to turn around social breakup and re-establish broken communities in a sustainable manner. In Chapter Four Jonathan Wortmann, Robert Bachelder and Paul Block examine the ongoing disaster of poverty through a qualitative study of three urban environments in the US. They argue that urban poverty is a disaster because it spawns “violence, homelessness, hunger and the resulting hopelessness that makes healthy families a dream and strong, educated children the exception.” They then posit that the “three factors which facilitate sustainable environments for children and their families”

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in the inner city are “consistent leadership, organizational partnerships and faith community involvement.” In Chapter Five Myra Margolin documents how she uses participatory video—most recently in a project in Rwanda—as a tool to amplify the voices of those who do not have a say in issues and decisions that impact on their lives. She explains that in a participatory video project, the production process is placed in the hands of affected individuals whose voices are often unheard, so that the production process itself becomes a transformative experience. Used in this way, the video production process fosters communication within and between groups, challenges dominant narratives, and identifies needed policy changes. The video can serve as a tool for advocacy, reflection, documentation and investigation of the impact of disasters. In Chapter Six Sonja Darai reviews challenges faced when initiating emergency preparedness outreach and education in a diverse population in a small, resource-challenged city in the United States of America. She proposes that municipal-level emergency preparedness for special populations requires “a community-wide approach based on confidence building, steady engagement and flexible outreach.” In Chapter Seven John Barbee shares lessons from his experiences in community development and conflict mitigation after disasters in countries ranging from Afghanistan and Tajikstan to Iraq and Malawi. He highlights the importance of building community after natural disasters and military conflicts. Because he has observed frequent post-disaster polarization between groups, he emphasizes the need to bring people together to identify shared needs. Similarly, because he has witnessed provision of “technical expertise” by outside organizations without regard to local context, he stresses the importance of developing solutions grounded in the lived experiences of local residents. In Chapter Eight Philippe Régnier uses two field case studies in Aceh (Indonesia) and Tamil Nadu (India) to investigate the issue of posttsunami livelihood recovery through economic rehabilitation. He illustrates how post-tsunami promotion of micro-entrepreneurship activities led to the generation of employment and income among the affected populations. In Chapter Nine Richard Williams and John Drury review the definitions, nature of and theories for resilience, the very variable prevalence of mental disorders after major incidents and the distinction between distress and disorder. They examine the implications of the concepts of personal and collective resilience, their theoretical

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underpinnings, and evidence from research on recent major incidents for managing mass emergencies, disasters and major incidents. Part 2 focuses on rebuilding sustainable communities for children and has six chapters. It begins with Chapter Ten by Diane Levin. She explores the many kinds of violence and trauma in the daily lives of children growing up in today’s world and how these experiences affect their behavior, development and needs. She suggests that the global community must deal with the root causes of the increasing levels of violence and disaster in many children’s lives. She also notes that by working with families, promoting more positive development and behavior when disaster strikes, and creating a safe and respectful environment where children can directly experience the alternatives to the disasters in their lives, we will be helping them learn about peace and nonviolence in the way they learn best.

The authors of Chapter Eleven are Chester Hartman and Gregory D. Squires. The August 2005 Gulf Coast hurricanes were some of the most dramatic and traumatic events in the nation’s history, the effects of which are still potent more than three years later. For children and families, the principal impacts have been in the areas of health, housing and schooling. This chapter details these impacts and their causes—in particular relating them to the structural issues of race and class that created disparate impacts for different population groups in New Orleans. In Chapter Twelve, Beryl Cheal observes that destructive events that we call “natural” disasters are, in fact, natural events of nature. They only become “natural disasters” when the effects of those events collide with human activities. It is possible, therefore, for communities to mitigate these powerful events and reduce their impact. She then proposes that schools can play a major role in that mitigation by going through the process of preparedness with children and adults at school as well as by participating with the larger community in developing risk reduction plans. Children participating, actually taking the lead, in the process of risk reduction strengthens protective factors that “protect” them against the effects of a hazard, both in the short and longer term. Children of all ages can help in this process with age-appropriate activities. Beryl Cheal concludes that such activities help children become more confident in their own capabilities and can lead to the feelings of a young girl in the Philippines when she declared, “I’m not scared of any disasters anymore, because I already know what to do.”

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In Chapter Thirteen, Cecile de Milliano and Pat Gibbons share an example in which “child participation” was a central element in (re)building a sustainable community in a disaster prone urban settlement. The study on which this chapter is based took place from June 2007 until February 2008 in Guayaquil (Ecuador). It aimed to assess how child participation was understood by and meaningfully implemented with the members of a community in a disaster prone urban area of Guayaquil. This chapter concludes by identifying that child participation positively impact children’s wellbeing on a personal, family and community level and that it allows children, their families, the community and social organizations to build a community in which they, as one adolescent stated, “can realize their dreams and ideas in practice.” In Chapter Fourteen, Sanjaya Aryal examines the armed conflict in Nepal from 1996 to 2006 in which thousands of child-soldiers were involved in both the government armed forces and non-state armed groups, namely the Maoist Communist Party of Nepal. They analyze the causes of the conflict, the recruitment and (ab)use of child-soldiers, as well as the NGOs’ efforts to reintegrate the child-soldiers into their communities after the conflict. In Chapter Fifteen, Yasamin Izadkhah and Mahmood Hosseini examine how audio-tapes are used for educating children about disasters including recommended preparatory measures such as sheltering during earthquakes and recovery activities after an earthquake. The tapes present safety recommendations to be applied during an earthquake in the form of a song, accompanied by lively music. Among the issues analyzed in this chapter are the content of the “Earthquake and Safety” song, how to simplify the scientific terms and statements to be included in the song, the rhythm to be used, the consideration of cultural and pedagogical issues, and how to produce the song in a way which can communicate with the children and teachers effectively. Since the number of studies that have been undertaken in using songs for teaching about disasters to preschoolers in the world is insignificant, Izadkhah and Hosseini propose that the novelty of their work can encourage other researchers to carry out further investigation in this area. Part 3 studies how to rebuild sustainable communities after wars and has three chapters. In Chapter Sixteen, Shelby Grossman presents a framework for understanding Liberian government policies toward the powerful Lebanese community in the country since 1980. She explains the relationship between current President Ellen Johnson Sirleaf’s administration and the Lebanese community, and discusses the role the

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Lebanese have played in rebuilding Liberia since the war ended. She argues that the Lebanese community in Liberia are both promoting reconstruction and further investment, while simultaneously hurting Liberian businesses and decelerating development. (p. 256)

In Chapter Seventeen, Grace Oyebola Adetula provides an analysis of rehabilitation and reintegration processes for female ex-child soldiers in Uganda, Liberia and Sierra Leone, with emphasis on their special needs in post-conflict situations. She also examines the importance of social control in reintegrating them into the mainstream of the society in order to ensure community safety and wealth. In Chapter Eighteen, Alvaro Gallardo and Humberto Garcia examine the institutional and social constraints which former child-soldiers face in the process of reintegrating them into the labor market in Columbia, a country that has been at war for more than five decades. These underage populations are basically those children, teenagers and young adults who were captured in combat by the Colombian Military Forces or who have escaped from irregular armed organizations (guerrillas or paramilitary) and who have also agreed to join in a government-funded project for their social and productive insertion into society. Part 4, with two chapters, studies issues involved in rebuilding sustainable energy infrastructure. Chapter Nineteen, by Justin Dargin, considers the role of decentralized energy assets in a disaster area, and shows how their practical use may increase the speed at which a devastated community returns to normal. It concludes by illustrating how the incorporation of a decentralized energy matrix in the United States of America’s national energy policy will serve to protect the country from the brunt of large-scale man-made and natural disasters. In Chapter Twenty, Michael Donlan argues that global society today faces an historic/apocalyptic, self-inflicted foursome of calamities: a full financial disaster, climatic natural disasters, proliferation of weapons of mass destruction and a permanent decline in global oil supplies. He suggests that many, if not all, of these accelerate the disastrous impact of each other. He uses energy-related disasters as a point of focus and a point of entrée to penetrate into some of these interrelated, self-inflicted and farreaching disasters. It describes the unfolding of major energy-related disasters and urges strong geo-political responses. Part 5, the last section of the book, proposes some innovative solutions to disasters. It consists of two chapters. In Chapter Twenty-One Evelin Lindner analyzes how the sustainability of social cohesion and ecological

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survival for humankind requires a focus on human dignity, implemented with a mindset of cooperation and humility, rather than disrespect and humiliation. After disasters, communities are prone to suffer violations of dignity in numerous ways. However, disasters can also open space for the implementation of novel solutions that highlight attention to human dignity. Since disasters disrupt established life, they even entail the potential to open more space for empowerment than was present prior to the event—this can occur, for example, when women are given more visibility than they had before. The chapter concludes by recommending that international organizations, accustomed to responding to emergencies and developmental needs, need to develop concepts of efficiency and practicability that nurture inclusive and dignifying diversity. Today the term “mainstreaming” permeates many discourses: The spirit of human rights, the emphasis on human dignity, needs to be mainstreamed also in disaster management. Finally, Chapter Twenty-Two focuses on Nichole Fiore’s research work from her Fulbright Fellowship in Budapest, Hungary. While in Budapest, Nichole researched the social and economic mobility of the Roma population in Hungary by looking at governmental welfare programs offered by the Hungarian government and the European Union. She observes that while many groups in Hungary have benefited from economic modernization and development, others, such as the Roma, have not benefited as much from these advances. The Roma are the largest minority in Europe and in post-communist countries, such as Hungary, are known as the biggest “‘losers” of the change from communism to capitalism because of the loss of governmental welfare programs. Currently, in Hungary, the Roma face obstacles and challenges in access to healthcare, education, employment, and adequate housing. However, over the past decade the EU and the Hungarian government have taken steps to promote anti-discrimination legislation and social programs focusing on equality and diversity. Additionally, international NGOs have also played an important role in minority rights in Central and Eastern Europe providing advocacy, resources, and policy development.

PART I CROSS-CUTTING THEMES

CHAPTER ONE A SOCIOLOGICAL PERSPECTIVE ON DISASTERS Social scientists have sought to answer two questions through their analyses of disasters: first, what is the significance of social factors for what we think of as natural phenomena? Second, how do social factors shape the origins, course and outcomes of natural disaster? Social scientists’ answers to these two general questions—about the importance and manner of social influence—can be summarized in the form of five “lessons.” I develop these lessons through a review of John Barry’s (1997) history of the great Mississippi flood of 1927, Kai Erikson’s (1976) study of the Buffalo Creek disaster of 1973, Eric Klinenberg’s (2002) “social autopsy” of the July 1995 Chicago heat wave, Smith and Freedy’s (2000) research on the upper Mississippi basin flood in 1993, and ongoing research on Hurricane Katrina (Cutter, 2005; Fussell, 2005; Perrow, 2005; Tierney, 2005). Lesson One: Natural Disasters Play a Critical but Often Overlooked Role in Society When rivers overflow their banks, when volcanoes spew lava over populated areas, when tornadoes destroy homes and hurricanes inundate cities, it is easy to be overwhelmed by the unpredictability of natural processes and by the power of natural forces. This leads to my first lesson: that natural disasters are inevitable, often unpredictable, but underappreciated for their social impact. We ignore this lesson at our peril. We can forecast calamities to varying degrees, we may be able to diminish their intensity to some extent, but when we act as if disasters will not happen, or convince ourselves that we can eliminate their effects, we condemn ourselves to replay tragic events. To quote sociologist Eugene A. Rosa (2006: 212–213), “disasters…are as normal as the setting of the sun in the West.” In two decades that have been marked by the Asian tsunami, the Pakistan-Kashmir earthquake, Hurricanes Katrina and Rita, the upper Mississippi River basin flood of 1993, and heat across the globe, it may seem that no further warnings are needed. If we expand our focus over a

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longer time frame, to cover, for example, the 1.9 million deaths due to hurricanes over the past two centuries (Bourque et al., 2006), or to include such failures of human technology as the Challenger and Columbia disasters, or the enormous suffering caused by war and terrorism, or more slow-moving human catastrophes due to disease, crime and pollution, we might even sadly conclude that we live in a world of endless and omnipresent disaster. But the desire to minimize the risk of natural disasters exerts a tenacious hold over society and social science alike, as evidenced both by their frequent omission from our analyses of the past and by our presumption that we can control their impact in the future. The consequences that flowed in part from the 1927 Mississippi flood, as elaborated in John Barry’s Rising Tide, included large-scale migration of blacks out of the South, the demise of New Orleans as the leading southern city, the rebirth of the Democratic Party, the origins of the postWorld War Civil Rights Movement, the abrupt end of the established social order in the Mississippi Delta, the expansion of the power of the national government, the popularization of jazz and the acceptance of engineering as a model for social control. Who anticipated such effects? And who thinks of our modern world as having emerged as a response to natural disaster? In a compelling work of historical and archeological investigation, aptly titled Catastrophe, David Keys (1999) traced the effects of a catastrophic volcanic eruption in Indonesia in 535 A.D.: a worldwide darkening of the skies and cooling of the earth for eighteen months, resulting in famine and plague in many areas, wars from the east against the Roman Empire, a reduced tax base and increased revolts, the emergence of early Islam, drought in the Andes, the decline of the Nazca and the rise of the Incas. When we fail to learn the lessons of natural disasters, we misdirect our social inquiries and mis-specify our causal explanations. To quote Keys: Although human inventions, achievements, and actions are obviously key factors in determining the course of human history, the forces of nature and other mechanisms beyond the control of individual human beings, or even states, play an even greater role, both directly and indirectly, by conditioning the circumstances that induce, produce, or permit individual or collective human actions. (ix)

The Buffalo Creek disaster: a poorly maintained dam—that only existed to hold mining waste water—burst and 132 million gallons of liquid, mud and debris raced down the valley carved by the creek, its

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twenty-foot-high leading edge careening randomly from one side of the valley to the other, obliterating some homes while bypassing others. Yale sociologist Kai Erikson (n.d.) observed New Orleans a few days after Katrina: The carnage stretches out almost endlessly: more than a hundred thousand [crumpled] homes, at least fifty thousand [flattened] automobiles, the whole mass being covered by a crust of grey mud, dried as hard as fired clay by the sun. It was the silence of it, the emptiness of it; that is the story. (3)

Social scientists must begin to acknowledge in their explanations for current social processes the impact of such powerful natural forces in the past. Lesson Two: Social Forces Shape the Causes, Course and Consequences of Every Disaster As social scientists, our recognition of the importance of natural disasters is quickly tempered by the recognition that the causes, courses and consequences of natural disasters always have a social dimension. Thus sociologists view the causes of disasters as: 1) the disaster agent itself—the hurricane, the flood, the dam; 2) the affected physical setting and related environmental features—whether the lower-than-sea-level bowl in which New Orleans sits or the hollow in which Buffalo Creek ran; 3) most importantly, the factors that affect people’s vulnerability— physical proximity, race, ethnicity, gender, age, knowledge, social and cultural capital, and government action. When we include social factors in our vision of disasters, our understanding of them shifts; to quote Havidan Rodriguez (2006: 220), “disasters and vulnerability…are a reflection of how societies are organized.” Or Ernest Zebrowski: A swollen river devastates a growing city, and we view the flood as the cause of the devastation. We are not inclined to question whether the presence of the city itself may have caused the flood (through local deforestation, construction of dikes…)…. (Zebrowski, 1997: 38)

Historian John Barry (1997) identified the multiple channels through which purposive human action—social factors—shaped the 1927 flood, fundamentally changing what had for millennia been a strictly natural process of variation in the volume and course of the great Mississippi

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River. People settled along the banks and throughout the basin of the Mississippi, they made it into a commercial thoroughfare, they built dams and levees and lakes, and they measured and monitored and pondered its flow. So the river and its vagaries became a product of the interaction of social and natural forces. Barry also traced the social factors that shaped the nation’s response to the flood: the struggle by southern planters to keep sharecroppers on their land, the coordination of the federal response with the needs of the southern elite, and the decision to dynamite levees in rural areas in order to save New Orleans. In the 1995 Chicago heat wave (Klinenberg, 2004), 739 residents perished due to the purely “natural” effects of heat, but the calamity had a clear social pattern: those who died were impoverished elderly persons, lacking air conditioners, fearing crime outside, and without social connections. Human populations are spread out across the earth in such a way that the most disadvantaged of them are the most likely to be located in harm’s way. …this is not true all the time, of course, but it…obtains enough of the time to qualify as a stable social pattern. (Erikson, 2006 [1976]: v, vi)

Lesson Three: Social Explanations of Disaster Compete with Naturalistic Explanations in a Hotly Contested Terrain More than 730 residents died in the July 1995 Chicago heat wave, of which the “principal cause,” according to the National Oceanic and Atmospheric Administration, was “a slow-moving, hot and humid air mass produced by...chance” and the city’s official report explained the biological relationship between body temperature and heat injury. A local newspaper columnist charged that “trying to blame the Mayor for an act of God is not only unfair, it also does an injustice by wrongfully framing the debate” (Klinenberg, 2004: 144). But epidemiological research (Semenza, 1996) soon discovered the social patterning of deaths during the heat wave. To quote sociologist Eric Klinenberg, “the heat wave was an environmentally stimulated but socially organized catastrophe” (2002: 20– 21). David Barry told of the reaction to the torrential rains and rising river levels in 1927: “People [were] reminded of their own impotence and of the power of God and nature” (1997: 174). He shows how it appeared that “the river was conquering everything” (Ibid.: 280). Yet he also shows in great detail how the “conquest” of everything by that powerful natural

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force can only be explained by understanding social factors: the informal social clubs of the New Orleans elite, the connections between the Mississippi Delta’s Percy family and the White House, the sharecropping system in the Delta, the rise of the profession of engineering—all went into the explanation of the 1927 disaster. Sociologist Eugene Rosa (2006) said: Making nature the villain obliterates the causal link to the producers of the disasters, and assigns no responsibility for the excess burden on the poor that disasters often impose. (214)

But it is not only politicians who seek to divert attention from their evident lack of preparation or inadequate response. Soon after the Asian tsunami, with its gruesome death toll of more than 280,000, there was speculation on the Internet that people had caused the earthquake near Aceh, through a nuclear device, sonic surveying, or extraction of oil and natural gas (Good, 2005). From this standpoint, the ever-moving great tectonic plates that make up the earth’s surface seemed to be an inadequate explanation; surely there had to be some social influence. Lesson Four: Culture Shapes the Societal Interpretation of and Response to Disaster The early twentieth century was a time of transition in American society, from a primarily local and regional to a national culture, from an agrarian to an industrial economy, from faith in tradition and religion to confidence in rational solutions and the scientific method; when, to quote David Barry, “man believed nature was governable and scientists were daily promulgating new laws to subdue it” (1997: 136). What has been termed by historians the Progressive Era (1890 to 1918) emphasized rationality, professionalism, social control and efficiency. The spirit of the era was reflected in the 1910 Flexner report that called for educational requirements in medicine, for medical school standards, and examination prior to licensure. It was reflected in the founding of the American Society of Civil Engineers in 1868, and in the technological triumphs of what they still call “the greatest profession”: Chicago Water and Sewage Treatment System, 1858–1869; Transcontinental Railroad, 1863–1869; Brooklyn Bridge, 1869–1883; NYC rapid-transit lines, 1900–1904; Panama Canal, 1904–1914; and Eads Bridge, 1874 (Griggs, 2001—150th anniversary of ASCE). It was reflected in the rise, out of the profession of engineering, of the profession

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of management and—even more—in the attention given to what soon came to be known as the “scientific management” approach. It was reflected in the enthusiasms of Commerce Secretary, then disaster manager, then President Herbert Hoover. John Barry stated: [Hoover] believed he was scientific and objective as engineering itself. He believed he made decisions based only upon facts and truth. (1997: 289)

He was even accused of “standardizing all of America” (Barry, 1997: 269). It was the culture of the age and it persisted after the 1927 flood. In 1928, Arthur E. Morgan, VP of the American Society of Civil Engineers and president of Antioch College, wrote a “policy for the Mississippi”, remarking that what is revolutionizing our civilization…is the application to our practical problems of processes of exact and fundamental scientific analysis and synthesis, to replace the age-old methods of rule-of-thumb approximation…. No one comprehended and mastered the whole problem of the river…. The reason for this conflict and confusion [about river policy] is that no one is in possession of the facts. (1928: 50, 53–54)

And what this culture of confidence and control led to was the belief that the Mississippi River flooding problem could be solved through purely technical solutions: higher levees, better diversions, more “FEMA trailers” for disaster relief. It is not that we can forgo scientific analysis and engineering techniques when preparing for natural disasters or analyzing their effects. The 1,319 deaths due to Hurricane Katrina were first and foremost a matter of poor planning, poor execution and “a fundamental ignorance of emergency management” by policy makers (Waugh, 2006). Careful analysis prior to Katrina revealed that 250,000 New Orleans residents lacked private transportation and that available buses could hold only 10 percent of these residents. In fact, no buses were even assigned for evacuation of residents (Bourque, 2006: 4), and in any case the mandatory evacuation order came fifty hours later than required by emergency management principles. For days after the hurricane, “air-conditioned trucks with no supplies drove aimlessly past ‘refugees’ who were without water or food or protection from the sun” (Perrow, 2005: 1). The Red Cross was not allowed to deliver goods. A Navy rescue ship idled offshore. Ninety-one thousand tons of ice cubes needed to cool food and medicine cost over $100 million to haul, but were mostly never delivered.

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FEMA—politicized through a 15 percent increase in political appointees since 2000 and refocused on terrorism—was not prepared in advance or aware of the scope of the disaster immediately after (Perrow, 2005). Good technical management is essential for effective preparation and response. But the continual failure of purely technical solutions suggests one more lesson. Lesson Five: Formal Social Organization is always Interlaced with and Can Neither Function nor be Understood without Taking into Account Informal Social Ties John Barry’s (1997) history of the Mississippi flood showed that it was not just homes, farms and lives that were lost in the Mississippi delta. It was also something less tangible, but no less important: the sense and reality of community, of social trust, of hope for the future. “There had been a feeling of humanity, not race [in the first hours of the flood],” (312) Barry wrote, but soon thereafter the disparity between life for black and white seemed greater than in normal life. Blacks, who had believed Greenville to be a special place, felt betrayed. (Ibid.)

In every camp on the levees in Mississippi, “the National Guard patrolled the perimeter of the levee camp with rifles and fixed bayonets…[black workers] were imprisoned” (Ibid.). It had been a special place, with higher rates of independent farmers than in the older South, 11 to 18 percent first- or second-generation immigrants, a thriving Jewish population and a more enlightened style of plantation management that Barry documented in great detail. But it was a social system tottering on the brink of collapse, in the face of both the drive for firmer white political dominance and the appeal of expanding economic opportunities in the industrialized north (Adams & Gorton, 2004). Kai Erikson’s (1976) research on the Buffalo Creek flood also revealed the importance of informal social ties. Prior to the collapse of the dam, Erikson described the Buffalo Creek community as characterized by Constant readiness to look after one’s neighbors. ...for all practical purposes, the family was a community unto itself, there was little community division of labor, few trades or professions…. (2006 [1976]: 190, 58)

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The traumatic effects of the sudden death and devastation on Buffalo Creek residents were exacerbated and prolonged by the collective trauma of destroying “the basic tissues of social life…the bonds attaching people together.” Every man, woman and child—every one—suffered from some combination of anxiety, depression, insomnia and apathy. “People all over the hollow live with a lasting sense of being out of place, uprooted, torn loose from their moorings” (Erikson, 2006 [1976]: 212). The Buffalo Creek disaster was distinguished by the ferocity and speed with which the community was physically destroyed and by the similar circumstances of so many who had lived there. Social scientists who have examined disasters involving a more diverse populace or different communities find that individual ties to the community are critical for post-disaster recovery. After Hurricane Andrew in 1992, individuals with more social support, stronger ties to others, were more able to draw on others for support. After the 1993 flooding in the upper Mississippi valley, sociologists Smith and Freedy (2000) found that psychosocial resources reduced the effects of flood exposure on psychological distress and physical illness. After Katrina, those with more extensive and wealthier networks of friends and family proved to be more resilient (Fussell, 2005). Eric Klinenberg (2002) compared two adjacent Chicago neighborhoods with dramatically different rates of heat deaths during the 1995 heat wave. Both were poor, predominately minority areas, but North Lawndale, with a high death rate, was an unraveling neighborhood with a depleted commercial infrastructure, high crime rates and active street-level drug markets, many abandoned buildings and vacant lots. Social ties were in short supply. In South Lawndale, by contrast, the rapidly growing population was predominantly Mexican; there was a “beehive of commercial activity” (Klinenberg 2002: 115) along its main street, a low crime rate and a powerful network of churches. Residents enjoyed being out and about. There was a low death rate in the heat wave (Browning et al., 2006). Yet, anthropologist Susan Greenbaum points out that the “value of community is [often] disregarded in disaster planning and relief efforts” (2006: 111). Two weeks after Hurricane Katrina devastated social networks, 48 percent of the victims were still trying to find family or friends and 79 percent said they had no relatives or friends to move in with (Bourque, 2006): the disaster professionals focused on distributing food, clothing, medical supplies” while the evacuees living in massive stadiums were cut off from their social networks. (Fussell, 2005: 5)

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After the Buffalo Creek flood, thirteen trailer camps were set up by HUD for survivors, who were assigned at random, having no connection to neighbors and no privacy. Sociological disaster expert Kathleen Tierney (2005) cautioned FEMA to focus attention on the importance of community residents as true first responders who can preserve community, instead of emphasizing guidelines about duct tape, plastic sheeting and sensors and protective gear for emergency personnel. After Katrina, in spite of looting that was vastly overblown, local neighborhood groups helped many isolated individuals to survive, including the “Robin Hood looters”—eleven friends who searched and rescued neighbors for two weeks, cooperating with police and the National Guard, foraging for food and water in abandoned homes but in order to help, not hurt, others. Another group organized lodging in a local school, expelling vandals and taking supplies to elderly homebound neighbors (Rodriguez, 2006). The Enduring Effects of Trauma Lessons two through five each reinforce lesson one: the importance of natural processes. But they also provide some helpful ways to respond to Kai Erikson’s admonition that “the preservation (or restoration) of communal forms of life must become a lasting concern” (2006 [1976]: 259). Researchers have found that an important key to the return to normalcy is a quick return to pre-disaster conditions and routines: Hurricane Katrina was not just a natural disaster. It was also a humaninitiated and technological disaster that, for some, may have no foreseeable end. (Bourque, 2006: 148) Disasters will happen. To lessen their impacts in the future, we need to reduce our social vulnerability and increase disaster resilience with improvements in the social conditions and living standards in our cities. (Cutter, 2005: 4–5)

Insightful research and scholarship is another prerequisite for developing more successful responses to disasters. These five lessons suggest that social science has begun to build such a foundation for understanding and action.

CHAPTER TWO A GENDERED HUMAN RIGHTS APPROACH TO REBUILDING AFTER DISASTER Alice: Would you tell me, please, which way I ought to go from here? The Cat: That depends a good deal on where you want to get to.

Where are the women? Despite over two decades of advocacy, research, and policy development, the question must be still be asked. International women’s organizations and development agencies are increasingly alert to gender concerns in crises such as those produced by conflict, climate change and natural disasters (UN Division for the Advancement of Women, 2001; Canadian International Development Agency, 2003; Roehr et al., forthcoming). New scholarship about gender and disaster has developed rapidly (Phillips & Morrow, 2008; Enarson, Peek & Fothergill, 2007; Enarson & Meyreles, 2004), is increasingly sophisticated (Enarson & Chakrabarti, forthcoming) and reflects a growing international community of scholars in the field—for example, through the Gender and Disaster Network. We have indeed learned a lot about how women’s and men’s lives are shaped by hazards and disasters, about gaps in operational and managerial responses to them, and about women’s participation in recovering communities. Yet we have before us in Katrina a case study of the utter indifference to all three. I suggest that this disjuncture between what is known and what is done is not rooted so much in a lack of clear communication to policy makers and practitioners (“why gender? why women?”) or a lack of appreciation of efficacy claims (“more effective use of resources if women are included”) but in the lack of a movement for social change that understands and advocates a human rights approach to disaster risk reduction. The fundamental human rights of women and girls are manifestly jeopardized in the world as we know it, as evidenced by the need for treaties such as CEDAW, the Beijing Platform for Action, the UN Security Council’s Resolution 1325 on Women, Peace and Security, and the panoply of women’s human rights organizations around the world. This pre-disaster “normal” is or should be the context for all disaster planning, from mitigation and preparedness to response and long-term recovery. In

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post-war or armed conflict contexts, the risk to the human rights of women and girls is transparent, most egregiously with respect to lack of autonomy and to gender-based violence. We cannot now imagine paths to post-war rehabilitation and reconstruction that do not take into account what happens to girls and women, as well as boys and men, when armed conflict simmers or erupts. Nor can we ignore the unique issues confronting women in the aftermath of conflict, and the leadership of women to marry peace and gender justice. This is the mantle we must pick up in our work around disaster. To explore these issues further, this paper begins with a short discussion of gender and human security concerns, new and old, followed by a suggested approach to disasters. Hurricane Katrina is then employed to illustrate the urgency of a human rights approach and the barriers remaining. In the last section, I offer a set of guidelines for moving from knowledge to action, promoting a vision of sustainable recovery that ensures women’s full and equal participation in creating a just, safe and disaster-resilient community for themselves and for their children. Gender and Human Security Sex, sexuality and gender are all part of the human experience and constructed historically and culturally. Each is relevant to human security, which is also a nuanced and emergent concept with complex implications for different social groups. Importantly, human security must be understood in the private realm, too, and may be outside the reach of the state. Gender-based violence, for example, jeopardizes the personal security of millions of women and girls on a daily basis around the world: women and girls in their everyday home lives are now on the “front lines.” Security issues considered through a gender lens raise important concerns related to armed conflict and terrorism, science and technology, epidemics, financial and political crises and transformation, as well as natural disasters. We must investigate gender inequality as a root cause of insecurity as well as a cross-cutting factor; consider how gender differences as well as inequalities cross-cut new challenges to security; and investigate how to integrate the capacities of women and men equally when we respond to these. For instance, we must identify barriers and opportunities for women’s leadership in conflict resolution; gender disparities in demobilization; strategies for preventing the use of gender violence as a war weapon; new risks to reproductive health and women’s autonomy implicit in emerging technologies; and challenges to democracy

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based on the gendered digital divide and to women’s safety based on new information technologies. We must certainly be alert to specific threats to women’s security in health emergencies such as pandemics, both as caregivers and patients. With respect to financial and political crises endangering human security, we must address gender disparities in financial security, factors undermining the diversity and sustainability of women’s livelihoods, barriers to utilizing women’s leadership skills, gender-based forms of political suppression, and women’s historic paths to political resistance. Gender disparities also exacerbate the threats posed to human security by disasters, whether these are natural, technological or human-induced. Disasters, Gender and Human Security Recent thinking about disasters provides an important framework (for the American context, see Rodríguez, Quarantelli & Dynes, 2006; Mileti, 1999; Bolin & Stanford, 1998; Peacock, Morrow & Gladwin, 1997). These fundamentals challenge many preconceived notions: there is nothing “natural” about what we call disasters. Disasters are fundamentally social events with long histories deeply rooted in human, economic, social, environmental and political choices about human and environmental development. A function of relative exposure to hazard, social and/or physical vulnerability, and capacity for prevention or mitigation, disasters are often confused with the natural, technological and/or human-induced hazards that trigger them. But a hazard is not a disaster. Disasters are also not the social levelers they are often thought to be but affect different regions, societies, population groups and individuals differently; as the poorest of the poor and often the least empowered politically, women and girls are particularly hard-hit by disasters. These events we call disasters—understood elementally as events transcending the coping capacities of local communities—are always unique, for disasters have complex and intertwining effects that are as much cultural as economic or physical. They are, in effect, a social process rather than a social event in many cases. The effects and consequences of disasters, whether short or long-lived, manifestly jeopardize human security at the collective and individual levels, especially with regard to “vulnerable” groups to whom disaster risk is ascribed or transferred. Furthermore, these “unpredictables” can in fact be predicted as a consequence of the ways we have organized life on this planet. Disasters are being normalized as they increase in frequency and severity, with rising costs of all kinds to rich and

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poor nations alike whether triggered by extreme weather, technological disasters arising from the world’s interlocking infrastructures and systems, or other hazards rooted in global politics. Like living with hazards in risky environments, “disasters” are part of the human experience to which both women and men have responded and from which people in all societies have historically struggled to learn. This (not as in disaster films) is the context within which we should think about disasters, men, women and children. As noted at the outset, academics and practitioners have clearly established the significance of gender relations (and everything that shapes these) throughout the disaster cycle of mitigation, preparedness, response and recovery—and the foreshadowing of the next disaster. Arguments have been accepted (in principle) for gender-sensitive emergency planning and response, either on equity grounds (women’s rights to the same resources available to men in a crisis) or efficiency grounds (getting the right assistance to those most in need) or both: yet little changes in the field, either in the immediate aftermath or in the long, hard months and years of (attempted) recovery. A human rights approach is now sorely needed, as disasters are above all moral events which arise from ethical choices about human and environmental development and which are “managed” from moral as well as economic premises. In any context, the pre-disaster “normal” state of affairs between women and men, boys and girls sets the stage for disparate impact and violation of rights in the realms of work, land, health, autonomy, safety, housing and mobility (Enarson & Fordham, 2001; Acar & Ege, 2001). The effects of disastrous mishandling of “disasters” on indigenous populations, migrant workers, persons with disabilities, sexual minorities, disenfranchised political groups, and children are readily observed (e.g. Human Rights Center, 2005). In developing countries hit hard by the Indian Ocean tsunami, gender disparities and women’s human rights were immediately highlighted (e.g., by Oxfam, 2005; see also the grassroots Charter on Violence Against Women Post-Tsunami, n.d.). Recent initiatives by UNDP and UNIFEM, for which the tsunami was a catalyst, are still underway during the prolonged recovery process. But in the discourse on disaster recovery in the US, threats to women’s human rights are often overlooked.

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Sustainable Recovery from an American Catastrophe: Through Women’s Eyes Over the past four years, as the nation watched warily during subsequent storms, disaster researchers, policy analysts and decisionmakers looked away from gender and away from women as they set plans in motion for post-Katrina recovery. Inattention to gender has been the hallmark of public discourse around Katrina, much of which was explicitly framed first around race and then class. Gender was certainly there from the beginning, but implicitly: strong images of “violent” (Black males), “heroic” (White male responders), “unruly” (ethnic minority men), and “strong” (male mercenaries and military personnel) alternated in the mainstream media with images of distraught women incapacitated by individual or collective stress. This much was predictable, but the gender silence in the flood of post-Katrina monographs, edited readers, policy reports, and research grants was striking in light of the advances in gender analysis internationally and in past US disasters. Inattention to gender was evident long before the storms hit land, of course. Risk assessments were conducted without sex-specific quantitative or qualitative data needed for meaningful gender analysis, though warning signs were in evidence for the looking. The high proportion of low-income women heading families alone, women’s relative lack of transportation, their dominance among the frail elderly, the disabled and institutionalized dependents, their insecure housing, their employment in the contingent labor force and their vulnerable health conditions were all readily apparent in census data and other statistical sources. Their strengths and capacities were also apparent (Gault et al., 2005): for example, the high percentage of African-American women in New Orleans with advanced education and degrees, historically Black universities and colleges with women’s studies and women’s services, and women’s strong community organization base, especially in the church. These were critical things to know about community-wide and household vulnerabilities and capacities, and bear directly on preparedness and impact as well as recovery. It was there for the looking—and mostly, we didn’t (but see Eisenstein, 2005; Enarson, 2005; Seager, 2005; Ross, 2005). A counter-narrative is emerging, but slowly. Community organizers and cultural workers such as journalists, oral historians and film-makers have raised gender questions, especially around race and poverty (see Ransby, 2006, on the neglect of Katrina’s “deadly discourse” for AfricanAmerican women). Emergent or pre-existing women’s groups are now

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increasingly visible on the ground (Vail, 2006), and the sex- and genderspecific effects of these devastating storms is coming under examination by researchers outside the gender and disaster subfield (for example, biomedical researchers exploring effects on birth weights). Of particular note is a wide-ranging report on the human rights of displaced persons (Kromm & Sturgis, 2008), which compares principle and reality based on the UN Guiding Principles on Internal Displacement. The authors refer to violations of women’s rights with respect to accommodation (because of women’s increased risk of sexual and domestic violence in emergency shelters and temporary FEMA trailer camps); and conditions for prisoners and detainees (because of health risks to pregnant women and the risk of miscarriage). But a host of other concerns might have been cited. Principle 4 is a nondiscrimination clause with specific reference to “expectant mothers, mothers with young children, female heads of households” (Kromm & Sturgis, 2008: 30), yet the most basic needs of women for reproductive health services and pre- and post-natal care were not met (Kissinger et al., 2007; Bennett, 2005; Callaghan et al., 2007). Low-income mothers displaced around the nation are challenged by a lack of social connections, secure housing and employment, and the pressing needs of children and extended families far away (Peek & Fothergill, forthcoming; TobinGurley, 2008). Principle 7 relates in part to the need to “involve those affected, particularly women, in the planning and management of their relocation” (Kromm & Sturgis, 2008: 31), a provision manifestly not adhered to in the chaotic Katrina diaspora that began with mothers separated from their children and continues today. Principle 11 speaks to prevention of gender-specific violence, including domestic violence and rape as well as forced prostitution, all of which have been identified as part of the Katrina experience for women (Bergin, 2006; Ransby, 2006). Principle 17 highlights that “every human being has the right to respect of his or her family life” (Kromm & Sturgis, 2008: 33), while mothers and children still remain separated at the time of this writing three years later, and the experiences of lesbian and gay couples and transgendered people caught up in Katrina remain largely undocumented (see Eads, 2002, for the case of September 11th; Pincha et al., 2007, post-tsunami). In Principle 18, “special efforts” (Kromm & Sturgis, 2008: 34) are to be made so that women are full participants in distribution of basic supplies (women were indeed active in emergency social services such as the ARC and worked with men in the Superdome to organize the distribution of supplies). Principle 19 attests to the need to plan ahead so women can have access to female healthcare providers and receive post-violence counseling as well

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as reproductive health care. Women’s equal rights to documents necessary for establishing residence or housing status are articulated in Principle 20, yet remain a major challenge for displaced women with extensive responsibilities for kin as well as paid work and limited economic and transportation options. Finally, in Principle 23 the rights of young girls and women to education and training are articulated; little evidence of this is available in the FEMA camps, which tend to lack even safe play space for children. These standards for the period of displacement are precursors for the realization of other human rights guaranteed to women through CEDAW. It is encouraging to see them reflected in principle (if not fully in practice) in recent initiatives from UN agencies active in disasters (e.g. Enarson on the ILO, 2000) and gender-aware NGOs (e.g. Fordham on PLAN, forthcoming). What Women are Doing to Recover One of the legacies of war has been increased appreciation for women’s work on the home front and in the front lines, as these converge, and their contribution toward economic stability and reconstruction—and so, too, in disaster. Case studies of women and recovery demonstrate that women are extremely involved, if generally behind the scenes and in informal roles, and often without compensation of any kind (for an excellent international summary, see Yonder et al., 2005). After virtually every disaster, women serve their communities and families in key recovery roles, just as they do in the aftermath of war. They are community workers/organizers, advocates, informal recovery counselors in their occupational roles as counselors, teachers, hair dressers, day care providers, and informal/unpaid “recovery specialists” to their kin and “family,” however they define this (for the 1997 Red River flood in the Upper Midwest, see Enarson & Scanlon, 1999; Enarson, 2001; Enarson & Fordham, 2001; Fothergill, 2004; and on the emergent group “Women Will Rebuild Miami” after Hurricane Andrew, see Enarson & Morrow, 1998). Women today are also increasingly present in paid relief and recovery roles, including outreach mental health workers, and among elected officials with emergency management responsibilities. They are also more likely now than in earlier disasters to take part in recovery as professional planners and architects in post-event charities geared to reconstruction, or as professional emergency managers in the private sector, FEMA or state emergency management agencies. As reporters, too,

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women’s voices are raised about the future of disaster-affected children, schools, wetlands and all the rest. Finally, women’s self-evident capacity and will to work collectively are apparent in the aftermath of Katrina, more often than not promoting a broad social justice agenda than an explicitly gendered agenda in this long period we call “after” (aka “before the next one”). Women split up by Katrina have come together again to assert their right of return, and in some cases to link the treatment they received after Katrina with the experiences of mothers in Iraq and Afghanistan or to broader environmental justice or political issues. In and around hurricane-affected hamlets, towns and cities up and down the Gulf Coast, a resurgence of grassroots organizing is underway (Vail, 2006; Pyles & Lewis, 2007; and see Jones-DeWeever, 2008). Native American women leaders are fighting for protection of land rights and cultural identities; domestic violence advocates are documenting the price women paid and proactively developing their capacity to respond through emergency preparedness; and long-time housing rights activists are leading the way to protect women’s rights to safe, secure and healthy housing. These and many other movements build on existing organizations and also on emergent women’s groups such as “Coastal Women for Change” and the elite women’s group “Women of the Storm” (David, 2008). The significance of women’s informal social networks for the survival of African-American families and their reunification has also been documented (Litt, 2008). What Women are not Doing….Yet? As private interests and capital play an ever larger role in recovery, we must certainly learn more about the involvement of upper-class women in key recovery plans and initiatives. But, for the most part, it is selfevident that women are far less present than men in all groups as recovery plans are made and assistance programs designed and redesigned. Women are rarely managers of recovery funds or funders of recovery programs, planners or consultants on recovery teams, keynoters in recovery conferences, leaders of empowered recovery organizations, or mainstream commentators on the post-Katrina future of the affected regions and the nation itself. The women of Katrina are manifestly not at the center of gravity where key decisions are being made, or were made early on, by those who do have a vision of what New Orleans and sister cities should or will look like. They are rarely those with formal power or authority to intervene when new “affordable” housing is priced too high, the air in

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their temporary shelters too dangerous to breathe, day-cares and schools too slow to reopen, or migrant women beaten or threatened with deportation. Gender-Sensitive Recovery: What would it Look Like? Sustainable recovery planning is a process tied as much to culture and place as to the politics of authority (Vale & Campanella, 2005; OliverSmith, 1986). Inescapably linked to sustainable mitigation planning (and vice versa), recovery is implicit in every decision made during the response phase (Peacock, Morrow & Gladwin, 1997; Mileti, 1999; Berke, Kartez & Wenger, 1993; Schwaab et al., 1998; and see Monday, 2001). Yet recovery planning is still the last tool at hand. Always a process (never an end), disaster recovery is fraught with political tension, financial challenge, uncertain and shifting aims, and insufficient resources, including clear thinking about the root causes of disaster vulnerability and consensus on desired futures. But the hallmarks of good recovery are clear, if only in the breach: it must be comprehensive, all-hazard, forwardlooking, integrated, participatory, transparent and—I add here—gendersensitive. Like that illusive concept of disaster resilience, it is difficult to imagine sustainable recovery without the full and equal participation of women and men, especially (but not exclusively) those directly affected. Certainly, the full recovery of children is supported by policies and practices that support their mothers and other key women in their lives. Women are key actors before disasters in the home, workplace and neighborhood as they prepare their families and kin against impending disasters and obvious hazards. They are, in the language of the UN ISDR, “the keys to prevention.” In the aftermath, they can be the “calm in the storm” (Vail, 2006) whose determined efforts to rebuild with social justice and sustainability in the forefront must be supported. While gender-sensitive programming in other areas has been highlighted by the UN ISDR (e.g. ISDR, 2007), gender-sensitive indicators were not included for sustainable recovery or sustainable mitigation (Enarson, forthcoming). Yet both recovery and mitigation bear heavily on the potential to actually reduce risk and thereby prevent or reduce the impact of future disasters. Current efforts on the part of the UN ISDR and other UN agencies to develop gender-sensitive indicators of recovery are evidence of this. The case must be made for gender-inclusive recovery based on appreciation of the rights of women and children. Specifically, as noted in

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a report by funders of grassroots women’s groups active in the aftermath (Vail, 2006), gender-fair recovery from the Gulf Storms calls for: 1) an integrated approach linking women’s recovery work to the larger community; 2) childcare resources made available again as promptly as schools reopen; 3) ensuring affordable housing, especially for low-income women heading families alone and residing in public housing; 4) job training and access to capital for women to support their essential economic contributions in the broader community and in the household; and 5) mental health resources, including domestic violence counselors in emergency shelters. The action points offered in Appendix A: Guidelines for GenderSensitive Disaster Recovery echo these concerns and reflect the work of international scholars, affected women, community organizers, and humanitarian relief and development workers following disasters (e.g. Enarson & Morrow, 1998; Buviniü, 1999; Ariyabandu & Wickramasinge, 2004; Sayeed, forthcoming; Masai, Kuzunishi & Kondo, forthcoming; Yonder et al, 2005). The guidelines are signposts on a path toward sustainable recovery which reflects, respects and promotes women’s human rights. The guidelines are not negotiating points for a “special population” (such as women are sometimes described) or a part of that special population such as old, ethnic minority or poor women. Nor are they justified due to equity and effectiveness concerns alone. In my view, these are the parameters of sustainable recovery that create the bedrock for post-disaster conditions in which human security, freedom and rights can be imagined and realized. The full recovery of those who live through disasters cannot be imagined without this. These signposts to gender-fair recovery support and promote sustainable recovery for women and their families, and set the stage for transformative social change that alters the balance of power for women. In the absence of gender-sensitive participatory recovery planning and reasonably resourced recovery efforts, the post-disaster empowerment of women, so often documented in case studies, is very short-lived indeed (among many, see Bari, 1998; Bradshaw, 2001; Hoffman, 1998; Peterson, 1997). Getting There from Here Alice needs more than advice and a map, and so do we. We must work toward a collective vision of a safer, more just and more disasterresilient future. To get there, we need strategies for structural and cultural change that will put security, sustainability and human rights at the top of

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the national agenda—for all people. We need a policy framework that enables women to participate as decision-makers; we need careful monitoring and gender-sensitive evaluation of recovery programs, practices and policies; we must develop and strengthen the capacities of the many women’s organizations that stepped into the void when afflicted women could not yet act on their own behalf; and we must certainly hear and materially support the women of Katrina all over this nation who know what they want for their children, partners, homes, neighborhoods and communities. We need a new politics of disaster and a new social movement for disaster prevention. Before we had a new energy politics or women’s health clinics or HIV/AIDS anti-retrovirals, we had galvanized publics with good science behind them and a sense of their own history and power. In the same way, we must reframe our work in the long tradition of women’s struggles for social and environmental justice and for peace, working as always with men who share our vision, and reach out to women across the globe. We must put human rights first on behalf of those whose livelihoods, environments and ways of life are made less secure every day by the actions of the most powerful in our own nation. Until the last child is indeed “home again” to a home that is safe, secure, and disaster-resilient, organizing around human rights in recovery planning is essential. I look forward to exchanging ideas at this wonderful gathering about how we might work together to do just that. Acknowledgements The ideas presented here reflect, as always, the excellent writing and analysis of my colleagues in this field around the globe. Special thanks to the members of the Gender and Development Network (www.gdn online.org) and those who helped construct the Gender and Disaster Sourcebook (http://gdnonline.org/sourcebook/). The gender guidelines for recovery were developed for the Disaster Mitigation Institute in Ahmedabad, India, in 2001 and originally posted on the GDN. They are lightly edited here.

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APPENDIX GUIDELINES FOR GENDER-SENSITIVE DISASTER RECOVERY With respect to participation and empowerment. Women’s local knowledge and expertise are essential assets for communities and households struggling to rebuild. To capture these capacities, disaster responders must work closely with women, remembering that the greatest need of survivors is for empowerment and self-determination. x Integrate disaster mitigation initiatives into on-going community activities and concerns. Know what local women are doing and partner with them, resourcing their efforts to the greatest degree possible. x Ensure that women who are knowledgeable about women’s issues are proportionally represented when key decisions are made about the distribution and use of donated relief funds and government funds. x Plan ahead for ongoing and long-term consultation with grassroots women in affected areas, women’s bureaus, and women’s advocacy groups. Formalize their participation. Strengthen or develop informal social networks between these groups and disaster-responding agencies and offices. x Organize reconstruction planning meetings and events with attention to women’s ability to participate, for example by providing child care and transportation and meeting at times and in places convenient and safe for women. x Monitor and respond to women’s need for legal services throughout long-term recovery, e.g. in the areas of housing, employment, and family relations. x Monitor the relief and rehabilitation process for possible gender bias and inequities which may develop over time, e.g. the unintentional overburdening of women who have extensive overlapping responsibilities at home, at work, and in the community. x Monitor as far as possible the degree to which relief and recovery assets are equitably distributed within the household.

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With respect to livelihood and work. Women’s work is often socially invisible, but in the great majority of households around the world their life-sustaining and income-generating activities of everyday life are essential. Economic rehabilitation and reconstruction planning must target economically active women of all ages and social groups. x Assume women are economic providers and plan accordingly; target the informal sector. x Implement economic initiatives which reflect the economic losses of women whose work depends on sustainable natural resources; prioritize the restoration of economic resources vital to their recovery. x Target self-employed artisans and home-based women workers for grants and loans to replace damaged or destroyed tools, work spaces, equipment, supplies, credit, capital, markets and other economic resources. x Expand women’s limited employment and work opportunities as much as possible in the process of redeveloping local and regional economies. x Monitor access to work, wages, training and working conditions in private and public relief work projects and assess their impacts on women and girls. x Commit to long-term monitoring of the indirect economic effects of disasters on women’s livelihoods, e.g. disrupted markets, loss of clients, forced sale of assets, involuntary migration, increasing proportion of female-headed households, secondary unemployment, etc. x Develop gender accountability measures, e.g. record the percentage of females in construction trade employment, numbers of disabled women trained, proportion of economic recovery grant and loan funds received by women, etc. x Evaluate women’s ability to participate in and benefit from economic recovery packages, e.g. with attention to women’s mobility, access to child care and health services for themselves and injured family members. x Incorporate gender analysis into all empirical assessments. Collect or generate sex-specific data to make this possible. x Partner with women’s grassroots organizations to avoid overlap; capitalize on and scale up their local expertise, supporting indigenous initiatives.

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x

x

Support women’s dual responsibilities as paid and family workers; work with employers to develop or strengthen “familyfriendly” policies for those needing time to apply for assistance, move into new housing, help injured family members, and in other ways promote family recovery. Extend government stipends to family caregivers as needed throughout the long-term recovery period in order to support caregivers economically and ensure continuity of care to the injured, unaccompanied children, and the disabled.

With respect to emergency shelter, temporary housing, and permanent accommodation. Safe and secure shelter is vital for women, as much of their daily life revolves around the household. As home-based workers, household managers, and family caregivers, women must be centrally involved in the design, siting, construction, and retrofitting of local housing and community facilities. x As “temporary” shelter is often long-lasting, make women’s safety a priority in the social organization of temporary camps, e.g. through adequate lighting, on-site security, and provisions to protect privacy. x Provide space and services in temporary accommodation for the care of post-operative and newly disabled survivors and their caregivers. x Increase housing security for women by prioritizing affordable housing that is safe and secure; where relevant, deed permanent housing in both women’s and men’s names. x In determining priorities for occupancy of new housing, target single mothers, widows, below-poverty and unemployed women, socially marginalized women and others identified at the local level by knowledgeable women. x Provide women fair access to construction-related employment. Include employment-relevant job training. Seek out women with technical qualifications for training to help construct safer residences, e.g. more seismically resistant or “green.” x Contract with women-owned businesses and solicit the participation of women professionals in the construction industry and related fields. x Partner with women’s grassroots organizations and communitybased groups to evaluate and monitor the process of housing reconstruction.

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x

27

Promote the participation of women across class/caste, ethnicity, age, faith and other divisions in all decisions about community relocation, the siting of new settlements, the design of new structures, and construction of new community facilities. Collaborate with local women in planning housing design innovations which may reduce or simplify their workloads or otherwise improve living/working conditions.

With respect to training and education. Women are significant informal and formal educators who provide vital links between households and emergency responders, and whose social networks make them effective trainers in community-based technical assistance projects. Girls in disasters are at risk of early school leaving, and many women are unable to work due to lack of child care. x On a priority basis, restore all preschool and childcare facilities, schools, and community education programs targeting women and girls. x Closely monitor short- and long-term effects of injury, displacement, and rehabilitation on girls’ access to school; avoid relief projects not enabling school attendance. x Monitor all disaster-related jobs programs to avoid stereotypic training which limits rather than expands women’s options; offer nontraditional training to boys and men. x Disaster recovery information must reach all women; use a wide variety of media and all community languages to ensure that women are informed and able to contribute and share information. x Women’s social networks are a valuable resource in community disaster education. Capitalize on women’s local knowledge about vulnerable people in the village or neighborhood, environmental conditions, coping strategies in past disasters, etc. x In professional and governmental outreach projects, provide onthe-job training as needed for women to take up decision-making roles; include women with professional/technical expertise in leadership roles. x At the community level, partner with women’s organizations to recruit and train women as disaster outreach specialists with technical skills in the areas of livelihood reconstruction, earthquake-resistant housing, post-disaster mental health issues, special needs of children, disaster-mitigation strategies, etc.

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x x

Develop targeted disaster mitigation materials for integration into the training programs of women’s grassroots, professional/ technical, and advocacy organizations. Make disaster-related training employment relevant; increase women’s capacities in nontraditional areas.

With respect to health and safety. Women’s good health keeps families healthy after disasters through sanitation, nutrition, and medical care. As caregivers to the young, old, sick, disabled, and injured, women tend to put their own needs last but their own health must be promoted throughout long-term recovery. Women’s reproductive health needs attention, as does the increased risk of sexual and/or domestic violence in the aftermath of a major disaster. x Throughout the long-term recovery period, include antenatal and postnatal care and nutritional supplements for pregnant and lactating women. x Ensure that mobile health services include a full range of reproductive and family-planning health services. x Integrate post-disaster public health outreach with existing community-based health systems and informal healthcare providers, e.g. midwives and home health workers. x Target mothers and grandmothers in post-disaster grassroots campaigns promoting public health. x Incorporate knowledge about women’s increased risk of violence into emergency planning, shelter operations and post-disaster public health education. Provide increased resources to grassroots women’s groups responding to women hit both by violence and disaster. x Provide training for mental-health providers on gender-specific factors in post-traumatic stress, targeting highly vulnerable groups such as women heading households, grandmothers caring for orphans, battered women, women with disabling injuries, newly widowed women and men. x Prioritize the health needs of disabled women, women whose injuries are permanently disabling, and those recovering from temporary disabilities. Support their immediate family caregivers, e.g. through respite care, financial assistance, and extended counseling services. x Allocate resources for elderly women’s health needs as their well-being will be vital to the extended family.

CHAPTER THREE PLACE LOSS AND REBUILDING SUSTAINABLE COMMUNITIES Introduction For eighteen years—until we were displaced by gentrification in 2008—the Community Research Group occupied offices on West 166th Street. Situated outside of the fortress of the Columbia Presbyterian Medical Center, we have seen life in a New York City ghetto up close, on a block that was battered by crack cocaine and drug-related violence. In addition to the problems that were obvious on the walk to work, we studied the epidemics of AIDS, tuberculosis, post-traumatic stress disorder, asthma and obesity in many parts of New York and other cities in the US and abroad. For the most part, we have conducted qualitative research, collecting stories, maps and photos in an effort to understand life caught up in illness. When some people from Santa Fe, New Mexico—a socially and geographically distant place—proposed to us that New York was suburbanizing, we were frankly puzzled. From our windows—which looked out over Audubon Avenue, St. Nicholas Avenue and Broadway in northern Manhattan—we saw nothing but tall buildings swarming with people; in fact, more than were there when we arrived in 1990. We believe, however, that it is important to listen to people. Perhaps these Santa Feans had noticed something we’d overlooked. What if we were to question the assumption that “suburbs” were the areas outside the congestion of the urban core, defined by their stark contrast to the city: green instead of asphalt, wood instead of brick, out instead of up? What if “suburbs” (at least in the American system) stood for the “wealthy white spot” in the regional plan? For the past fifty years, the suburbs have been the places inhabited by well-to-do white people, but that is changing. For years, we looked at the Columbia-Presbyterian Medical Center which stood on the other side of a parking lot (which served the local youth as a baseball stadium in the evenings) and an abandoned park. Broadway was a no-fly zone between them and us. True, there were people of color on both sides of Broadway, but the whites were only on the other side, across a broad avenue from where we sat. One of

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the most important crack dealers in Washington Heights was established in the building across from our offices. The sidewalk was covered with crack vials in the morning, and occasionally bullets left holes in our doors and windows. We were so used to the rhythms of crack that it was a shock when they disappeared and the parking lot/baseball stadium was taken for a new science research building. We watched the building go up. The jackhammers were torture for several months. There is no entrance to the building on our side—one has to go around to Broadway to enter through a door that is well guarded. The first floor mammography clinic is the only nod to the neighborhood. The building’s white bottom, which faces “the community,” states its purpose in a broadly derogatory manner. The boys try to play baseball all around, but the builders’ strategic placement of light-posts largely frustrates them. We watched as white people began to cross Broadway to go to the new building. We experienced an even deeper shock when we were informed that we had to move because white researchers needed our space: suddenly gentrification hit home. Perhaps this was the meaning of the “suburbanization of New York”? Eric Homberger, in The Historical Atlas of New York City, gives fine detail about the evolution of New York City, from its rural beginnings on the southern tip of Manhattan island to its current incarnation stretching over three islands and the mainland of New York (Homberger, 2005). He develops a theme that New York City is composed of two worlds, often embattled with each other. These battles are one of the forces changing the maps of the city. For example, speaking of African-Americans in New York, he said: The African-American population in New York has moved repeatedly over three centuries of life in the city. At each stage the movement was accelerated by racism and violent attacks by white New Yorkers. After numerous attacks and dozens of murders of the small African-American population in the July 1863 draft riots, there was a substantial movement uptown, to the section of midtown on the western side of the Tenderloin that became known as “Black Bohemia.” (138)

Towards the end of the book, Homberger noted: New York is not so much a city or a community as a vast geographical and administrative basket in which essentially autonomous social worlds are to be found. In the 2000 census, the Upper East Side of Manhattan…reported a whopping total of 132,415 persons with bachelors, masters, professional school degrees or doctorates out of a total population of 217,063. The comparable total for Brownsville/Ocean

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Hill in Brooklyn…was 3,382 out of a total population of 85,343…The census data remorselessly makes and re-makes the same point: that there are two communities in New York, rich and poor, as separate from each other as though Robert Moses had ordered the erection of a Berlin Wall of stone, cement and barbed wire across 96th Street. (150–151)

Yet just as people thought the Berlin Wall would stand forever, so 96th Street fell as the northern edge of the zone of wealth and privilege. If we link the two parts of Homberger’s argument—that there are two separate groups and one moves because it is forced by the other—we must reject the idea that the two social worlds are “essentially autonomous” and consider the proposition that they are moving in lockstep, the poorer world at the mercy of those with wealth and privilege. The Rosetta Stone that allows one to read the terrain is a map absent from Homberger’s book (which is considered an essential desk reference by the New York Public Library). This is the map created in the 1930s by the Home Owner’s Loan Corporation, an agency created by the US government, to protect investors after the stock market crash of 1929. The HOLC realized that cities were composed of sections, some old, some new, some inhabited by immigrants and people of color, some by white people. Using a simple algorithm, the HOLC devised a four-grade ranking system to guide the odds of getting a return on investment. The best odds went to the “green” zone, where new houses were being built for white people. The worst odds went to the “red” zone, where non-white people lived in old buildings. These maps were created for hundreds of cities and still influence investment decisions. They came to be known as “redlining” maps, though that term obscures their real function: creating a regional ecology of inequitable investment. In this ecological system, neighborhoods are set on separate paths. Those denied resources lose momentum, people, and economic energy. Those given resources have the appearance of energy and engagement. What is generally not recognized is that such a system of inequality creates regional hazards, undermining the capacity of the whole area to sustain health and support economic growth. Another feature of the system is its instability: green zones become blue, red zones become green, all driven by policies layered on top of the original systems of segregation. Policies that Create Instability Redlining assigned economic values to the existing system of segregation. Segregation was a part of the structure of the city from its

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inception, and some remains of the earliest manifestations—among them, the African Burial Ground—have now been excavated and preserved to deepen our understanding of the system and how it worked. Redlining was applied on top of the existing system of segregation, and aggravated the unequal distribution of resources. Despite this, during the first half of the twentieth century, African-Americans and other minorities made their way to New York and other American cities. There they developed functional neighborhood-based communities and began to climb the ladder of opportunity that had served other ethnic groups before them. They were blocked at the point at which accumulated wealth, education and culture should have bought them access to mainstream American society. According to the Report of the National Advisory Commission on Civil Disorders, published in 1968, the black experience was in stark contrast to that of earlier groups of white immigrants who had dispersed from the city to suburbs (Report, 1968). The Report noted: Nowhere has the expansion of America’s urban Negro population followed this pattern of dispersal. Thousands of Negro families have attained incomes, living standards, and cultural levels matching or surpassing those of whites who have “upgraded” themselves from distinctly ethnic neighborhoods. Yet most Negro families have remained with the predominantly Negro neighborhoods, primarily because they have been effectively excluded from other residential areas. Their exclusion has been accomplished through various discriminatory practices, some obvious and overt, others subtle and hidden. Deliberate efforts are sometimes made to discourage Negro families from purchasing or renting homes in all-white neighborhoods. Intimidation and threats of violence have ranged from throwing garbage on lawns and making threatening phone calls to burning crosses in yards and even dynamiting property. More often, real estate agents simply refuse to show homes to Negro buyers. (244)

Unable to move from redlined areas, African-Americans found themselves in harm’s way. Urban renewal, under the federal Housing Act of 1949, authorized cities to use eminent domain to take large swathes of urban land that was deemed blighted. Blight was mapped over the redlining maps, which were themselves mapped over the existing ghettos. The land was then cleared and sold at a substantial reduction in cost to developers for what were euphemistically called “higher uses.” These higher uses included cultural centers, universities, and new housing. Approximately one million people were displaced by urban renewal, twothirds of them African-American. In the aftermath of governmentinstituted displacement, many blacks could not “disperse” into the

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surrounding areas but found themselves crammed into nearby ghetto areas. This increased overcrowding and frustration, and contributed to the civil disorders of the late 1960s. Redlining followed the African-American population as it moved from place to place. In New York City in the 1970s, redlining was transformed from preferential investment into catastrophic disinvestment (Wallace, 1988). It was given the name “planned shrinkage.” Roger Starr, architect of the policy, argued that, as cities were losing population, it would be useful to “plan” the downsizing of the city. He urged New York City to close fire stations in poor neighborhoods to clear the land. The land could then be mothballed, until business and industry found appropriate uses for it. This plan was implemented in the mid-1970s with the closing of fire stations in poor, minority neighborhoods. Lacking adequate fire protection, the neighborhoods burned down. In the aftermath of the firestorm, survivors faced a host of social, economic and health catastrophes, among them, displacement and loss of social networks; epidemics of drug addiction (including crack); infectious diseases (including AIDS); and violence of all kinds. These epidemics stretched local resources to breaking point. We viewed this agony at its nadir in the 1990s. Instability from the Inside In the early 1990s, when the Community Research Group began its work, crack was battering low-income neighborhoods. The crack trade was a major employer in places that had been left high and dry after the nation’s loss of manufacturing jobs. And crack was quickly and intensely addictive. It was not uncommon to hear stories of people who couldn’t stop after their first use of the drug. Crack altered everyday life in ways large and small (Fullilove, Heon, Jimenez, Parsons, Green & Fullilove, 1998). Drug gangs battled for turf, turning Harlem, Washington Heights and other neighborhoods into battle zones. People were afraid to walk in the streets for fear of getting shot. Mothers would push file cabinets in front of the windows so that babies could sleep protected from stray bullets. At that time, a woman pointed out to us I cannot stop on the corner because I saw you and want to say hello, and feel comfortable. I can’t stand in front of my building like I used to…because they throw things from the roof.

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A young man said I don’t feel safe, maybe because I’m older and more conscious, or maybe because the violence has gotten worse…and just, drugs has gotten worse in the neighborhood.

For those in the heart of the catastrophe—the addicts themselves—life was a series of traumas and terrors. Crack was consumed in crack spots or houses, and these were often the places in which people traded sex for drugs or for money to get drugs. Because the hit of crack was short-lived, people found themselves in a desperate cycle of sex-for-drugs/crack hit/sex-for-drugs that went on until people were exhausted. Disease and despair flourished in such an environment. Among those addicted to drugs, the usual work of adults—caring for children, going to jobs, participating in neighborhood life—collapsed (Fullilove, 2000). Children went into foster care in epic numbers. Neighborhood life crumbled. Neighbors pulled away from each other as the sense “we’re in this together” was replaced by “standing on your own two feet.” One long-term resident of Harlem told us: I was born and raised in Harlem so I have this romantic thing about Harlem. I find Harlem to be very people-friendly. Sometimes I have to catch myself because of the romance of what it used to be. I liked Harlem when everybody was like “Good morning, how are you doing?” with a little Southern twang. The romance in Harlem was those of us who were born and raised, we remember the man with the cart who used to sell TV Guide, Jet magazine, Amsterdam News. The peanut man. He used to have the hot peppermints, the peppermints that melted in your mouth. That’s what I mean about the romance of Harlem. The romance in that you didn’t fear your neighbors, your kids didn’t fear your neighbors, your neighbors were your safety…the romance in Harlem is gone. The love. The tenderness.

The agonies of the crack epidemic were not the only problems people faced in neighborhoods that had been damaged by catastrophic disinvestment (Fullilove, Green & Fullilove, 1999). The burned-out buildings, the lack of real jobs, and the deep injury that social networks had endured: these problems were each as serious as the crack epidemic. But the problems did not exist in isolation. The lack of jobs made selling crack seem like a good idea. The weakness of social ties made it difficult to maintain controls on noxious behavior. The loss of housing meant that many faced homelessness, periodically if not chronically. In one survey we carried out in Harlem, we found that one in four adults had been

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separated from their mother for more than a year prior to age eighteen and a similar percentage had been homeless at some point in their adult lives. The collapse of community, and the pain that brought people, were captured in these remarks: [Frederick Douglass Boulevard] became a desolate area. We’re talking from 148th Street to 155th Street, basically on both sides of the street, for a ten-year period there was no housing. It was sad. I remember the first time I really noticed, I was walking down the street, it was like: what’s different? And I’m walking and I said to myself, “God, I haven’t said ‘Hi’ to anybody.” Then I stopped and I looked around and I thought about it, people lived in these buildings and [the buildings] don’t exist anymore. [My] building went down horribly. All the people moved out. Other people came in. The city took over the building. We had a lot of cold winters, a lot of no heat, a lot of no hot water. The last few years were really bad. The door never stayed locked downstairs. Drugs were in the building. A couple of apartments were evacuated and then they would have crack in and out of them. And you know it’s really deteriorated when drugs are being sold right in the hallway.

These problems were not, as was often argued, the result of individual or even collective pathologies. These problems were the direct result of a series of destabilizing policies that had confined minorities to ghetto areas, displaced them to other ghetto areas, then deprived the ghettos of the minimal resources needed for survival in an urban setting. Everywhere around us, we could hear the stories of place loss engendered by these policies and each set of policies set in motion a new set of stories. The stories taught us what was often hidden in the official discourse of displacement: that the costs of displacement were very, very high, leaving those forced to move poorer and more unhappy than they had been before (see Table 3.1 below). In The Living City, Roberta Brandes Gratz makes the point that, at the exact same time the ghettos were burning down, massive investment was being made in new “green” areas of New York City, like Co-op City, Roosevelt Island and Battery Park City (1994). In the aftermath of planned shrinkage and preferential investment, she noted: Instead of a healthy consolidated city, an urban extremism emerges: increased abandonment of weaker neighborhoods on the one hand and accelerated investment in choicer areas on the other. Bad gets worse and good gets better. Existing residential communities, with whatever degree of cohesion and socially useful networking they experience, are either destabilized by an overheated real-estate market fueled by shifting public resources or abandoned as unredeemable. New human

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Chapter Three Mindy Thompson Fullilove and Robert E. Fullilove and economic costs for the larger society result, with the most visible manifestation of those costs in the homelessness epidemic that was barely in evidence a decade ago plaguing our cities today. (181)

Table 3.1. Table of Losses (page numbers refer to Root Shock, 2004) An Example Loss Unfair offer for old Mr. Caldwell Butler was a white lawyer who helped people displaced by urban renewal bring suit for just home compensation (79). Higher costs for new Mr. David Jenkins’s family had to buy a new house in home West Philadelphia at higher cost. (transcript) Loss of sentimental Mr. Charles Meadows had his house “to where I really liked it” but got only a fraction of the value and had to value of home take out a new mortgage (82). Inability to move Many businesses were unable to move, as I note about business the Lower Hill (172). Segregation limiting Monsignor William Lindnor noted that urban planning and vigilantism limited African American movement mobility out of Newark (144). Emotional turmoil: All interviewees—even those who thought urban renewal was overall a good idea—agreed that losing grief, anger, stress one’s home was a painful and stressful event. Opportunity costs Ms. Arleen Ollie moved around for seven years, while her family got back on its feet after displacement (78). Loss of organizations Councilman Sala Udin reported that there were thousands of organizations in the Lower Hill, many lost due to urban renewal. (transcript) Loss of structure of Mr. Charles Meadows noted that, in the old neighborhood neighborhood, “…we just had better relations.” (82). Dispersal of family Councilman Sala Udin remembered being sad at moving because “old, old, old friendships that bound and neighbors people together were being broken.” (174). Loss of cultural capital Ms. Tamanika Howze said she looked forward to rites of passage in the Hill District, such as going to the famous jazz clubs, many of which were lost in urban renewal (165). Loss of political Councilman Sala Udin noted, “…we are not only politically weak, we are not a political entity.” (175). capital Loss of faith in Dr. Reginald Shareef, who studied urban renewal, government reported, “…a deepening, deepening distrust and mistrust between the black community and the city government.” (99).

During the economic boom of the Clinton years, jobs became available, people got sober, children returned home, violence eased. Our

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neighborhood and others began to emerge from the decades of battering that had been triggered by planned shrinkage. People could stop at the corner to say hello, it was safe to walk in the park, children started to play outside again. It was then that gentrification seemed to emerge out of nowhere. Suddenly, houses in Harlem that used to be $30,000 were worth $500,000 dollars. The big real estate companies opened offices uptown, and the buying began. One African-American student, who resided in Harlem, rushed into class to say, I can’t take it. I went into the laundromat at 10 p.m. and there was a white woman there. And do you know she had the nerve to spray the table with Lysol before she folded her clothes? Do you hear me—a white woman in Harlem at 10 o’clock at night!

In fact, the New York Times announced that one could throw a dart at the map of New York and wherever it landed was the next great neighborhood: the whole city was hot. With government support for investment in the green zone, development at the edges of cities was assured for decades. Meanwhile, city leaders got into the competition for development dollars by creating “green” zones inside the cities, using policies of urban renewal and planned shrinkage. As large tracts of cheap land opened up inside the city, and suburban development reached the end of the commuting zone, a shift began in which development returned to the city. It is in this way that the suburbs (read: wealthy white people) began to re-insert themselves into the city. As the money was moving, the people-with-money were moving. As they were moving, the people-without-money were forced to move as well. While settling/unsettling is hard on all involved, the instability in the system was founded on inequality in the distribution of resources. This meant that those who started out with less lost more and suffered more. The inequality has become worse as the decades passed. Gratz argued in The Living City that urbanism is the art of making the city. The key to doing great urbanism is to take many small steps, each informed by a vision of justice. This urbanism has to have, as its great goal, the undoing of the ecology of inequitable investment. Each small step must be developed with that larger vision in mind. This demands that we develop a new technology: engaged, justice-based planning. Such planning must start from the premise of undoing segregation in New York and all US cities. Such planning must search for the Berlin Walls and take them down. We must erect in their stead places that nurture our collective living, and fuel the life of the city.

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We often visit the Bronx, and one community garden was a special favorite. We happened to visit in its last days, as local people were battling to save it. It was another local group that wanted to take the land in the name of building housing. What they erected was not an apartment house to shelter many people, but a short section of two-family homes that are an odd contrast to the larger setting. What might have happened on that site, given a new vision of urbanism that used gardens to strengthen apartment buildings and apartment buildings as the cornerstone of community? The suburbanization of New York is not a solution to its ills, but only the latest turn in the cycle of inequitable investment, which has all of us trapped in an unstable, unsettled system.

Figure 3.1. Two Views of the Bronx Left: A community garden, created in a lot left vacant by planned shrinkage. Right: Two-family houses that replaced the community garden.

Roadmaps for Rebuilding Sustainable Communities Serial displacement and unmitigated loss interact synergistically to create a downward spiral of social fragmentation that is accompanied by a collapse of health. At a staff retreat in 1996, we hypothesized that the reconnection of the fractured units was at the heart of recovery. We made a commitment to contribute to repair and we have worked on a number of interventions since that time. While a number of scientific terms—such as resiliency and weathering—have been advanced to talk about aspects of

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the process of social collapse, we have found that “naming the situation” is more useful for conceptualizing intervention. Given 1) repeated upheaval falling on the same communities, and 2) the feedback loops created by unmitigated losses, we have conceptualized the problem as “accelerating social erosion.” This name is useful because at the heart of managing erosion is stabilizing soil. We believe that stabilizing community is at the heart of changing the downward spiral tearing at many poor neighborhoods. The solutions that have interested us are those that have brought social units together. Family To Family—our first project—brought families together to help each other. In other projects we have brought organizations together. In our conceptualization, the reuniting of the fragments of society is the critical act of repair. In the following paragraphs we provide a brief overview of the projects we have developed to respond to accelerating social erosion. Family To Family was a family-strengthening program developed as a technology transfer project. We decided to adapt the Family Home Evening program of the Church of Jesus Christ of Latter-Day Saints. The Bishop of the Church’s First Ward in Manhattan called four young couples to service. They partnered with four Harlem families to teach us how Family Home Evening worked and to help us adapt it to the needs of fragmented families who did not share a common religion. A core group of twenty families shared a “reunion dinner” every three months over a ten-year period, sharing hope and squash soufflé. “Hillscapes: Envisioning a Healthy Urban Habitat” was a project in Pittsburgh’s Hill District. We were invited to be visiting professors at the University of Pittsburgh’s Graduate School of Public Health and to work with the Hill District Consensus Group, an alliance of local organizations. In the aftermath of upheaval from urban renewal, riots and disinvestment, and facing more upheaval from gentrification and Hope VI, the Consensus Group invited us to work with them to chart a path forward. This resulted in a series of four Teach-Ins and a conference that helped local residents and organizers conceptualize the importance of place. NYC Recovers was launched after September 11, 2001 as an effort to address the disruption of collective functioning. While a very large effort under the name Project Liberty, directed at providing mental-health services for individuals traumatized by the tragedy, hardly any money or attention was directed at the disruption of the social fabric caused by destroying the equivalent of a regional commercial center. NYC Recovers, an alliance of organizations concerned with the region’s social and emotional recovery, argued for every organization in the region to work

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together for recovery. For example, NYC Recovers proposed “Holiday Healing,” an effort to adapt the region’s holiday parties so that they might serve a dual purpose of ritual observance and social reassurance. Had this proposal been adopted, we pointed out, nearly every person in the region would have had the equivalent of a course of brief therapy by the time January 1, 2002, rolled around. City Life Is Moving Bodies (CLIMB) was launched in 2005. An alliance of organizations in northern Manhattan, its goal was to strengthen communities by creating a hiking trail through parks and neighborhoods that had suffered from disinvestment. CLIMB’s major organizing effort was an annual hiking party, Hike the Heights, which gathered families to hike to the Highbridge Tower in Highbridge where they lunched and played together. By linking parks in this way, CLIMB created a new map of New York City. The alliance brought groups together that were more likely to be isolated in the usual neighborhood structure. By taking people into abandoned parts, CLIMB helped to reconnect people with their resources for outdoor play and congregation. The University of Orange, started in 2008, undertook the mission of learning how the poor, predominantly black city of Orange, NJ, could become “the urban village of the twenty-first century, a just and beautiful city.” Created as a “free, people’s university,” the University of Orange was dedicated to providing lifelong learning. As of this writing, the University of Orange had undertaken its first major project, conceptualizing the “Heart of Orange,” a working-class neighborhood at the center of the city, which had been decimated by highway construction, disinvestment and de-industrialization. The University of Orange planned to bring Michel Cantal-Dupart, a renowned French urbanist, and other nationally recognized experts to consider a future in which the poor of Orange are reconnected to the local economy and the whole city prospers. These efforts have demonstrated that small social groups will coalesce for common goals, with demonstrable positive outcomes for all. However, the ongoing processes of upheaval continue to take a toll, destabilizing whatever is rebuilt. In a context of societally generated instability, we are building communities on sand. As Harry Belafonte pointed out long ago, a “house built on a weak foundation will not stand.” Conclusion While it is necessary and possible to rebuild communities disrupted by social policies, war or natural disaster, in the context of serial

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disruption a downward spiral caused by the synergistic interaction of social fragmentation and unmitigated loss is all too likely. The consequences for health are dire. In a world facing continued rapid change due to economic and social forces, it is important to consider how the world’s communities will be stabilized and sustained.

CHAPTER FOUR THREE ANSWERS TO URBAN POVERTY: CONSISTENT LEADERSHIP, ORGANIZATIONAL PARTNERSHIPS, AND FAITH COMMUNITY INVOLVEMENT Then I said to them, “You see the trouble we are in, how Jerusalem lies in ruins with its gates burned. Come, let us rebuild the wall of Jerusalem, so that we may no longer suffer disgrace.” I told them that the hand of my God had been gracious upon me, and also the words that the king had spoken to me. Then they said, “Let us start building!” Nehemiah 2: 17–18

The Problem Urban poverty is a disaster because of what it spawns: violence, homelessness, hunger, and the resulting hopelessness that makes healthy families a dream and strong, educated children the exception. In cities around the world, when the industries that attracted large populations leave, a cycle of decline begins. The question for every community in decline is: how long will it take to recover? From 1970 to 1980, as economic struggles hit the Bronx, New York, Worcester, Massachusetts, and New Orleans, Louisiana, these cities lost 20.6 percent, 8.6 percent, and 6.1 percent of their populations respectively, and median household income decreased (see Appendix at the end of this chapter). What happens next in each metropolis, however, is a qualitative case study of how to recover from disaster. While New Orleans continued to decline in population, both the Bronx and Worcester saw population increases and renewal beginning in the early 1980s and lasting through most of the 1990s. As a result of community organizing around issues like education and housing, the communities began to rebuild and population continues to increase, but sustainability, as exhibited by median income numbers, continues to be a challenge. New Orleans, however, did not experience any of the renewal

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found in the other two cities: only the removal of half the population, mostly poor, increased the median household income. In a city already suffering from the disaster of urban poverty, Hurricane Katrina has made New Orleans a setting where the process of rebuilding sustainable community can be observed literally from the ground up. Method As three ministers, our daily work in communities focuses on building faith; but faith is built not only with sacred texts and worship. In congregations and non-profit organizations, volunteers, clients, and donors only show up if their core needs are being met, and those needs begin with the essentials of life. Connecting those we serve to food, housing, education, and public safety is critical to what we do in the communities we serve, and in fact provides the foundation for valuable qualitative insight into how communities recover from disaster. While we are not statisticians or researchers equipped with the longitudinal studies of sociologists, the success we have within our communities is based on what works. We present three different perspectives on disaster recovery: Rev. Paul Block is a local church pastor in the South Bronx; Rev. Bob Bachelder heads a church-affiliated mission society in Worcester, MA; and Rev. Jon Wortmann has lead fourteen short-term mission trips, one to the South Bronx, two to Worcester, MA, and two to New Orleans after Hurricane Katrina. We have witnessed communities transform one person, one relationship, and even one neighborhood at a time, and noticed particular signs of sustainable community. Our observations carry the weight of lives we have seen changed, how they achieved the transformation, and their stories, which reveal what any community can focus on to begin the process of rebuilding. South Bronx: Transfiguration Lutheran Church—Rev. Paul Block I write from the perspective of a parish pastor. When we discuss rebuilding sustainable communities, I pray, think, and work towards rebuilding a specific community, the congregation. Congregations themselves are living, breathing organisms. As a gathering of people of faith, they have unique characteristics within the complex systems of

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urban life. Congregations gather people who have a common belief—for Christians, this is the Gospel of Jesus Christ. As such, congregations are made of individuals and families who voluntarily come, supporting this organism with their time, talents and income. Congregations depend on the commitment of these people to be sustained. As the pastor of a congregation, it is my responsibility to shepherd this organism. Sustaining this unique type of organization is a challenge in any environment; however, there are unique challenges and opportunities to building sustainable communities for children and families in impoverished areas, and when successful, the opportunities lead to transformation. The Tension between “Rebuilding” and “Sustainable” There is a dynamic tension found in pairing the words “rebuilding” and “sustainable.” Sustainable implies continuity—the ability to last. Sustainable farming, for example, seeks to tend to the earth in a way that the land and the natural resources will continue for generations to come. Rebuilding, on the other hand, implies a breach in that continuity. Something has been broken down. In New Orleans, this was a devastating hurricane. However, before the levees broke, there existed conditions that were in some ways just as devastating, but it was the hurricane that brought attention to the pain in the Crescent city. Often, in order to “rebuild sustainable communities,” the status quo—continuity—is detrimental to the desired outcome. In the South Bronx, there was no hurricane, just a slow-burning fire. In the midst of the burning of the Bronx, continuity was the last thing needed. HIV/AIDS had become epidemic; gangs controlled the streets and the projects; with the advent of crack cocaine, many families had seen the lives of their loved ones lost to addiction. These conditions had prevailed for too long; the South Bronx required a break in this type of continuity— we needed dramatic change, or transformation. It is in the building, even more so than the completion of the project, that we discover true sustainability. Transformation #1: From surviving to thriving—the gift of the congregation and its leaders. Persistent poverty has a dramatic impact on the life of the family. According to a 2006 New York Times article, The Bronx was third-lowest ($29,228) [in median household income] and remained the poorest urban county in the country. More than half of

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The Bronx continues to lag behind in high school and college degrees. This strain is particularly hard on the working poor—those who work fulltime jobs to support their families, yet still struggle to pay rent and their bills. One of my parishioners, a migrant from Puerto Rico, worked in the early 1960s as a seamstress in the garment district. She spent roughly onethird of her income for rent. Now retired, she says it is harder today for the urban poor, as rents have increased tremendously. Today, many of my parishioners spend over half of their income on rent. In addition, poor neighborhoods have high percentages of methadone clinics, halfwayhouses, homeless shelters, and high rates of asthma, obesity, and mental illness. When the Rev. Heidi Neumark first walked into Transfiguration Lutheran Church in 1984 as a young pastor, she found graffiti on the walls of the door. She bought a bucket of red paint, and painted over the door. It would become a habitual act, as the graffiti would return over and over again. Eventually, with the guidance of an artist, the children of the neighborhood painted elaborate biblical murals on the door, and the graffiti stopped. Over the next two decades, Transfiguration would establish itself as a vital part of the South Bronx, with programs for children, youth and women, amid the great devastation of urban blight that plagued cities throughout the country at the time. These realities pose a number of challenges and opportunities for congregations like Transfiguration. Most of the membership is comprised of those on the margins of society, reflecting the problems of the South Bronx community, and these folks struggle with the consistency essential for leadership. Yet, an essential component to a sustainable community is full participation. One theological principle that the Lutheran church holds is the idea of the “priesthood of all believers” (1 Peter 2:9). In other words, all disciples, not just the ordained clergy, have a ministry. If you come through our doors, the assumption is that you have gifts for leadership to be developed. While many congregations invite the addicted, sick, and poor to participate, they do not encourage their leadership; recovery from disaster means everyone leads. One member of Transfiguration has lived with a diagnosis of paranoid schizophrenia his whole life. After he became a part of the community, he designed a Noah’s Ark mural on the outside of the church that greets passersby every day. In the 1990s when many people with HIV/AIDS felt ostracized by the faith community, half of our church council had “the virus.” These examples point to an importance of purpose

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in sustainable communities. When people have a stake in the community—a congregation or other community—the community grows as a result. In 2003 Transfiguration Lutheran Church said goodbye to its pastor, the Rev. Heidi Neumark. She had come to the church during the worst years of the South Bronx, and she presided over a revival of the church that has been chronicled in her memoir, Breathing Space (Neumark, 2003). Any congregation that goes through a transition of leadership in a mainline denomination faces fears and uncertainty about their future: these fears are only amplified in communities in poverty. So much of the congregational identity had been connected to the pastor that when she left, Transfiguration faced a real possibility of closing its doors. In my first year of ministry at Transfiguration, we faced major organizational and legal issues. The congregation had established a nonprofit corporation to run some of its ministries like the after-school program. Many urban congregations have done this in order to pursue “secular” grants, funders who choose not to fund religious organizations. After establishing this corporation, however, Transfiguration did not have the technical capacity to run a separate non-profit corporation. There was no active board of directors; annual reporting was not given to the Internal Revenue Service. The IRS eventually revoked the non-profit status. Desperate for funds to run our after-school and summer programs, we lost grantors who required audited financial statements. While we had excelled in certain aspects of building community, we lacked in another— self-support. Most of our budget came from external sources—the diocese, the national church, and grantors. In many ways, the church was blessed with the generosity of others, but even as it did vital ministry, it did not cultivate a sense of self-reliance and struggled to survive. I spent much of 2004, my first year at Transfiguration, in lawyers’ offices, rummaging through old bank records and trying to salvage our important ministries in the community. Through some hard work and sacrifice made by a number of key church leaders, we were able to emerge from our legal plight, but the church had to make some radical changes. In 2006 we unveiled a strategy called “Jubilee 2014”, our vision of ourselves for the next seven years. Grounded in the biblical idea of liberation found in Leviticus 25, we have set a vision to become free from diocesan and national church funds, which covered about 65 percent of our budget. We began an annual stewardship campaign, looking to increase our giving—which, in turn, increases our ownership of the ministries. We are toward the beginning of this plan, but we have moved from survival and are walking toward a thriving congregation.

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One ministry that has helped sustain children and families has been our “Fam Jam.” We recognized the challenges that families face in our community, so we began a Friday night program in which we all sit down to a common meal, but the families eat as families—at their own table. After dinner, we do activities that strengthen families. One night, for example, each family made a crest—a shield in which each family member drew pictures and words that represented the strength of their family. The faith community is an essential component in so many ways in areas of poverty like the South Bronx. It provides a respite from the burdens of urban life. Congregations often respond to needs of the community with food pantries and after-school programs, but ignore the internal leadership and family support needed to rebuild communities rather than simply help them survive. In each of the last four years, the support we receive from the Diocese and the national church has been a smaller portion of our overall budget on our way to meeting our vision for a transformed future. Transformation #2: From recipient to relationship—the gift of creative relationships. Despite the incredible transformation of the building stock throughout the Bronx and its general revitalization, the South Bronx continues to connote certain disparaging images to those outside its territory. These images have been perpetuated in various media, from pop culture to academia. A book by Tom Walker and a movie produced by Time Life Television Films, both entitled “Fort Apache,” depict a horrendous environment of policemen murdered with handguns at close range, cockfights, addicts, stripped cars, prostitutes and rats. An excerpt from Amazing Grace by the sociologist Jonathan Kozol reads, During these days I walk for hours in the neighborhood, starting at Willis Avenue, crossing Brook, and then St. Ann’s, going as far as Locust Avenue…In cold of winter, as in summer’s heat, a feeling of asphyxia seems to contain the neighborhood. The faces of some of the relatively young women with advanced cases of AIDS, their eyes so hollow, their jawbones so protruding, look like the faces of women in the House of the Dying run by the nuns within the poorest slum of Portau-Prince. It’s something that you don’t forget. (Kozol, 1995: 71)

While aspects of these stereotypes do exist, the images feed people’s deepest fears and anxieties; often they inflame racial and ethnic prejudices as well. More importantly, these images also hinder creative relationships with those outside the community. In our ministry, we have benefited from creative external relationships, and we have been very intentional in

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developing real relationships. The old model of help has been that of benefactor to recipient. While is it true that financial assistance has been an important component of the life of urban churches like Transfiguration, it is essential to reach beyond the old model to authentic partnerships that benefit each participating community. At Transfiguration we have cultivated a number of relationships with other congregations. Each summer we have hosted youth from congregations throughout the Northeast and Midwest that are interested in doing service projects, including Pilgrim Congregational Church of Southborough, MA, where the Rev. Jon Wortmann is pastor. In addition, we have developed a few long-term relationships with congregations. In particular, Our Saviour’s Lutheran Church in Oconomowoc, Wisconsin where I was baptized as a child, has taken the initiative to build an intentional relationship with the people of Transfiguration. Oconomowoc is as different from the South Bronx as you can get: it is a small town, with very little ethnic diversity. Many of the members of Our Saviour’s have never been to New York, and so their perceptions are formed by media representations of the South Bronx like those cited previously. However, having supported my seminary training, there was a desire in the church to continue to support my ministry in the Bronx. Initially, the relationship between Transfiguration and Our Saviour’s began with my preaching each time I returned to Oconomowoc. Each church began to pray for each other’s ministry, and soon Our Saviour’s began supporting Transfiguration financially. In 2006, a group of folks from Our Saviour’s traveled to the Bronx to further build our relationship. Their trip corresponded with our five-week summer camp, and we utilized some of their talents. For example, two of the children from Our Saviour’s happen to be world-class log rollers, so they taught this sport to the children from the Bronx. Another member is a veterinarian, so he taught our children about animals and veterinary work. In addition, some of their musically inclined members helped to lead music during our daily worship. At night, members from Our Saviour’s and from Transfiguration went to Yankee Stadium, one of the gems of the Bronx that few residents can afford to enjoy. The trips culminate with Sunday worship: we come together to celebrate what overcomes our many differences—our common faith in God. This year, nineteen people came from Our Saviour’s. In addition to barbeque and wiffle ball games, members of the two churches sat around tables and discussed ways in which we could further develop our relationship. The result was that each member found a partner from the other church with common experience and interests to stay in contact

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throughout the year. A man who runs a recovery group in Wisconsin will connect with a woman in recovery from our church. The two musicians from each church will share ideas and resources through the Internet. One member from Our Saviour’s took an active interest in our food pantry, which serves over 1000 people each month. He and our food pantry director will explore opportunities to further grow our pantry. Our afterschool program director has a similar relationship. Witnessing the commitment of these visitors, the folks from Transfiguration have decided to make the trip to Wisconsin next summer. Building this relationship takes more time, effort and energy than merely being the recipient of a financial gift, but both partners have discovered that building these relationships is an important aspect of sustaining our community. Moving beyond the benefactor-recipient relationship has expanded both congregations’ faith and action. One participant from Our Saviour’s reflected after the most recent trip: It was uplifting to see people of God, from different cultures, integrate their own unique spirituality into a singleness of purpose: building stronger life-changing relationships. The love and passion demonstrated by the people of Transfiguration for their church, their community and their fellow brothers and sisters was spiritually uplifting.

Isolation is a challenge in any community, whether it’s in a small town in Wisconsin or the streets of the South Bronx. As we share with each other our faith journeys, our faith and commitment to our own communities grows stronger. These partnerships have had an impact on the various ministries at Transfiguration. Each year our food pantry distributes around 50,000 pounds of food to the community. Charles Simmons, a resident of the community, began volunteering at the pantry in 2004. Over time, his responsibilities and leadership have grown, and he now oversees most aspects of the pantry. He has cultivated relationships with our various partners, including Pilgrim Congregational Church of Southborough, MA. Last year during the holiday season, a member of Pilgrim Church donated a dozen turkeys to our pantry so that more families in the neighborhood could sit down to a substantive holiday dinner. Transformation #3: From weakness to power—the gift of community organizing. During the worst years of what Howard Cosell so famously described as the burning of the Bronx, there was a real sense of powerlessness in the South Bronx. For parents trying to raise their children, the obstacles were many and the resources few because the streets became a truly dangerous place. Government officials had

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implemented a strategy of “planned shrinkage,” in which basic services such as police protection, garbage removal and the like were reduced in an attempt to encourage people to leave—and many did. Jimmy Carter famously stood amid the ruins during his campaign for the presidency because the South Bronx had become a symbol of urban decay throughout the country. In response, during the late 1980s community organizing came to the borough with the formation of South Bronx Churches (SBC), an organization of the Industrial Areas Foundation. Based on the principles articulated by Saul Alinksy, community organizing seeks to build relationships and political power among those who otherwise might not have the financial resources to access the power structures. At its foundation, it relies on the “individual meeting,” a thirty- to forty-minute public exchange between two people. At the individual meeting, two people explore their passions, interests and experiences. When these meetings are done on a large scale across denominations and congregations, relational power is established. SBC engaged in these meetings over the course of months and years, and then explored what the common desire was among the people. In addition to small victories, like cleaning up a park and improving garbage removal, SBC set its sights on building affordable housing. Rather than constructing large projects, South Bronx Churches focused on building one- and two-family homes in which people would be homeowners. Of course, as an organization, SBC has no financial power, but it has relational power. It represents dozens of congregations and thousands of people. Together, the people of SBC can assert themselves to have meetings with the Mayor, the Archbishop of New York, and others with financial and political power to reach SBC goals. Through many battles—some won, some lost—SBC was able to build over 800 homes. Vacant lots where the cockroaches and rats ran wild became neighborhoods again. In the 1990s, SBC focused on education, building two innovative public schools—Bronx Leadership Academy I and II. When Mayor Bloomberg was elected, he made education the centerpiece of his agenda. SBC challenged his Schools Chancellor, Joel Klein, to build new schools. In return, he challenged the community to find the space. An un-utilized rail-yard and vacant land owned by the MTA was designed into a campus of six small schools, sharing common green space like their football field. Underground, the buildings would share a cafeteria, library, and gymnasium space. The total cost: $130,000,000. Because of the SBC’s

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relationship with the Chancellor and the mayor, the common goal had their full support. However, $130 million projects do not happen without obstacles: for logistical and land availability reasons, the number of schools went from six to four, but everything seemed to be going in the right direction. All construction projects need the approval of the City Council, and what had thus far been “smooth sailing” hit an obstacle that could have nixed the project entirely. All construction projects require environmental studies, and when completed on the proposed site it revealed toxins in the northwest corner. Public meetings were held, and the project faced resistance from our City Council Representative. Ironically, the toxins would remain unless the schools were built. South Bronx Churches filled each of three City Council meetings with 200 people. Our leaders—parents, pastors, and students—spoke passionately in favor of the schools. The council member representing our district seemed stunned by the turnout even as she continued publicly to challenge the project. By the time of the final vote, she had changed her perspective, and the project was passed unanimously. Ground has been broken, and the first school will open later this year. Weakness to power. In rebuilding sustainable communities in the wake of disasters, whether a natural disaster, or the long-simmering disaster of urban poverty, there is a unique opportunity to make a fundamental change in the way things are done—to transform a community. In each of the three transformations presented here, there is a shift from weakness to strength. Communities cannot be sustained externally. The energy, desire, and determination will, at some point wane; rather, communities such as the South Bronx are sustained by strong internal leadership combined with creative external partnerships. Poverty remains a reality in the South Bronx, but it has been transformed into a sustainable community. The population has risen tremendously as it has become a desirable place to live because the stakeholders—the residents—have exerted their ability to bring change through organizations like South Bronx Churches. The questions are no longer whether change can happen, but how it will happen. Worcester: The Elm Park Initiative—Rev. Bob Bachelder Worcester, an old industrial hub, is New England’s second largest city. In the 1980s, it suffered from the steepest rate of manufacturing job

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loss of any of the nation’s 100 largest metro areas according to a study published by Forbes Magazine. The city is slowly reinventing itself as a center for higher education, healthcare, and biotechnology as it copes with the effects of disinvestment. The Elm Park area is a working-class neighborhood situated next to the country’s oldest public park and is a traditional port of entry for new immigrants. The area occupies a position between the city’s most blighted neighborhoods and its most stable. It was deteriorating quickly in the mid1990s before the Worcester Area Mission Society (WAMS), an arm of the United Church of Christ, prompted an effort to renew the area. WAMS took up its work with the historical perspective that Worcester and other cities have had to navigate difficult transitional passages before. In 1847 Hartford was losing its merchant-shipping and agrarian economic base. Rather than wring its hands, WAMS decided to work in the spirit of the Hebrew prophet Isaiah, who assured his despairing community that it would in time “repair the ruined cities.” WAMS also was guided by the insight of Old Testament scholar Walter Brueggemann that persons and communities are less likely to be changed by ethical admonition than they are by transformed imaginations that permit them to see that the world is “open to newness” and is not a “closed, fixed, fated, given” (Brueggemann, 1986). That is to say, social progress is always possible although it may be fragile, hesitant, nonlinear, and reversible. Strategy: The importance of partnerships. To foster renewal of the Elm Park neighborhood, WAMS promoted a strategy that emphasized grassroots initiative, coalition-building, and programmatic comprehensiveness. It began by borrowing a page from John McKnight of Northwestern University, who maintains that neighborhoods must rebuild themselves from the “inside out” by mobilizing their own assets, including residents, churches, colleges, and businesses. Whether by creating new collaborative structures or working through existing agencies such as local community development corporations, neighborhoods need to assume the central role in designing and implementing strategies for their own improvement (McKnight, 1993). During the 1960s, some thought that national government programs could replace the initiative of local communities. Passive and disorganized communities proved incapable of converting outside resources to productive use, however. The Equal Opportunity Division of the Rockefeller Foundation noted that simply transferring income to the poor did not reduce poverty, because it did not impact the problem of social isolation. Scholars, activists and foundation officials now believe that

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distressed neighborhoods, if they are to be renewed, must rebuild their capacity and resources for cooperation and collaboration. As political scientist Robert Putnam argues, prosperity grows out of the trust, relationships, and norms that exist within a community (Putnam, 1993). WAMS also drew upon the insight of Professor Francis Lelo and others from Kenya’s Egerton University. In partnership with colleagues from Clark University in Worcester, Egerton faculty members have worked with residents of Kenyan villages to address local challenges such as conflicts between Gilgil farmers and the country’s Wildlife Service over the water supply. In Pwani, they have addressed resource management issues including fuelwood scarcity and low crop yields that are overlaid with gender and socio-economic divisions. As Professor Lelo told a conference at Clark, people are the same in Kenya and Worcester, remarking that “they always assume someone else will do it. Where people pay taxes, they seem to actively pass the buck” (Worcester Telegram and Gazette October 25, 1998). Egerton’s yeasty methodology for planning and taking action, called “Participatory Rural Appraisal,” was adapted for use in the Elm Park area as part of an effort to forge a cross-cultural approach to local problem-solving. WAMS also drew upon research from the Aspen Institute on Comprehensive Community Initiatives (Aspen Institute, 1997). To summarize its approach, a healthy community requires social capital generated by local institutions and residents as they work toward common goals based on relationships and shared attitudes; human capital generated by schools, service providers, and other institutions that improve outcomes for individuals and families; and neighborhood capital generated by jobs and housing that create a sound physical infrastructure. Numerous public and private initiatives to address such issues as substandard housing, crime, and unemployment failed because they treated problems one at a time. They ignored the fact that the co-existence of problems within a neighborhood creates a mutual reinforcing process of decay that limits the effectiveness of narrowly focused approaches. This is not to say a neighborhood should try to do everything at once. Rather, it should identify and address one or two priority issues, quickly building local confidence and capacity and stirring the neighborhood’s social imagination. As it does so, it also should be developing a broader vision and strategy to prepare the ground for subsequent linked initiatives that will frame a comprehensive agenda over time. Successful neighborhood leaders call this blending of process and product “learn as you go” and say it resembles more of a spiral than a straight line.

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Taking action: The role of faith communities. In 1994, with two of their congregations in the area and extensive history and organizational relationships in the field of housing, WAMS authorized its Minister and President to invite local residents, churches, businesses, colleges and nonprofit and government agencies to take action on a set of problem properties in the area. Two of these multi-family units were owned by an estate in China with mortgage papers held by a Texas company, and they were among the most notorious drug houses in the city. Eventually a coalition of some twenty-seven organizations was knitted together that ranged alphabetically from A to W, from All Saints Episcopal Church to the Worcester Polytechnic Institute. Over a period of six years, the coalition rehabilitated housing, provided economic stimulus in adjacent business corridors, improved public safety, and provided programming for children, youth, and their families. To build a partnership that could generate enough social capital to accomplish these tasks, WAMS’ Minister practiced a consensus-based model of public leadership emphasizing listening, mediation of competing perspectives and creation of shared solutions. An older approach to local leadership emphasized political advocacy, but today such a style tends to sharpen a community’s polarization and oversimplifies issues that are interdependent. Communities today face complicated knots of problems that overlap each other: to create good schools, for example, a community must bring together education, health care, business, social services and other sectors to focus on the needs of children. The need for leadership, then, often arises at points where no institution or system in the community possesses “the solution”. This means that leaders are no longer those who take stands on issues, or who take charge of situations, or who solve problems on behalf of their community with political or ethical expertise. Today’s leader is not a source of answers, as Ronald Heifetz observes, but a guide, interpreter, and stimulus of engagement (Heifetz, 1994). WAMS fostered the development of human capital by pooling gift dollars from urban and suburban congregations through its Neighborhood Leaders Fund. The Fund provided the “first dollar in” for several improvement projects undertaken by the Elm Park residents group. One of these was the Junior-Senior Enterprise program that paired long-time neighborhood residents with recently arrived Hispanic and Asian immigrant youth who performed household maintenance tasks such as mowing and shoveling. Youngsters learned about the world of work and personal responsibility and received a stipend for their efforts. New levels

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of trust and cooperation emerged that strengthened the neighborhood group and helped it to gain clout with city hall. By pooling investment capital from church endowments through the Community Loan Fund, WAMS stimulated the development of neighborhood capital. It provided the first dollar in to acquire the area’s most blighted properties from irresponsible absentee landlords. Church dollars leveraged the bank and government commitments necessary to complete rehabilitation and make the numbers work so that the properties could be sold to first time homebuyers. This effort built upon the substantial work of WAMS in the late 1980s to create a new model of social investment and to build working relationships among leaders from the community development, banking, and public sectors. The community investment model used by WAMS and its partners in the Elm Park area reflected their conviction that despite its genesis in the changing terms of international trade and finance, neighborhood disinvestment is a problem that requires local as well as national and international solutions. While there are limits to what can be achieved locally, there is room for creative action that serves to restore the nation’s historic double commitment to economic opportunity and social equality. The Community Loan Fund has successfully enhanced the capacity of local persons and small firms in the areas of ownership, investment, and employment. WAMS also provided opportunities for church members from the wider metropolitan area to engage and support Elm Park residents through work camps, meals, and other activities. During one such encounter, one resident underscored an intangible contribution WAMS and its churches made to the neighborhood effort: “You people really believe in us and we need that more than anything.” His comment reminded church members that one of the gifts they can offer to others is that of “accompaniment”: walking together, sharing conversation about important things, and breaking bread together fill people with the courage and hope needed to go on. The Need for Consistent Leadership WAMS was well-positioned to help foster the renewal of the Elm Park area. It had planted two churches in the vicinity in the nineteenth century and maintained a particularly close relationship with Park Congregational Church, which fronted on the park. It enjoyed the freedom to adopt a long-term perspective and to make a long-term commitment to

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the renewal effort. It benefited from a trend in some communities to turn to religious leaders to serve as conveners and mediators of diverse institutions and persons for the purpose of redeveloping communities. Its Minister could draw upon an extensive bank of relationships with both established and up-and-coming leaders from every sector of the city. The Elm Park initiative would not have succeeded without the leadership of long-time residents Jim and Norma Connolly, who raised eight children in the neighborhood. They led improvement projects, such as the Junior-Senior Enterprise program, as well as a memorable effort to make one absentee landlord accountable to the neighborhood. This investor-owner possessed a six-unit property on a key corner lot at the end of the Connollys’ street; it was one of the most notorious drug houses in the city but the owner ignored requests to help solve the problem by screening his tenants (drug dealers are good about paying their rent on time). The City administration and police department gave the property their concerted attention for several weeks and made numerous arrests, but they could not sustain the effort because of other demands upon their resources. Working in shifts, neighbors kept daily logs of visitors to the house, recorded license numbers, and made home videos as further documentation of illegal activity. After several meetings with an assistant Attorney General of the Commonwealth, they rented a bus and with several other neighborhood associations picketed the landlord’s house in Brookline. A settlement followed shortly thereafter with the Attorney General agreeing to fine the owner $500 for each subsequent violation, the first such agreement in the state’s history. Tod Rodgers, a long-time member of the Harvard Congregational Church and individual investor in the Community Loan Fund, was instrumental in housing efforts. The Community Loan Fund’s lending capacity was exhausted when one of the city’s more notorious slumlords moved under the radar to acquire another key corner property in the Elm Park area, dealing what Jim Connolly called a “deathblow” to residents’ hopes for neighborhood renewal. Tod accepted an invitation to visit Worcester to see the situation first-hand and then he returned to Harvard to raise the required capital from church members—a task completed in two days. Bill Densmore, one of the city’s most respected business and civic leaders and a member of the First Unitarian Church in Worcester, invited both the WAMS’ Minister and Dick Ford, chair of the International Development Department at Clark University, to join him for lunch simply because he thought they should meet each other. The lunch meeting led to

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the Worcester-Kenya connection and a cross-cultural approach to neighborhood action that was mutually enriching. Two conferences were held that brought Worcester residents and Kenyans together and a citywide Neighborhood Forum was created in partnership with the Greater Worcester Community Foundation. The Forum drew leaders from every sector of the community, including several activists who today serve as Worcester city councilors and Massachusetts legislators. Measuring success. One benchmark is the perception of local residents. Even comprehensive neighborhood improvement efforts do not eliminate problems but if they are effective, one begins to hear residents say: “Sure we still have problems here. But this is a pretty good place to live now and we feel our family can begin to get ahead.” The Elm Park initiative was a success by this yardstick. As Jim Connolly told a group of church investors in the Community Loan Fund as he toured them around the neighborhood: Norma and I used to be afraid to let our children get off at the school bus stop and walk back to the house. But the situation has been changed. We’re not afraid now and think we have a little piece of heaven on earth.

In a disinvested neighborhood, another benchmark is whether improvement efforts succeed sufficiently to begin to pull new investment into the area. This occurred in Elm Park where rehabilitated housing was sold through a lottery process. Participants were slow to materialize for the first property and the lottery attracted only two prospects. Three years later, fifty to seventy-five persons were participating in each lottery. There was retail development as well. One of the city’s leading Hispanic entrepreneurs opened a highly successful market with a Community Loan Fund commitment of $30k that leveraged a bank loan of $180k. Improvements also can be measured at the level of systems change. Before the Elm Park initiative, the City of Worcester fostered a top-down planning system for neighborhood revitalization. It was so opposed to grassroots leadership that when WAMS began to take action, a highranking city official threatened to block grant funding used to pay Community Loan Fund staff, a development that was averted only through a high-level “showdown.” Today the importance of resident leadership is not only recognized, but taken for granted. Finally, success can be measured at the level of individual outcomes. Today in Worcester, congregation-based tutoring and mentoring programs for children and youth that WAMS helped to spawn are beginning to measure results by assessing school performance. The preliminary

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findings mirror those reported in studies by the Annie Casey Foundation and United Way of America. Upward of 70 percent of youth participants improve their grades, learn social skills, and meet new people who positively impact their lives. They are more likely to avoid drugs and gangs and to finish high school than youth who are not part of such programs (Faith and Action: Improving the Lives of at-Risk Youth, 2003). Limitations of a local approach. Robert Halpern, an historian of neighborhood initiatives, observes that any local approach to poverty is inherently limited because it cannot attend to the larger economic and political processes that help generate economic inequality (Halpern, 1995). It should be remembered it was the spotty effectiveness of efforts by churches and other voluntary institutions in the 1880s that led to the largescale government programs of the twentieth century. Government should never try to replace local voluntary action, but it does need to supplement local effort. At the state level this means fostering policies that encourage low- and moderate-income housing in all jurisdictions, fair employment and fair housing policies to ensure minority access to job and housing markets, and tax-sharing arrangements to offset tax-based disparities between cities and suburbs. At the national level, policymakers should promote a national system fostering the transition from school to work, further expansion of the earned income tax credit, additional child care programs, and universal health insurance. Only when each sector of society performs its distinctive and appropriate role can the work of “repairing the ruined city” in Elm Park and other disinvested neighborhoods be completed. New Orleans: Short-Term Mission Projects—Rev. Jon Wortmann New Orleans was already struggling when the storm surge brought by Hurricane Katrina breached levees and caused floodwalls to fail, but the poverty that affected large parts of the city paled in comparison to the damage done by the flood. Eighty percent of the city was covered by fifteen to twenty feet of water; and worse than poverty, entire neighborhoods disappeared. Still, people wanted to come back. While official population is still difficult to count, census numbers reveal that less than half the population has returned to New Orleans; those that have live in the affluent neighborhoods of the city (Greater New Orleans Community Data Center, 2007). As of June 2008, the central business district, French Quarter, Garden district, as well as many of the parishes have rebuilt or are in the final stages of rebuilding: but more

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diverse neighborhoods like the Seventh Ward, the Ninth Ward, and New Orleans East continue to struggle. As of August 2008, new data analysis from the Greater New Orleans Community Data Center reveals that sixteen of fifty New Orleans neighborhoods that flooded following Katrina had less than half of the households they did in June 2005. 1 To any visitor who travels into the struggling sixteen, even three years later, it is still clear that non-profit groups like Habitat for Humanity and faith communities from around the country are having a profound impact on the rebuilding. If you visited the Ninth Ward anytime in the first two years, you would see nothing but three-foot tall weeds, the cinder block steps of the homes that had washed away, and church vans: not tourists, but the church vans of volunteers who also wanted to understand the worst of the damage. Many of the volunteers doing the work, from skilled professionals to enthusiastic novices, come for a few days or a week at a time. These short-term service or mission trips have changed the physical and emotional landscape of a city in need of energy and hope and homes. Ingrid. Ingrid is the reason New Orleans is rebuilding: I returned because it is stability for me. It’s the only home I ever knew. Unlike many others, I’m not a transplant. I’ve been in the actual structure since birth. It’s my roots. It’s all I knew. It’s my foundation and where I’m grounded.

Her family home in the North Tonti neighborhood was flooded with eight feet of water for twenty-two days. Unlike other areas of the city where homes were raised and rebuilt in months, three years later, her house is still unfinished. The house has been in her family for over a hundred years: so long she doesn’t even know the date. A kindergarten teacher at Thomas Edison Elementary School for thirty-four years, she was getting ready for the new school year when the hurricane chased her, her brother Kerry, and her dog Fred across Lake Pontchartrain. Unlike Ingrid, however, many of the homeowners in the Seventh Ward have not returned. She remarked that “many of the homeowners have died or have to live with other relatives, or are hesitant to come back or don’t have the money to come back.” As a result, her home, like many others, is sandwiched between unoccupied structures, one that is still filled with mold. Many of the older residents have either died or not returned. If family members inherit the house, they sell it, and many of the purchased units have been turned into rentals. Describing the future of her neighborhood, she says:

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I think that the dynamics of where I live has changed. The stability is not here. [My neighbors] either sell to agencies or give their homes to their children, and the neighborhood is becoming more renters. When you own something, you look at and handle it differently. You take care of it differently. With the renters, they are crowding people in places that used to be one-family dwellings, and they are now two- and threefamily dwellings. Now many of the people receive assistance and you don’t see them waking up and going to work. It has also changed the dynamics of the neighborhood because it was a community of older people; now it is younger people who do things differently: we have more crimes, more murders, and people in this community who have children don’t know where their kids will go to school because the schools aren’t back. Everything used to be in walking distance and now the kids have to ride the school bus. The hurricane turned things upside down and not necessarily for the better.

But she continues to rebuild, even though she still lives in her FEMA trailer. FEMA planned to evict New Orleans residents who were still not in their homes on June 1, 2008, hoping to inspire residents to complete the transition back into their homes: she had to get a special extension to stay. While Ingrid was helped by The United Church of Christ Disaster Relief with many of the rebuilding projects on her home, money promised from the Red Cross Relief funds ran out, so she is paying for the rebuilding as quickly as she can from her small teacher’s pension. About the rebuilding process, Ingrid is both positive and aware of the difficulties of many organizations trying to do the same work: The challenge is groups getting in the way. The lady across the street is Catholic but the Presbyterians gutted and dry walled; then the Methodists started rebuilding another lady’s house, and when they changed management, they stopped because she is not Methodist. The challenge is when the groups can’t work together. They see each other as a threat and challenge as opposed to seeing how all of us can work towards the same goal.

The rebuilding continues in New Orleans, but for life to be anywhere normal, Ingrid says she needs To see more life, more activity, children running around and playing. If we had a supermarket, a library—in the Seventh Ward there are two public libraries and neither will be rebuilt until 2012 (so kids who don’t have computers are suffering)—a service station, a pharmacy, and medical services. We have plenty of fast food—they popped up that right away. Really, we need a laundromat.

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The Hume Child Development Center. The damage to the physical structure at Central Congregational Church on 2401 Bienville Avenue was not as severe as many other churches in New Orleans: broken windows, roof damage, and some flooding in the church and office area. The damage to Central Church happened to its members. So many lost their homes, and many of the older members did not return to the city. When the congregation came back they had a choice: what to rebuild first? With limited funds and energy, the church could rebuild its sanctuary or its childcare center. The Hume center has always been an outreach of Central Church, and has been located in their current building since 1954. One of the oldest centers for African-American children in the South, and perhaps the country, its original mission to provide black parents with a safe place for their children while they worked is as true today as when it was founded in 1911. The church decided to fund the Hume center. As Dale Bonds, Central’s President said in 2007, “the families can’t come back if they don’t have a place to send their children.” Central Church created a twoyear partnership with St. Matthew’s UCC, and the two congregations, one black and one white, continue to worship together and are in the process of discussing the future of their partnerships. Regardless of what the congregations decide for their shared life, the initial choice by Central Church is an example of the sacrifice it takes to rebuild sustainable communities for seventy children and their families after disaster. Working with strangers. When musicians Branford Marsalis and Harry Connick Jr. went back to New Orleans a few weeks after Katrina, they realized they had to do something for the city where they were born and raised; for the place that gave them their music and the birthplace of a uniquely American cultural heritage that suddenly was at risk. Jazz artists are rarely wealthy, and if the musicians had no place to live, the rich tradition passed on from artist to artist and generation to generation could go silent as the cities talent spread to new homes across the country. Their solution: The Musician’s Village. The partnership with Habitat for Humanity International and the local Habitat Chapter of New Orleans (NOAHH) built over seventy single-family homes in bright colors in the upper Ninth Ward, as well as a community center as the center of the neighborhood, where residents learn, play and perform together. While it is the celebrity of the project’s sponsors that has brought notoriety to this little neighborhood, it is the work of strangers that has made it possible. Volunteers who come to work for Habitat may work a day or a week. They may be in town for a conference at the New Orleans

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Convention Center or spending the week at Camp Hope, a converted school where workers can bunk for $25 a night including meals. But the partnership is even more effective because it is a partnership of partnerships. The Baptist Crossroads, a project planned by First Baptist Church of New Orleans the January before Hurricane Katrina, originally planned to build forty homes in the Upper Ninth. In continued cooperation with NOAHH, the project is known collectively as the Musician’s Village; and having finished the first forty, the Baptist Crossroads Foundation has agreed to sponsor 300 more homes in the same neighborhood. Whether volunteers come to work with Habitat or come from churches around the country through Baptist Crossroads, few of the people who swing the hammers and pour the concrete knew residents in New Orleans and many had never visited the city before. But because of the partnership between different organizations, they are given a chance as individuals to create a collective good that is rebuilding a neighborhood one house at a time. Partnering with tourists. In addition to spending a day building, tourists in New Orleans may end up helping to build a sustainable community by accident. The French Quarter, one of the historic districts of the city, is one of New Orleans’ premier attractions. The architecture, food, music and festivals draw in the curious and the devoted year after year. A local hunger relief organization has turned the flow of revelers into a resource. Volunteers stand on the corner and stop tourists. They then issue them a phony, playful ticket for “having too much fun” or another colorful crime. This sparks a conversation where in exchange for a sticker or a New Orleans hat, the visitor is invited to make a donation to local hunger relief. Not only is the hunger relief organization raising awareness about the needs of New Orleans, but they are also bringing in outside dollars to continue the recovery. The same use of partnership with tourists is happening in a for-profit relationship through Gray Line Tours. Advertised as the world’s leader in sightseeing, they offer a three-hour Hurricane Katrina tour. For $35, visitors get a true appreciation for the damage done by the flood. While the tour could easily be interpreted as an exploitation of the devastation, the awareness created by the tour is priceless. Even if tourists initially sign-up out of curiosity, no one can see what happened to New Orleans and not leave with new understanding of what disaster looks like. Without the tours, visitors might only see the parts of the city that are rebuilt. The case of Hurricane Gustav. Hurricane Gustav made landfall in New Orleans on September 1, 2008, as a category two storm. In

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comparison to category five Hurricane Katrina—the natural disaster that became the worst devastation to an urban center in the US since the destruction done to cities in the Civil War—where by some counts half of New Orleans’ population has not returned three years later, the children and families of the Crescent City returned home less than a week after Gustav. As Gustav proves, when it comes to natural disaster, one of the best things a city can do to provide sustainable community is to have a plan in place to withstand disaster. Where Katrina left 30,000 or more residents stranded within the city to destroy each other and the buildings and businesses of New Orleans as they tried to survive, there were only two arrests the night after Gustav and everyone who wanted to leave the city could. But while Gustav proves the right things are being done to take care of New Orleans’ safety in future storms—continued rebuilding of levees, flood walls, and wetlands, evacuation plans and disaster readiness, and the continued strengthening of communication between the city, state, and national government—creating a sustainable community for children and their families in the wake of Katrina is a journey that will still take decades. Conclusions Rebuilding sustainable communities for children and their families takes a long time. It is so easy to forget that as leaders, non-profits, and faith communities try to rebuild their organizations and serve others, the individuals are simultaneously rebuilding their own lives. The physical exhaustion, emotional trauma, and spiritual darkness that take over a community after disaster only can be overcome when enough drops of hope turn into a flood of new, tangible opportunities for the residents of a city. In the stories of those rebuilding the South Bronx, the Elm Street neighborhood in Worcester, and the entire city of New Orleans, the leaders who are willing to commit decades of their lives to rebuilding their communities become the anchors for people and organizations to turn to in the ebb and flow of recovery. The power of these leaders, however, is not only their long-term commitment, but also that they are working to form strong internal leadership in the organizations out of which they work so the organization will continue beyond their time of service.

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The leaders then help their organizations form partnerships between government, non-profits, corporations, and faith communities who focus on one or two key issues to make possible solutions no organization could enact alone to reach those in need. The partnerships are critical because the problems of the modern neighborhood are not simple and advocacy is not enough. Community organizing that finds the shared interest of every kind of organization and every neighbor is essential to create lasting programs that can adapt to the changing needs of dynamic cities. Leaders of these organizations also benefit from the partnerships because they too have colleagues with whom to collaborate and find support. Lastly, it is faith communities that make recovery and rebuilding possible because they believe without physical evidence that neighborhoods can start over, no matter how painful the loss. The power of believing a blighted city can begin again cannot be underestimated as an invaluable component in relief efforts. The same residents who will not leave their houses, when invited to a meeting by community leaders or to a meal by a visitor from another place, become passionate contributors to the re-creation of the community where they want to live. Faith communities are often the home base for the energy that allows the leaders and partnerships to germinate and develop. As the population and median household income numbers reveal, even after renewal, the cycle of poverty can return disaster to cities. But with consistent leadership, community partnerships, and faith community involvement, the cycle of recovery can always be repeated as well.

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APPENDIX Table 4.1 A Comparison of Population and Median Household Income from 1970 to 2006 Population and Median Household Bronx County New Orleans Worcester Income (in USD) 1970 Population 1,471,701* 593,471*** 176,572*** Income 36,338 38,273 48,782 1980 Population 1,168,972* 557,515*** 161,799*** Income 29,824 43,840 47,166 1990 Population 1,203,789* 496,938*** 169,759*** Income 35,676 39,696 58,123 2000 Population 1,332,650** 484,674** 172,648** Income 33,412 32,833 43,107 2006 Population 1,371,353**** 210,198**** 174,282**** Income 31,494 35,859 43,779 *U.S. Census Bureau. New York: Population of Counties by Dicennial Census: 1900 to 1990. March 27, 1995. Retrieved September 8, 2008, from http:// www.census.gov/population/cencounts/ny190090.txt **U.S. Census Bureau. Census 2000 Summary File 1. 2000. Retrieved September 8, 2008, from http://factfinder.census.gov/ ***U.S. Census Bureau. Population of the 100 Largest Urban Places in the United States: 1790 to 1990. June 15, 1998. Retrieved September 8, 2008, from http: //www.census.gov/population/www/documentation/twps0027/twps0027.html ****U.S. Census Bureau. GCT-T1-R. Population Estimates (geographies ranked by estimate). 2007. Retrieved September 8, 2008, from http://factfinder. census.gov/ 1969, 1979, 1989 Income in 2006 dollars calculated using http://www.bls. gov/data/inflation_calculator.htm September 8, 2008. Source: U.S. Census Bureau. Table C1. Median Household Income by County: 1969, 1979, 1989. 1989. Retrieved September 8, 2008, from http://www.census.gov/hhes/www/ income/histinc/county/county1.html 1969, 1979, 1989 income in 2006 dollars calculated using http://www.bls.gov/ data/inflation_calculator.htm September 8, 2008. Source: U.S. Census Bureau. Table 1. Median Household Income by Metropolitan Statistical Areas (MSA): 1969, 1979, and 1989. 1989. Retrieved September 8, 2008, from http://www.census.gov/hhes/www/income/histinc/msa/msa1.html 1999 income in 2006 dollars calculated using http://www.bls.gov/data/ inflation_calculator.htm September 8, 2008. Source: U.S. Census Bureau.

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GCT-P14. Income and Poverty in 1999: 2000. 2000. Retrieved September 8, 2008, from http://factfinder.census.gov/ U.S. Census Bureau. S1901. Income in the Past 12 Months (In 2006 Inflation-Adjusted Dollars). 2006. Retrieved September 8, 2008, from http:// factfinder.census.gov/

NOTES 1

Numbers were ascertained by analyzing postal records.

CHAPTER FIVE PARTICIPATORY VIDEO AS A TOOL FOR REBUILDING COMMUNITIES FOR CHILDREN AND YOUTH IN THE AFTERMATH OF DISASTER: A PROPOSAL This paper is framed as a question and a proposal. The question: can participatory video be useful in the disaster recovery process, particularly in community rebuilding efforts focused on children and youth? Three theoretical frameworks will be presented to explore this question. These frameworks will provide a context in which to think about how video could be incorporated into and helpful for community rebuilding efforts. In the conclusion, a proposal will be made regarding potential applications and uses of participatory video (PV) in disaster situations. The paper is divided into six sections. The first section articulates a conceptualization of disasters and highlights four important aspects of these phenomena. This articulation is crucial as disaster is a multi-faceted concept for which there is no singular, agreed-upon definition in the literature (Van den Eynde & Veno, 1999). The second section provides a brief overview of PV. Some of PV’s potential applications will be outlined in order to illustrate the tool’s flexibility and to concretize the more general explanation of the medium. The third section presents a justification for focusing on youth participation in general (i.e. not solely in the disaster context). As an extension of this, there is a brief discussion regarding how the practice of youth-produced media is situated within the broader youth participation context. The fourth, and main, section outlines three theoretical frameworks that are useful in considering how PV and youth media may be used within the disaster context. These frameworks are: 1) interpretive interactionism (Denzin, 2003); 2) the notion of communal narratives as community resources (Rappaport, 1995); and 3) the construct of “sense of community” (McMillan & Chavis, 1986). Taken together, these three frameworks form the bulk of the paper and provide a groundwork upon which PV projects can be conceptualized in disaster-recovery contexts. Following the description of these frameworks is a short exploration of

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some specific ways video can be employed in the aftermath of disaster. The last section briefly touches on some of the logistical and technical considerations for using video in these contexts. The Disaster Context Disasters are defined here broadly to include both “natural” disasters (e.g. tsunamis, hurricanes, etc…) and “man-made” disasters (e.g. war, genocide, etc…). 1 For the purposes of this proposal, it is critical to acknowledge four facets of disasters. First, disasters are inherently social. An event is defined as a disaster inasmuch as it disrupts human life. As van den Eynde and Veno point out, If an earthquake strikes the center of Australia’s outback, it is unlikely to be defined as a disaster. If an earthquake occurred with the same force in a major Australian city, a disaster would likely be defined and declared. (1999: 167)

In accordance with this, the severity of a disaster is determined not only by the number of people impacted but by which people are impacted. The events of 9/11 have been labeled as a major disaster not only because they occurred on American soil but also because the most visible event of the day took place in Manhattan and, in particular, in the financial district, an area connected with wealth and wealthy people. In addition to being inherently social, disasters are also political. How much attention is paid and how many resources are devoted to a disaster is within the jurisdiction of those who control these resources. Decisions such as which groups receive assistance and the form that this aid takes are made by those in positions of power. The social hierarchies that exist before a disaster are often replicated in the planning for and recovery from the disaster. In other words, those who were marginalized pre-disaster are often the most marginalized in the disaster context. This was glaringly evident in the case of Hurricane Katrina. The New Orleans residents who were neglected in evacuation attempts and recovery efforts were disproportionately poor and African-American. In addition to who receives assistance, the nature of the assistance is susceptible to politics. An example of this is the psychosocial interventions provided for children after the Rwandan genocide in 1994. Although the genocide was largely ignored by the international community as it occurred, when the killing ended a flood of international aid poured into the country. This aid was very visible but not necessarily

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long-sighted. The psychosocial programs mainly took the form of PTSD assessment and the establishment of a trauma center in Rwanda’s capital city. This Western conceptualization of trauma did not take into account Rwandan explanations of trauma (Summerfield, 1999). Additionally, the centralized trauma center was difficult for most Rwandans to access. Interventions such as these call into question whether the aid programs developed were truly designed in the best interests of disaster victims. A third element of disasters is that they are by definition communal experiences. A negative event that impacts an individual or a very small number of people is not considered a disaster, but a traumatic event that impacts a large number of people, either directly or indirectly, is. When one woman is raped, her rape is a tragedy but not a disaster. When rape is used systematically as a weapon of war, these mass rapes can be considered disasters. Lastly, disasters are also individual experiences. Since an event becomes a disaster when it seriously disrupts the lives of many people, the definition and shape of the disaster itself can only be found in the collection of these individual experiences. They are like the tiles of a mosaic: the total picture of the mosaic is created through many discrete tiles. A missing tile renders the entire picture incomplete. Therefore, although disasters are inherently communal, their exact nature is determined by the distinct experiences of the impacted individuals. These four elements of disasters—that they are inherently social and political and are experienced both communally and individually—are important when considering how PV can be used in community rebuilding efforts. Participatory Video PV refers to the practice of using video as a participatorily-produced communication tool in social change efforts (Huber, 1998). In PV, the video production process is put into the hands of those whose voices often go unheard. Media professionals may be involved in these projects but they neither determine content nor create videos themselves: rather, members of groups who are marginalized because of social factors such as age, race, ethnicity, gender, religion, class, or ability are trained to produce videos about topics important to them. These may be about a specific social or political issue or they may be personal stories. PV seeks to amplify these voices. PVs are aimed at specific, rather than mass, audiences and have a social change focus. In PV, the production process is

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as important as the final product and success is judged on the progress made towards a social-change goal rather than the creation of a video with a high production value. The goals of PV projects are grounded in local contexts. Nonetheless, broad categories of potential applications can be delineated. Four of these will be outlined here. First, PV can be used as a means of communication between groups for whom face-to-face communication may be difficult. An early application of PV was the exchange of video letters between rival gangs in Chicago (Street Level Youth Media, 2008). Second, PV can be used to facilitate intragroup communication. In this conceptualization, videos made by members of a single community can break silences around local issues that are not discussed; can create a sense of solidarity and reinforce community identity; can highlight experiences that are shared by various community members; and can foster dialogue around community strengths and weaknesses. For instance, the author of this paper worked with teenagers in southern Brazil to create personal videos about their lives. When these were shown to other teens in the community, one teen viewer began to cry and said “that’s just like what happens in my house.” In this way, the articulation of one young person’s personal story created a feeling of solidarity and a sense of shared experience amongst other young people in the same community. A third potential application is working towards policy change or communicating with lawmakers. One of the first documented uses of PV was to record stories of isolated fishing communities on Fogo Island in Newfoundland, Canada, and to send these to regional lawmakers who had very little contact with these fishing communities. The lawmakers recorded responses. Through this process, community members were able to reverse policies that threatened their livelihood (Crocker, 2003). In this application, video can also be used as a tool to help with community organizing efforts by documenting injustices and influencing public opinion to exert pressure on government officials. A fourth potential use of PV is to challenge dominant narratives. The telling of personal or communal stories can actively re-narrate detrimental narratives (e.g. stereotypes) propagated by the mass media and through policy. The above categories are meant to be fluid and suggestive of the many possible ways that PV can be used in social change efforts.

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Youth Participation and Youth Media The term “youth media” refers to the use of PV with young people. In keeping with PV goals, youth media seeks to amplify the voices of young people, legitimate and privilege their experiences and create venues for meaningful youth participation. Justification for including young people as change agents in matters that impact on their lives can be found in at least two articles of the United Nations Convention on the Rights of the Child (United Nations, 1989). Article 12 focuses on the right to participation and assure(s) to the child who is capable of forming his or her own views the right to express those views freely in all matters affecting the child.

Article 13 centers on the right to expression, stating that, The child shall have the right to freedom of expression; this right shall include freedom to seek, receive and impart information and ideas of all kinds, regardless of frontiers, either orally, in writing or in print, in the form of art, or through any other media of the child’s choice.

Taken together, these articles assert a vision of children and young people as competent social actors who have the right to participate in and have their voices heard in matters important to them. This includes efforts to rebuild their communities after they have been impacted by disaster. Theoretical Frameworks This section presents three theoretical frameworks that create a bridge between the qualities of disasters outlined at the beginning of the paper and the potential applications of PV in general contexts. The purpose of presenting these three frameworks is to envision ways in which PV can assist the process of rebuilding communities in the aftermath of a disaster. While the following discussions will focus broadly on PV, they can be equally applied to youth media projects aimed at fostering youth participation. When one considers rebuilding communities for children and youth, the voices and participation of young people are crucial. Framework 1: Interpretive interactionism. The first theoretical framework presented here is Denzin’s interpretive interactionism, a method for critical qualitative research inquiry. As a method, interpretive interactionism is used to

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Chapter Five Myra Margolin examine the relationships between personal troubles…and the public policies and public institutions that have been created to address these troubles. Interpretive interactionism speaks to this interrelationship between private lives and public responses to personal troubles. It works outward from the biography of the person. (2001: 2)

In a disaster situation, employing an interpretive interactionist framework in a PV project could help to amplify and privilege the experiences of those who are most affected by the disaster. Interpretive interactionism takes as its focus “those life experiences that radically alter and shape the meanings persons give to themselves and their experiences” (Ibid.: 1). The unit of analysis is the meanings that people assign to life experiences. Interpretation is privileged over the quest for any singular or fixed truth. The various meanings that individuals assign to an experience become the means for understanding the larger social, historical, and political factors contributing to that experience. Since this method is concerned with meaning-making, the starting point for investigation is personal epiphanies, moments and experiences that “radically alter and shape the meanings persons give to themselves and their life projects” and that “leave a mark on people’s lives” (Ibid.: 34). The interpretive interactionist works outwards from these personal epiphanies in order to examine the broader social, historical, and political circumstances in which these experiences took place. A disaster is, by definition, disruptive. Because disasters are inherently social, impacting human life, it is likely that these experiences of disaster could trigger major epiphanies for the individuals impacted. A major epiphany is defined as “an experience (that) shatters a person’s life, making it never the same again.” Depending on the severity of a disaster, such an experience can alter how one makes sense of the order of the world, of others, or of one’s own life project. Bringing Denzin’s model to a PV project, video can be used to give people the means to record and document their own disaster experiences. In Trouble the Water (Deal & Lessin, 2008), a documentary about Hurricane Katrina, the beginning of the film shows footage shot by Kimberly Rivers Roberts, a woman living in the Ninth Ward of New Orleans before and during the hurricane. Her off-screen narration and informal interviews with her neighbors present an intimate picture of the hurricane, one which reveals the lack of public transportation out of the city, the absence of assistance when she and her family were stuck in her attic during the storm, how they were denied shelter by military officials, and how she found a neighbor of hers dead from the storm. By telling her own story in her own voice, with a home camcorder in real time, this

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woman’s experience opens up space for a social critique of the disaster relief efforts. It becomes a vehicle for looking at the racism inherent in these efforts and, by centering the voice of someone who was seriously overlooked and neglected, it also re-imagines a situation in which Kim and others who had similar experiences can speak loudly against the injustices they suffered. Trouble the Water is a clear example of how an interpretive interactionist framework can be applied to PV in a disaster context. Individuals can be given cameras to record and document their own disaster experiences. The video evidence of these experiences can illuminate the social nature of the disaster and ask: in what ways are people truly being impacted? What is the nature of the losses they are experiencing (e.g. physical, social, relational, psychological, existential)? What meanings are people assigning to these experiences, and how can relief efforts honor and speak to these meanings? The purpose of examining personal epiphanies is not only to understand how social and political forces work but to imagine an alternate way in which these could function. The critical examination of personal epiphanic experiences can create a vocabulary for imagining a reconfigured society or situation. By revealing social injustices embedded within personal experiences, one can envision how these could be altered. In the case of disasters, personal stories can inform immediate recovery efforts by shaping how the disaster and the accompanying loss are conceptualized. These narratives can also reveal the political nature of resource allocation and seek to make this just and equitable. More broadly, though, the critical expression of disaster epiphanies can provide a foundation for envisioning a rebuilt society that is more equitable and just than that which existed before the disaster. In this case, a rebuilding effort can be an opportunity to privilege the needs, voices, opinions and experiences of a broad cross-section of a population. The injustices and inequities revealed through the reporting, sharing, and responses to epiphanic disaster experiences can be used as springboards for imagining a utopian alternative to the former status quo. In sum, PV can be a tool to examine the social and political nature of a disaster through personal narratives. Videos can be created and shared that focus on epiphanic disaster experiences. This process can function to envision a “utopian” rebuilt community. Framework 2: Communal narratives as community resources. The second framework is Rappaport’s proposal that communal narratives function as community resources. He extends the concept of the personal

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narrative to the community level and notes that narratives inherently span multiple levels of analysis: communities, organizations, and individual people have stories, and…there is a mutual influence process between these community, organizational, and personal stories. (1995: 796)

This framework can make use of the simultaneously individual and communal nature of disasters in order to use the disaster experience as a way to maintain, build, or rebuild community in the aftermath of disaster. Rappaport’s central proposal is that communal narratives (as opposed to individual ones) can function as community resources. He defines a community narrative as “a story common among a group of people” (803). These stories are independent of any individual. They “tell the (community) members something about themselves, their heroes, their history, and their future” (Ibid.). For example, a narrative that was prevalent in the wake of the 2008 coordinated attack in Mumbai was that Mumbai is a resilient city (e.g. “Mumbai resilient”, 2008). This narrative, transmitted in the mass media and by politicians, communicated a clear message to the residents of that city: you are people who can withstand and bounce back from an event such as this. Other examples of community narratives are the understandings about life and acceptable behaviors shared by a religious community or the messages about intelligence communicated to students who are placed in “gifted” classrooms. Communal narratives may be shared by the group through social interaction, texts (although texts are not necessary), and other forms of communication including pictures, performances, and rituals. (Rappaport, 1995: 803)

These community narratives provide frameworks within which individuals can make sense of their life experiences. Individual identity development and individual change can be understood as the appropriation of shared narratives into one’s personal life story. Social change can be understood, then, as the creation of new community narratives or the modification of existing narratives, since these narratives will filter into individuals and impact behavior and interpersonal interactions. Social change can be understood as a new community narrative that challenges existing dominant narratives (e.g. dominant narratives about “juvenile delinquents” or “welfare moms”). New narratives can empower people who are depicted negatively in the mass media and wider public discourse.

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Communities are seriously disrupted in the case of disasters. People are often geographically displaced: their sense of the world and their place in it is often altered. Disasters represent a serious departure from the norm. Therefore, it is likely that people will struggle to find and make meaning in the context of disaster. Rappaport’s work suggests that PV could be a tool for sharing personal experiences of disaster with one another, thereby using individual experiences to build a communal understanding of the event. The sharing of these videos within a community is crucial. They can assist in the meaning-making process, create a sense of solidarity, and construct new communal narratives grounded in the lives of people most impacted. The intentional creation of these new narratives is a form of proactive social change. It can preempt or challenge the way in which the mainstream media or politicians depict a disaster, since these depictions often serve a political function. In sum, this framework suggests that narrating one’s experience of disaster and the sharing of this narrative with others can open the door for the creation of new community narratives and, depending on whose voices are privileged and included, provide the opportunity for social change. Framework 3: Sense of community. Finally, any discussion of community rebuilding must articulate a definition of community. This final framework presents such a definition in order to examine how video can explicitly be involved in the process of community rebuilding. Gusfield (1975) identified two broad categories of community. A territorial or geographical community describes people united by location, such as a town or a neighborhood. A relational community concerns the “quality of character of human relationship, without reference to location” (quoted in McMillan & Chavis, 1986: 8). Disasters affect both geographic locations as well as connections between people. A physical location is affected. Also, the connections between people are reconfigured such that people who may have had little in common now share the common experience of the disaster. Alternately, others people may become geographically separated or go through experiences or stresses that create relational divisions. A construct that can encompass both the geographical and relational definitions of community is a “sense of community.” McMillan and Chavis define this as a feeling that members have of belonging, a feeling that members matter to one another and to the group, and a shared faith that members’ needs will be met through their commitment to be together. (1986: 9)

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This paper posits that one of the impacts of disaster is to alter and disrupt people’s sense of community. Therefore, sense of community is one area that is important to target and address in efforts to rebuild communities. McMillan and Chavis articulate four elements of a sense of community. PV can function to address each of these. They are highlighted here and an example of how video can be applied in each instance is given. First, a sense of community includes membership: “the feeling of belonging or of sharing a sense of personal relatedness” (Ibid.). PV can be used to both define and redefine membership. As was noted in the previous section, the sharing of personal disaster stories can be used to communicate with others who have had similar experiences and to create a sense of solidarity. These tellings may be able to capitalize upon the new shared experience of disaster in order to define new communities that may be more inclusive of diversity (racial, economic, etc…) than was extant before the disaster. The second element is influence: “a sense of mattering, of making a difference to a group and of the group mattering to its members” (Ibid.). PV can create spaces to exert influence by amplifying voices of the marginalized. If one’s voice is heard by others, this facilitates a sense of mattering and making a difference to a group. It also creates opportunities for one’s opinion to be considered in group matters. In accordance with the interpretive interactionist framework, the amplification of voices that are often unheard can expose injustices and articulate visions for the future. The third element is reinforcement: “the feeling that members’ needs will be met by the resources received through their membership in the group” (Ibid.). In this case, video can be a powerful tool for individually and collectively communicating needs to those who control resources. It is often the case that people who control resources to rebuild communities in the aftermath of disaster act without seriously consulting those who were most impacted by the disaster. Again, this draws on the interpretive interactionist proposal that people, particularly those in power, often assume that their own experiences are universal. The communication of needs through videos in the aftermath of disaster can disrupt this assumption. The fourth and last element of a sense of community is shared emotional connection. This refers to “the commitment and belief that members have common places, time together, and similar experiences” (1986: 9). This last proposition draws again on Rappaport’s notion of communal narratives as community resources. The sharing of stories through video can be used to explore shared experiences. The highlighting

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of common experiences can enhance the sense of shared emotional connection. In sum, PV can be an extremely powerful tool for addressing one aspect of community—the sense of community—which is often disrupted, altered and destabilized in the context of disasters. Rebuilding a positive sense of community can facilitate more instrumental and concrete changes that will ultimately lead to a more just and inclusive community than that which existed before the disaster occurred. Brainstorm: Video in a Disaster Context In sum, there are many potential applications of PV for the rebuilding of communities for children and young people (and, in fact, for all people!) in the aftermath of disaster. This section briefly outlines a few of them. Although different in approach, each of the following can still reflect an individual (and communal) disaster experience. Video can be used to bear witness or to document. This is sometimes referred to as video advocacy. If particular neighborhoods or groups of people are being neglected in recovery efforts (as was the case in Hurricane Katrina) or particular disaster experiences are being ignored by the mass media, video can be used to provide definitive documentation of these. In this way, experiences whose validity or reality may otherwise be denied or sidestepped gain a weight and a more permanent presence. It is harder to deny an experience when there is video documentation of it. Video can also be used to aid in meaning-making and to make sense of the senseless. In this instance, more attention would be paid to editing—to making coherent events, images, and experiences that may seem incoherent. The process of editing, of shaping images and sounds into a narrative, can assist both the producer and the viewer in the process of making and finding meaning in the face of events that are disruptive and seemingly senseless. Lastly, video can be used to communicate with those in positions of power. Video can be screened publicly. It can be sent to lawmakers and heads of aid organizations. Videos can gain audiences that individuals often cannot. They can represent several voices at one time and be screened strategically in order to push for a specific instrumental outcome. These three uses of video can each be approached in myriad ways. Following are three modes in which the production of PV can be conceptualized. Which mode is used depends on the particular context and

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needs. These are general frameworks and are by no means mutually exclusive. They are meant to help one envision possibilities. First, video can be a tool for reflection, in the telling of personal stories. That is, videos can say “this is what happened to me.” Second, videos can be employed as tools for documentation of more external conditions: “This is what is happening here right now.” Lastly, videos can be used as tools for investigation: “This is what happened to other people.” This could include interviews to investigate the experiences of people besides the video-maker. Several logistical and technical considerations are important in approaching a PV project. First, it is crucial for an audience to be defined at the outset. Is the project speaking to aid organizations, to local or national policy makers, or to other community members? This decision will help shape the way in which content is recorded and presented. Second, it is fundamental that one arrange for screenings and spaces for dialogue. A video has little impact without spaces for showing it and forums for response and discussion. Third, some attention must be paid to physical logistics. It is ideal to have a single designated work environment, though this may be challenging in disaster contexts. This should be a space that is accessible to the community members involved. It could be a school, church or community center if these infrastructures are still standing. It could also be a recovery tent or open field, as long as there is some means of acquiring electrical power. In terms of technology, one needs at least one camcorder and a computer for editing. Videos can be screened on the computer itself if no other means for screening are available. Conclusion In conclusion, this paper has sought to address the broad question: can PV be useful in efforts to rebuild communities for children and youth after disasters? The presentation of three theoretical frameworks—interpretive interactionism, community narratives, and sense of community—provides a foundation on which to envision answers to this question. The particular use of video must be determined by the nature a disaster—how many people were impacted, how severe is the damage, how long did the disaster last? Nonetheless, there is potential for video to function as a means to amplify the voices of those who often have little say in how resources are allocated and, in effect, to imagine rebuilt communities that

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are more equitable, just and nurturing than those that were in place before the disaster occurred.

NOTES 1 One drawback of defining disasters so broadly is that, in some cases, the bulk of the destruction is rendered in a very short period of time (e.g. a few hours or a few days) whereas in other cases the destruction lasts for an extended period of time (e.g. many years). Clearly, “recovery” takes on a very different meaning depending on the nature of the disaster. The way in which every recovery effort is contextdependent is acknowledged here, as are the limitations of making broad generalizations about disaster recovery. Nonetheless, these generalizations are necessary here given the scope of the paper.

CHAPTER SIX REBUILDING SUSTAINABLE COMMUNITIES AFTER DISASTERS: MUNICIPAL EMERGENCY PREPAREDNESS FOR SPECIAL POPULATIONS Municipal-level emergency preparedness for special populations requires a community-wide approach based on confidence-building, steady engagement, and flexible outreach. This paper reviews challenges faced initiating emergency preparedness outreach and education in a diverse population in a small, resource-challenged urban US city. Emergency preparedness and special populations: Outreach and organization. In 2007, the Somerville Health Department in the City of Somerville used a small grant to fund the executive director of the Somerville Commission for Women to complete a project. The purpose of the three-month plan was outreaching to Somerville’s special populations. There were two goals: to identify individual special populations and create a contact list for each. As the project developed, a third goal was identified: to create a methodology of contact to the identified individual special populations. Project Review: Successes, Surprises, and Challenges Identifying specific special populations. The initial goal of the project was to identify special populations in Somerville. For a base line to work from, a comprehensive list of special populations includes (Jones, 2007): x Seniors and/or frail elderly; x Poor, without resources, or extremely low income; x Single parents, lone guardians with no support systems; x Limited English Proficiency (LEP), monolingual; x Children, infants, unattended minors, runaways, latchkey kids; x Homeless or shelter-dependent—including domestic violence shelters;

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x x x x x x x x x x x

Chemically dependent—includes legal and illegal drug dependence issues; Medically compromised, low immune system, medically fragile, contagious; Ex-convicts, registered offenders and other clients of the criminal justice system; People fearful of (or refusing services from) government, Red Cross, or any unfamiliar bureaucracy; Physically disabled—from minor issues to complete dependence on life support; Mentally/cognitively disabled—from minor issues to complete dependence on support systems; Blind, visually impaired, low vision; Deaf, hearing impaired, hard-of-hearing (HoH); Transient needs (tourists, people needing replacement hearing aids or glasses, etc.); Owners and guardians of pets/animals, people who make life and death decisions based on animal concerns; Culturally isolated—little interaction outside of their chosen community (religion, sobriety, LGBTIQQ, geography caused isolation, etc.).

According to US Census Data listed in the Cambridge Health Alliance report, Well Being of Somerville 2002, the population has slightly increased since 1990 with a growing population in the age range of twenty-five to sixty-four years. There are 77,478 people in Somerville. There are 3,850 children under the age of five and 7,700 people over sixtyfive years of age in the city (US Census, 2002: 8). In Somerville, there are four major language groups: English, Spanish, Portuguese, and Haitian-Kreyol. There are dozens of minor language groups that have a very diverse population within their groups with varying skill levels in English, proficiency with availability and use of services, ability to utilize identification documents for services, fearfulness of using government or agency-based services, and existing outside of standard services due to legal status. The Well Being of Somerville 2002 report lists race data from the 2000 census: 77 percent of Somerville is categorized as white (a decrease of 13 percent since 1999), 6.4 percent are categorized as Asian (an increase of 44 percent), 9 percent is Hispanic/Latino (with a 31 percent increase), and 5 percent is categorized as “other” (which has increased by 61 percent since 1990) (Ibid.: 7).

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According to the Community Action Agency of Somerville (CAAS) in their annual Somerville Community Profile 2008, the Health Data Watch of Massachusetts Emergency Preparedness Region 4b (2007) 36 percent of persons over the age of five speak a language other than English at home. This is significantly higher than the state 19 percent level. The CAAS report goes on to state that: …The 2005 American Community Survey reported that 32 percent of the total population was foreign-born…. The number of foreign-born Somerville residents increased by 34 percent over a ten-year period, if we accept official figures. Since many immigrants are undocumented, while others do not reply to Census forms, the number of immigrants living in Somerville is probably even higher than these figures show. (CAAS, 2008: 1)

There are 14,317 people with disabilities in Somerville (US Census, 2002: 8). As of the 2000 census, there were 997 people with disabilities ages five to twenty, 9,731 people ages twenty-one to sixty-four, and 3,589 people ages sixty-five or older. There are many locations in the community that are not accessible to people in wheel-chairs or sightimpaired people that may limit transporting some people to a centralized site for emergency medical service dispensing or evacuation transportation. There are seven emergency homeless shelters in Somerville with 325 total transitional or supportive care beds (Somerville Office of Strategic Planning and Community Development, 2005). There are three hotels. According to the Web site “Registered Sex Offenders in Somerville” (n.d.), there were five registered sex offenders in 2007. There is a very active dog owner’s organization in Somerville with a Somerville Dog Owners Task Force supported by the Somerville Office of Strategic Planning and Community Development. The next goal of the emergency preparedness project was to create a contact list for outreach to the various special populations. This became increasingly challenging as more and more diversified community groups were identified. According to the CAAS “Somerville Community Profile 2008”, The Somerville school district reports that in school year 2006–2007, 48.7 percent of students came from homes where the first language is not English. Of children attending the CAAS Head Start program in 2007, 36 percent spoke Spanish at home, 15 percent Portuguese, 24 percent English, 9 percent Haitian-Kreyol, 6 percent Vietnamese, and 3

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Over the weeks of the project, a list of agencies and contact persons began to develop. However, it became increasingly clear that the agencies listed had very limited methods to outreach to the specified populations they served or represented. The agency’s ability to outreach became hampered by lack of resources, an ever-increasing and changing population, lack of consistent contact email or phone numbers, and changing contact people. The agency’s speed of reaching their communities was unpredictable, unreliable, dependent on what information was being disseminated and on the speed required for dissemination. Each of the special populations in Somerville has their own unique barriers, needs, and contact methods. It is a very false belief that sending a translated brochure or poster would actually reach the targeted population in a timely, believable or efficient way. Additionally, it is unlikely to reach a majority of the population. There are several groups that can be more easily reached via their service providers, including some of the elders, mentally/cognitively disabled, or shelter or supportive care residents. It is a serious concern for reaching the isolated individuals including those living in domestic violence families, elders without family who do not need special care, spiritual groups who live outside the general population activities, or general misanthropes. Creating a main contact list. After identifying Somerville’s special populations, the next goal of the project was to create a contact list with a specific person for each of the individual special populations. The initial plan was to identify primary and secondary people to contact. As outreach in to the communities continued, it became clear that each person and community required very different ways to contact them for varying purposes and with vastly different timeframes. As outreach continued, many contacts explained that the project did not have a reasonable goal because they (the contacts) would not be the best people to outreach to for their particular community for emergencies. Many people required multiple approaches to explain the purpose of the project, develop trust, and clarify the contact strategy. There are four major language groups in Somerville: English, Portuguese, Spanish, and Haitian-Kreyol. There are specialized service providers that outreach to these non-English speaking groups (such as MA Alliance for Portuguese Speakers, Centro Presente, and the Haitian Coalition). In the Portuguese-speaking community, there are two main dialects and not everyone can understand the other dialect. In the Spanish-

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speaking community, there are many countries represented in Somerville. Both of these major-language groups have long-established US citizens who are home owners and participate in various community groups. Both groups also have undocumented people who avoid health care and service providers; avoid both authorities that arrest and those that provide health services, and have no health insurance coverage. In the Haitian-Kreyol speaking community, there are many who are not literate in written Haitian-Kreyol, others who are not literate in French and some who are barely literate in any language. There are many minor language groups in the community with no centralized social service provider. The major language groups frequently have material translated in to their languages. However, the many minor language groups do not—usually as the cost is prohibitive. For example, the Nepali community in Somerville and surrounding communities is estimated to be approximately 10,000 people. The community is made up of very distinct ethnic groups with about six to eight of the dozens of Nepali ethnic-specific groups. Each group is made up of hundreds of people with several groups having a first language other than Nepali. There are different groups of varying social or economic classes, ethnic groups, varying literacy levels in the native language, and legal status. There are many people who have been in the country for over ten years while there are an increasing number of newly arrived Green Card holders who bring their entire nuclear family. It is estimated that only a small percentage of people of the Nepali community are fully aware of available government, medical, mental health, social service or other programs. This is a result of being a new immigrant group while also coming from a country lacking in many services or programs—especially on the scale as in Somerville or the US. There is a percentage of the population which remains outside legal status and avoids any official agency or service provider including medical assistance. It is basically counter-intuitive for most Nepali immigrants—outside of their document status—to participate in official activities. However, there are several ethnic minorities from Nepal who have a long history of community engagement and civic responsibility. Outreaching to just the Nepali community is very difficult due to lack of resources, no single organized service provider, no funded leadership committee, no single or efficient way to reach all people or even a majority, and barriers to people’s faith in information or services. The special populations outreach project also attempted to identify religious centers as places that may be a centralized location for outreach, distributing emergency information, and establishing trust with the City

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and the Health Department. Outreaching to various religious centers was challenging because of their number and diversity. Many of the religious centers have no established system for communicating with their members about available community services and systems. They lack the resources or time for learning about available services and maintaining contacts; lack trust or relationships with the City officials and social service providers; lack sufficient language skills, or do not understand or prioritize emergency preparedness. Creating a list of religious centers was difficult because of the varying types of religious centers and the level of available resources. One person never looked at email, another person only used email, a third person preferred faxes to receive outreach flyers, and a fourth could only be contacted by cell phone. It is preferable to outreach to a group or centralizing source instead of sending general notices to the entire population because an organized group with a leader can reach each of its members. Being trusted, such a source can provide information by a preferred method (email, flyers, phone trees, or Web sites), and can assist in pre-emergency communication or post-disaster assistance. Participating in a group is a benefit no matter what the reason for the group (i.e. ESL class, knitting group, poverty assistance program, Head Start program or youth club). A key benefit of groups or a centralizing source for the government and social service providers is acting as a go-between for important information and marginalized members of groups. The difficulty is that the majority of the population is not routinely associated with a group that is plugged in to the City or social service organizers. Creating a methodology of contact. While creating the contact list, it became clear that one method of outreach would not be possible to reach all of the identified special populations. The plan was to make a basic list of primary and secondary people for each group with main office numbers, cell phone numbers, email addresses, and fax numbers. As groups were identified and individuals called, the lack of resources and technology of the Health Department became very apparent. The plan was to have an MS Word or Excel document with all the contact information plus an email group in Outlook. However, identifying how to reach everyone for the possible emergencies utilizing preferred contact methods was difficult. There was a suggestion from computer-literate people that a Web-based program that could be reached from any location was interesting but the Health Department resources, time, and staff skills could not focus on developing this. Also, an MS Access program could have been helpful to track all the various different contact needs for

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various communities; however, staff skills were not sufficient for this program. Additionally, a clearly created contact list was not sufficient because each of the groups needed to have a strong, trusting relationship with the Health Department in advance to understand the potential emergency notifications that can be sent, what to do for possible emergencies, how to advise their members, how to advise the Health Department on special needs (for preparing for emergencies, surviving disasters, or post-disaster assistance), and what possible resources are available for emergency services. Health Department staff outreach does not have enough resources, skills or time for emergency preparedness or outreach during an emergency to the many special populations of the community. Outreaching difficulties. Many special populations may face challenges for motivation on preparing for emergencies. They may lack sufficient education or may fear emergencies so greatly that they cannot tolerate preparing for something. With sixteen major special populations, there are many sub-groups within each of the individual special populations. For the community with disabilities, there are cognitive and physical disabilities. Within physical disabilities, there are many diverse communities including the deaf or the hearing-impaired. These two groups are different and utilize different resources, services, groups and assistance plans. Many of the different special populations must prioritize survival above preparing for possible emergencies. There are people who lack sufficient means for their daily needs so that they cannot see how to keep a spare supply of medicine, food or other materials. Immigrants and people from other parts of the US may lack knowledge of specific emergencies that could happen in their current location. For example, there are people from the Mid-West who are familiar with tornadoes but not East Coast Nor’easters. There are immigrants familiar with earthquakes but not train derailments. Isolated individuals, immigrants or people from unique groups may not be familiar (or comfortable) with how services can be utilized, what the government can and cannot do before/during/after emergencies, and how to communicate needs. There are individuals who may navigate within their own communities well but would be left vulnerable if their community system broke down due to a major disaster. Tourists, latchkey children, recovering drug-addicted individuals and many more people can function within their usual life but would be left vulnerable in many different evacuation or other emergency situations.

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Project Wrap-up: Learning Lessons and Recommendations The emergency-preparedness special populations outreach project had three tasks: to identify special populations, create a contact list, and create a method of contact. Throughout, the project was a major learning lesson of the challenges for outreaching to a diverse community. Recommendations for a main contact list. In a diverse community, diversity of outreach with multiple layers is essential. Outreach to a diverse community at municipal levels requires extensive resources. There seems to be a reliance on the grassroots leaders for expending their own resources for emergency preparedness and contact during disasters. At the time of this project, emergency outreach plans included distributing information via email with attachments that each of the contacts would then print, duplicate, and distribute. Most contacts stated they would be unable to distribute flyers to their community because they lacked the resources to cover the costs of printing, staff time to distribute or current infrastructure to contact the majority of members efficiently or quickly. Outreach also requires developing trusting relationships and maintaining two-way communication about needs and resources. Many of the special population leaders have specific roles in the community based on community expectations, available resources and personal skills. The Health Department and other social service organizers need to establish and maintain a trusted relationship with community leaders in advance of any kind of emergency: that includes relationship-building, education, prevention, and identifying special needs of the leaders’ membership. In addition, these connections need to be reinforced with practice. For example, the Nepali community has created a small alliance of community-based ethnic leaders who are collaborating on a small outreach and education project. Through that civic engagement, the leaders are connecting with the Health Department to learn of opportunities for services and information through events such as local immigrant health fairs distributing flu shots. The leaders are developing methods of outreach, practicing community publicizing of events, communicating back to municipal leaders about special needs of their members, encouraging their members to be involved in service opportunities, and learning about available services and resources. This is supported by a grassroots organizer of the Nepali community employed in the Health Department. Emergency plans need to have integrated multiple outreach techniques to address high-migration, lack of centralized organizers, and new unidentified communities.

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Resources and funds must be made available for community outreach, development, and emergency preparedness. It is not possible to pass on the expenses of outreach to the individual community leaders, small groups or specific service providers. There are few funds available to special populations for prioritizing community preparedness, outreach, prevention and education. However, marginalized populations are vulnerable because they have no funds for just these important activities. Recommendations for contact methodology. The Health Department is currently stretched to its limits to provide basic services and has little time to prioritize emergency preparedness. An effective outreach plan by the Health Department requires full-time outreach staff specializing in marginalized populations charged with maintaining relationships, identifying communities/contacts, identifying needs/resources, and educating about prevention and available services. Staff must diversify outreach methods, support existing or encourage the creation of centralized grassroots groups. The staff can assist groups to develop community membership contact systems such as phone trees, Web alerts, reverse 311 service connections, distributing flyers or other efficient and quick outreach methods. The Health Department staff must be fully trained in programs and have access to appropriate technology. There are programs that assist with communication, organizing groups and resources, and planning for distribution of resources and vulnerable populations. For example, there is an interesting program, Geographic Information Systems (GIS) for assisting with maintaining transportation resources specific to communities requiring various transport services (Enders & Brandt, 2007). Recommendations for outreach. Resources are required for diversified community development, outreach, and education for preparing for emergencies and disasters. Communities need to approach potential emergencies that are within the scope of understanding (snow, loss of electricity, train derailment, etc.) which will help to prioritize preparedness and keep it approachable (Simonsen, 2007). Individual special-needs communities should be supported and encouraged to create a centralized communication system that supports the preferred communication method of the group, establishes what information to distribute and expect, and practice by sharing resources or opportunities that the community can utilize and benefit from. ESL classes, community programs and other existing occasions for contact should integrate emergency preparedness into the existing curriculum. Community events and health clinics are helpful in decreasing fears about service providers and first responders, developing relationships and

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establishing a baseline of special needs. These are important opportunities for special population grassroots leaders to practice community outreach systems. Faith in preparedness and survival can be supported by information, faith-leaders’ involvement, and creating trusting relationships with first responders and service providers. Temporary residents, tourists, and homeless people must have their needs identified through dialogue and be able to rely on clear preparedness by first responders and signage. Communities should develop emergency preparedness programs that utilize existing systems as much as possible so as not to overreach them. In the Twin Cities (MN), the public television and radio networks developed a useful program, Emergency Community Health Outreach (ECHO), for outreaching to immigrants who speak English as a second language or are monolingual (not able to speak or read English). ECHO utilizes local public television and radio resources to outreach to immigrants in their own languages for emergencies and education. Also, the program has translated phone messages that community members can reach by dialing a local number (Belknap, 2007). This is an example of a program that examined the final outcome needs first, reviewed the existing systems and resources, and then connected the dots in between with as little new development as possible. Connecting special populations back to agencies and the city. Municipal first responders must prioritize marginalized populations in preparations for disaster outreach and follow-up services. They need to be fully informed about each of the special populations, their needs, and integrate service provision into main community services. First responders must know how to serve the marginalized populations before, during and after emergencies. Finally, the municipal first responders must know how to contact all communities in various pre-emergency, during and post-disaster situations. It is, however, unrealistic from any perspective for the first responders to be solely responsible for creating outreach methods and relationships. There must be a close partnership between the first responders, professional outreach staff, and special population leaders. Each group needs to have the responsibility to create, maintain and increase communication, relationships and needs. Diversify outreach and service provision depending on emergency. It is important that local emergency services diversify their outreach for emergencies and also have a variety of education and prevention strategies. There are many possible disasters that communities need to prepare for:

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Technical emergency (e.g. train derailments, some kinds of weather, electricity outage); Medical emergency (e.g. influenza); Structural emergency (e.g. bridge, building destruction) Massive weather or evacuation (e.g. tornado alerts, watches or warnings); Internal/external terror emergency (e.g. school shootings, national- or foreign-based terrorism).

Additionally, there are also comparable prevention education topics for each of the above emergencies. For example, there are medical emergencies and also medical prevention education. There are disease outbreak emergencies that require vaccinations, controlling the spread of current outbreaks and issues related to social distancing. There is disease prevention education for TB, AIDS, and influenza. For weather incidents, there are education requirements about weather safety and also emergency weather warning alerts for floods, tornadoes or blizzards (Ibid.). Each of the various possible disasters requires different preparations, outreach methods for each community, and services during and after disasters. Initially, the emergency services team should create a strong vision of what are the final needs to meet. This will allow a system analysis that includes creating a map of the existing system (including all special populations), an inventory of current methods of outreach to special populations during these emergencies, and an inventory of existing community prevention and education programs as an important baseline to start from. Rebuilding Sustainable Communities after Disasters and Aiding Special Populations Move “up the stream”. It is essential to move our efforts “up the stream”. Often it seems that we are fishing at the very bottom of a stream with our hands. If we move further up the stream to find solutions that may cross multiple issues, then we have a more effective approach. For example, it may not be efficient to translate all materials in to the fifty+ languages in Somerville. “Moving up the stream”, in this case, would be to create materials based on very basic English and universal pictures. This will create access to low-literate native English speakers, international travelers, latchkey children, monolingual immigrants, and frightened or very ill disaster evacuees.

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A useful executive summary of utilizing international symbols for communication with ESL individuals in the health care field, the “Universal Symbols in Health Care Workbook”, quotes Jim Bolek, a designer and researcher from JRC Design who assisted in the workbook development that was piloted at Somerville Hospital: Designer and researcher, Jim Bolek, describes universal symbols as a language that is “read” when a picture or symbol is connected with the viewer’s concept of its meaning. Some symbols, such as an airplane or train, can be universally understood while other symbols, such as a cross or money, are subject to the viewer’s interpretation, which is highly influenced by that individual’s culture and background. However, either type of symbol can become universally understood after being widely used over time. (Hablamos Juntos, 2005)

Instead of creating more than sixteen solutions for sixteen sub-groups and attempting to have many outreach strategies in a crisis with no resources, it is better to move “up the stream” to a simpler and possibly cheaper place. Effective up-the-stream emergency preparedness: x Build community confidence, x Maintain steady engagement, x Follow consistent and flexible outreach, and x Provide sufficient resources. Dr. Joshua D. Lichterman in the 2000 Public Health Reports: Focus on Healthy Communities wrote: Residents of cities in regions threatened by a variety of natural and technological hazards are likely to feel more secure and less fearful about the impact of future disasters if they have prepared for potential emergencies through a community-based disaster preparedness program. This security significantly contributes to the “health” of their community. (2000: 265)

Sustainable preparedness. An integrated strategy combining emergency service providers, grassroots leaders, and community members supports multiple up-the-stream needs in prevention, education, socialization, integration, civic engagement, and efficient collaboration. This sustainable up-the-stream strategy works to eliminate “marginalized” from “special populations”.

CHAPTER SEVEN A PRACTICAL GUIDE FOR ASSISTANCE ORGANIZATIONS—AVOIDING DANGEROUS DEPENDENCIES AND ACHIEVING SUSTAINABLE PREVENTION AND MITIGATION OF DISASTER IMPACTS IN COMMUNITIES Overview This paper addresses two elements essential to sustainability and effectiveness: the engagement of people in impacted communities, and how to build effective local capacities to help people and groups— especially how to transcend conflict and prevent and mitigate the effects of past and future problems. In the section “working effectively in disaster-impacted communities where latent or active hostility is present” below, I address the question of how an assistance organization can build effective capacity in local partner organizations and government agencies (training/facilitation units). Under the sections “common errors and problems in capacity-building programming that seriously reduce effectiveness and sustainability” and “how to address the barriers/errors—lessons learned from communities in many countries” below, I have identified the primary obstacles and barriers to sound capacity-building and how these barriers may be effectively addressed, respectively. You will see that, in essence, the essential focus of sustainable capacity-building by an outside assistance organization is to inform, train, assist, model and mentor local counterpart organizations in the key elements of the community engagement and empowerment process and in helping them to find local support to mount and continue that process. The observations and recommendations herein represent the first-hand experience and lessons learned by the author, including more than twentyfive years working in Afghanistan, Malawi (Southern Africa), Central Asia (Tajikistan) and Iraq in the design and delivery of assistance.

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Working Effectively in Disaster-Impacted Communities where Latent or Active Hostility is Present Introduction. In the aftermath of disasters, whether natural or manmade, people in affected communities experience a variety of—and relatively severe—effects including shock, loss and depression. In addition, although not often acknowledged or understood by assistance providers, people are often angry and frustrated as well. The frustration and anger is frequently directed towards government, individuals/families, community groups and/or other communities or groups in the area. And it is important for assistance organizations to be aware of this. However, the specific reasons as to why this frustration/anger exists are less important than recognizing that they are present. Too often assistance organizations either lack awareness of the presence of hostility or get entangled in trying to understand the root causes of the anger and frustration. It is unfortunate that the delivery of assistance often results in higher levels of frustration and hostility among people and groups (including government) and can contribute to the outbreak of violence and greater rifts in the community. Experience in disaster assistance and its effectiveness tells us that lives can be saved by members of families, neighbors and friends, and that prevention and mitigation efforts planned and carried out in advance by local people is much more effective than “top-down” intervention measures from outside the community. It is also clear that the key to getting people to work together to help one another requires an “engagement” process that empowers and creates attitudes of local “ownership” and fosters mutual trust. Fortunately, there are proven ways and means by which assistance organizations can effectively engage the diverse elements found in communities. The “diverse” groups include those most vulnerable: women, single-parent families, very low-income families and the disabled, who may be displaced and disenfranchised. They too should be encouraged to participate, along with local teachers, leaders and government officials when possible. Effective interventions bring these diverse parts of the community together to focus on the identification of their highest priority community problems and needs that they have in common; help them to examine alternative ways to deal with them and then to plan and mount project initiatives. The key to the viability of the initiatives is that they maximize the use of local resources and minimize the use of expensive (and often unreliable) outside assistance inputs. A feature of outside assistance is that it has a high potential to create dangerous dependencies that result in repetition of the previous

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problems/needs, as well as to arouse anger and frustration, to require little or no adaptive behavior by the victims, and other negative effects. This can be seen as a downward spiral that often includes escalating violence and chaos. The good news is that we can help people in communities to work together, despite the presence of hostility, identify problems, explore viable solutions and get to work on them. An appropriate intervention can help diverse members of communities become empowered, “own” both the problems and their solutions. Once having gone through this “process,” I have found that people are much more likely to continue such adaptive and pro-active behavior on an ongoing and expanding basis. Successful communities and groups frequently visit neighboring communities to inform others and foster the same process approach. This is true “sustainability.” The Community Engagement Process, as mentioned above and further described in section A. below, details the criteria and steps required successfully to engage people across groups, even when there is hostility or violence present. The rationale for this engagement process is further explicated in sections B. and C. below, where the characteristics of conflict, as manifested in individuals and groups, is spelled out and clarified. These are the elements that the Community Engagement Process intervention is designed to address. Practical on-the-ground validation of this engagement “model” has been done, and the model has been further adapted and used successfully in Central Asia, Afghanistan, Iraq and elsewhere. Criteria and Steps in the Community Engagement Process A. It is very important that diverse community members and groups (leaders and prominent/respected members) be invited to participate in well-facilitated workshops that deal with identification of common needs, prioritization, planning and implementation of local community-wide initiatives: x Outreach to contact and solicit participation with each community element/group (hostile/opposed groups, women, teachers, officials, etc.); x Well-facilitated engagement of representatives from all groups (invitation meetings, problem/solutions-focused workshops and follow-ups); x Include local officials (if possible);

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x x x x x x x x x x

Focus on problems/needs perceived in common across groups; Ensure equal and full participation across groups; Emphasize and focus on development of local sustainable initiatives that involve all groups to maximum extent, to ensure roles and responsibilities for all; Integrate only small amounts of “outside” assistance into local initiatives, and only if badly needed; Include all participant group representatives in supervising, reporting and presenting progress of project initiative(s) to the donors and the community at large; Train teachers to take same approach in engaging students, administrators, parents and other teachers in the problemidentification and -solving process; Encourage (and provide limited support for) participant groups to share their “successes” widely—with neighboring areas/ communities and foster the same process; Encourage and support local leaders, groups and local government officials to inform the relevant higher levels of government (meetings, workshops, etc.); Short- and long-term outcomes projected, tracked and reported; Follow-up visits and interventions—facilitated meetings and workshops—assist the engaged groups in local project review, evaluate and local promotion to “spread the word” in regard to their successful efforts. These efforts will broaden the effective reach of the program and improve the next level of local initiatives that address additional high priority needs/problems using the same empowering approach.

B. Understanding and dealing with the presence of hostility/anger and conflict in disaster-impacted communities. Following are the critical signs and symptoms: x Lack of communication among community elements (tribal, family or other groups); x Alienation among groups (reflected in language or non-verbal behavior); x Polarization (divisions in community worsen into clear divisions “we vs. they”); x Dehumanization of other individuals and/or groups (e.g.: “They are animals!”); x Loss of trust among groups, of government, etc.

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C. Characteristics of effective conflict mitigation in communities: x Effective communication between/among groups; x Respect for basic rights is demonstrated in formal interaction among/between individuals across groups; x Divisions between/among groups become less clear and extreme; x Language used by individuals in describing others in other groups becomes respectful and less negative; x The rebuilding of trust is demonstrated by increased tolerance and participatory action towards common goals across diverse groups. Achieving Community Sustainability through Effective “Capacity Building” Introduction. The term “capacity building” is widely used but is often not clearly defined. Many international assistance organizations and programs treat it as primarily “Technical Assistance” (TA). This definition of “capacity building” is manifested by bringing in many specially skilled staff or consultants who are knowledgeable and experienced in the particular areas of subject matter. They are frequently used to run the program, design solutions and provide lectures and advice to local agencies. But there are many problems and high costs associated with this TA “injection” approach to capacity building. Perhaps the single most significant problem is that this approach usually does not build much local capacity and does not contribute to sustainability. A slightly different approach is the “massive TA-injection” of outside trainers and consultants. In this case, they are brought in to hold a few intense workshops and conferences for the local participants—usually government officials and leaders. This concentrated TA-infusion approach is impressive by its scale, but also tends to be very expensive (many outsiders at very high cost per day). And, as with other TA-injection approaches, it still does not result in much “skill transfer” and little or no positive effects. Some observers point out that it can create interest, but if there is no systematic follow-up that builds true capacity, the interest can dwindle to nothing or even turn into anger and frustration. The reasons why these two “injection” approaches tend to not work well is that outside trainers, consultants and staff, while highly trained and skilled in the subject matter, usually lack understanding and appreciation of the country’s culture, language(s), complex problems and issues. They also tend to believe that their technical solutions will work without regard

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to these local factors. Outside experts also come for only a relatively short time, depart well before the “application phase” of the TA occurs and see neither application nor results. As a consequence, a lot of assistance money is spent, little useful information and skills are transferred and there is no sustainability. By contrast, I define capacity building as helping carefully selected local groups and agencies to acquire and provide orientation, facilitation and interactive training to local individuals and groups accountably, AND systematically to develop locally valid and reliable training interventions and materials adapted to local conditions and needs on an independent and sustainable basis. The approach needed to implement this definition incorporates aspects of technical assistance, interactive community development and sound management practices. It underscores the critically important role of experienced local trainers/facilitators and grassroots initiatives developed and learned by local people and organizations. Using this approach, the focus (scope of work) of the outside assistance organization focuses on expanding awareness, understanding, knowledge and skills, and helping them to use the same approach in program and staff development and implementation on an ongoing basis. As this approach progresses, the assistance organization begins to move into roles as supervisor, advisor, evaluator and mentor to the local implementing partners and beneficiary groups. This “handing over” and supporting of greater responsibility and authority to local organizations for major aspects of the overall program is a very important design and operational feature of sustainable assistance programming, where the outside implementing organization “works itself out” of its initial role of provider. Real capacity-building takes expertise, dedication, time and effort, but vastly increases effectiveness and sustainability. A. The use of technical assistance and training in effective capacity building—maximizing relevance, practicality and local initiative requires: x Adaptation of TA to culture and local application(s); x Successful (most useful and relevant) applications of TA/subject matter is integrated into local training (modules and materials) by local trainers/facilitators using input from ultimate beneficiaries; x Feedback is collected through assessment of effects of adapted training (application, understanding, usefulness and appreciation) by users and beneficiaries; x Training materials and modules are validated (made more relevant and useful) and their application shared and spread to

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other communities; Numbers of skilled trainers using validated modules/materials expands in implementing partner organizations and agencies; Use/application of validated modules/materials expands and is reflected by growing numbers of participants and communities involved and community projects mounted and beneficiaries.

B. Common errors and problems in capacity-building programming that seriously reduce effectiveness and sustainability: x Erroneous assumption that adequate skills-transfer and application can be achieved by use of exclusively outside TA resources (i.e. use of foreign subject matter experts, materials and solutions); x Lack of sound selection practices and adequate preparation of local trainers and training organizations (i.e. training units, local NGOs and/or working groups); x Lack of training management capacity in implementing organizations (assistance organization, training partners and/or training units in government agencies); x Inadequate planning (viable strategy, timeframe scheduling and allocation of resources for preparation, training validation and effective application of awareness, knowledge, understanding and skills (AKU&S); x Inadequate transfer of responsibility and authority to local partners, implementers and beneficiaries; x Lack of evaluation of program effectiveness and sustainability, often associated with inadequate goal/objective setting, scheduling of critical milestones and other performance criteria. C. How to address the barriers/errors—lessons learned from communities in many countries: x The reality is that effectiveness of disaster assistance is determined by how well the assisting organization understands that the most important features of effective assistance are engagement and empowerment of local people in communities to work together in dealing with their most pressing problems, in ways that are doable and practical; x To accomplish this, local individuals and groups are identified, carefully selected and trained as staff and/or partners who then train and facilitate interactively, according to basic principles of adult learning, and to understand, appreciate and develop valid

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x

x

x

x

x

and reliable training modules and materials adapted to the local situation and needs; Special training units, pools of skilled trainers and/or designated training-focused local NGOs are needed to enable good-quality training and encourage related engagement interventions that target local groups and communities; Both the assistance organization (primary project implementer) and its local implementing partners (especially when a partner is a governmental agency) need to have experienced and skilled Training Managers employed full-time to make key management decisions and administer all aspects of planning, developing, providing and evaluating the quality, effects and needs for improved training; The assistance organization must have clear and practical “milestones” (key deadlines and progress markers) for itself in helping local partners, communities and groups, especially regarding their progress in exercising responsibility and mounting initiative(s) to help groups and communities address problems, including program aspects such as small sub-grants, project status reporting, local targeting of relief supplies; The assistance organization must anticipate and “budget” time and resources for trainer selection and initial development of training AKU&S and basic modules and materials before carefully specifying and selecting outside TA resources; Once the “basic training” of staff and partner trainers is accomplished, then carefully selected outside TA subject matter inputs, including potentially relevant modules/materials, may be brought in; the outside TA resources are then provided to the local trainers to review, discuss and determine which aspects are most applicable and beneficial, and those are then adapted by the local trainers according to the local needs, cultural features and conditions.

Conclusion—Sustainable Disaster Mitigation and Prevention Sustainability demands high levels of engagement and empowerment of local entities and beneficiaries (groups, communities, NGOs and government. This engagement and empowerment is essential to both the approach (process) and its effects (goals/objectives). When appropriately applied, in many cases, communities have learned to work independently,

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avoid dependence on outside resources and foster local harmony and constructive action. But when assistance organizations fall into the trap of providing assistance to “rescue” people and communities, by bringing in supplies and resources and imposing outside “assistance” solutions after a disaster strikes, the primary lessons that people in the target communities learn to be dependent. For the future, the lack of effective engagement and empowerment does nothing to help victims/beneficiaries to anticipate needs and impacts, work together to develop alternative strategies and plans and take effective steps to prevent and mitigate effects and impacts which can be expected. In actuality, communities that learn to be passive and dependent are setting themselves up for another disaster, and assistance organizations often contribute to that problem (i.e. the creation of dangerous dependencies), despite their intentions to “help”. Assistance organizations can and should provide better assistance by utilizing the community-engagement approach. It involves improved planning and practices in building the capacity of local trainers and partner organizations to engage and encourage communities and groups in problem identification and problem-solving activities. While this sounds simple and makes sense, its implementation requires some significant changes in the way that donors and assistance providers view “assistance,” define the problems/needs and conceive the programming to address them. We must also understand and appreciate that the mere provision of information and ideas by injection of technical assistance is neither particularly effective nor sustainable in helping communities prepare for the future. Indeed, the “secret” of real sustainability lies in our ability as assistance providers and donors to adopt and utilize the engagement and empowerment approach. Author’s Note Throughout this paper I have used the term “training” specifically to mean a highly interactive intervention, based on adult learning theory and practice, recognizing and emphasizing the rights of all participants to be heard and to be actively involved; it stresses the need for good facilitation in order to maximize participation by all, and to prevent domination and excessive influence by individuals and groups. The use of this training models the basic precepts and practice of the democratic process and promotes tolerance, communication and mutual respect among trainers and participants. The use of this interactive training in communities is

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usually well-received and becomes valued and practiced, especially in areas impacted by disaster and conflict. Current and recent past examples of effective use of the engagement and empowerment approach and the building of local capacity to apply it include, but are not limited to: x Counterpart International, Inc.—its programs in Afghanistan and Iraq focus on community assistance and building of more civil society; x Counterpart Consortium, (administered by Counterpart International, Inc.) Central Asia Republics (Kazakhstan, Uzbekistan, Kyrgyzstan, Turkmenistan and Tajikistan)—focus was on building capacity in the NGO sector related to democracy; x PARSA, Afghanistan—focus is on building the capacity of the Afghanistan orphanage system to manage itself and improve the quality and effectiveness of its services for orphaned children.

CHAPTER EIGHT FROM EMERGENCY RELIEF TO LIVELIHOOD RECOVERY AFTER THE TSUNAMI: WHAT POST-DISASTER MANAGEMENT LESSONS? 1 Depending on how you look at it, you can say this has been the bestfunded emergency in the world or the most expensive humanitarian response in history. International Federation of Red Cross and Red Crescent Societies, World Disasters Report 2005.

Introduction Conceptual debate on typology of post-tsunami assistance. The highprofile coverage of the tsunami led to the largest response to a natural disaster in the history of humanitarian aid (Telford, 2007). But the glare of the media and public attention pressured donor agencies to spend rapidly and visibly, often neglecting the search for pre-disaster local data and expost precise needs evaluation. The complexity of a major disaster (Gilbert, 1995) and long-term recovery beyond immediate emergency relief has also been underestimated by a number of donors and NGOs. In its report released in July 2006, the Tsunami Evaluation Coalition (TEC) underlined the central importance of addressing the rapid shift in post-disaster management from emergency relief to development and livelihood recovery among the affected populations. Though rather obvious, such shift has been underestimated—most humanitarian agencies being inexperienced in meeting the locally affected people’s long-term development needs. Further questions have been raised such as: x Whether the content and quality of humanitarian assistance, short-term by nature, should be upgraded to include linkages with longer-term development rehabilitation, and/or x Whether a well-monitored division of labor and coordination could be settled among humanitarian agencies and development cooperation institutions, both at the international level and in the country affected by a disaster.

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Beyond pure economics of survival, there is no international standard definition of livelihood recovery in a post-natural disaster context (AlbalaBertrand, 1993; Okuyama, 2003; Rasmussen, 2004). It does not take into account the degree of pre-disaster vulnerability among affected populations, which may differ significantly between developed and developing countries, and even more within any single country of the second category (Kahn, 2005; Strömberg, 2007). The issue is even more complex when a disaster takes place in a region also affected by a political and security crisis, like in Aceh. Yet, the terminology of livelihood recovery has been utilized in every post-tsunami document published by donors since 2005, up to the point that the International Federation of Red Cross and Red Crescent Societies (IFRC) decided for the first time in 2006 to appoint livelihood aid officers among its senior staff. The British development agency provides a rather comprehensive definition of the concept of “livelihood”: A livelihood comprises the capabilities, assets (including both material and social resources) and activities required for a means of living. A livelihood is sustainable when it can cope with and recover from stresses and shocks and maintain or enhance its capabilities and assets both now and in the future, while not undermining the natural base. (DFID 2001, Sustainable Livelihoods Guidance Sheets)

The concept of livelihood covers a wide range of economic and social contents (DFID, 2005; UNDP, 2005), which have also to be contextualized, with enormous variations among pre- and post-disaster parameters from one situation to another. An emerging international consensus seems to recognize that: x Emergency relief does play a crucial role during the first weeks and months following a disaster; x It can include in a broad sense the delivery of minimum safety, stability and confidence building beyond the material supply of survival equipment and tools; x The role of humanitarian agencies should stop there, and be substituted by reconstruction and development aid, supportive services and various types of international grants and domestic incentives to enable the affected populations to get back within shortest possible delays to their ex-ante economic and social activities.

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Central Policy Research Question The plea for a rapid and effective shift from emergency relief to development reconstruction has led some donors and NGOs to target in the context of the post-tsunami the rehabilitation of small economic activities. Such activities should aim to restore access to local production of basic commodities and petty services, to start again other types of preexisting economic activities, in order to secure employment, income, and dignity for the majority of survivors (GTCA, 2005; ILO, 2005; ODA, 2005; UN, 2006). The declared objective of self-reliance and sustainability of such microeconomic activities proceeds from the fact that continued injection of national and foreign aid is neither desirable per se, nor feasible. Furthermore, a number of well-funded post-tsunami hardware reconstruction projects tend to rely on external contractors, and therefore do not source for materials, components and parts locally. Logically, given the limits of their relief mandate, the vast majority of donors retreats within a time span of one to two years because of their own policy and project financing constraints. In the meantime, other crises call them elsewhere. Furthermore, humanitarian agencies do not have a development mandate. Even if they had one, there is no systematic justification per se to transform every place affected by a natural disaster into a new development cooperation area (World Bank, 2005). Sustainable Livelihood Recovery

Humanitarian Aid

Economic Relief

Reconstruction and Economic Security

Figure 8.1. Sustainable Livelihood Recovery

In the context of such an international post-disaster debate, this article intends to address the necessary shift from emergency relief to development reconstruction and economic security, in the case of Aceh (Indonesia) and Tamil Nadu (India). More specifically, it reviews the local conditions of recreating, with the support of local institutions and foreign NGO partners, microeconomic activities to guarantee the recovery of coastal communities affected by the tsunami.

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Critique of Post-Tsunami Relief In retrospect, positive and negative critiques can be addressed to the modes of relief mobilization and delivery after the tsunami. They are summarized in the graph below. Table 8.1. Critiques of Post-Tsunami Relief Positive Critique Negative Critique (+) High coverage by international (-) scale of disaster: four countries + media foreign tourists (+) Massive mobilization of (-) Short/long-term disbursement institutional and individual (relief/reconstruction) donations and funding Accountability/waste /corruption (+) Wide mobilization of (-) Chaotic modes of aid delivery humanitarian and development among too many domestic/foreign, agencies (public/private, public/private actors with lack of large/small) guidance

Among the positive critiques, the unprecedented mobilization of both institutional and individual relief funding has been delivered thanks to the exceptional coverage of the tsunami by international media. However, such mobilization can be explained by the exceptional magnitude of the tsunami, its disastrous impact in several major Asian countries, and by the presence of hundreds of foreign tourists among the victims. The global scale of the tsunami emergency aid call led to a massive mobilization of humanitarian and development agencies, both national and international, public and private, large and small. However, the involvement of highly diverse and numerous agencies produced chaotic and uncoordinated modes of relief delivery in the short term, and of reconstruction aid in the following months and years, with a general lack of domestic and international guidance. The most severe critiques have been addressed to the modes of allocating shelter, new housing and livelihood recovery projects with poor monitoring and accountability, lack of local impact assessment, duplication or waste of resources and even aid diversion, and ignorance or neglect of certain sectors and segments of population. Indonesian and Indian Case Studies Location of NGOs’ post-tsunami field intervention. The human toll has been massive, especially in the provinces of Aceh and North Sumatra.

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After Indonesia, the Eastern coasts of India and Sri Lanka suffered the most (McCulloch, 2005). Following the disaster, the NGO Terre des Homme-Italy started to provide aid to the Pidie district on the northeast coast of Sumatra. Pidie used to be a rather wealthy district in terms of fishing activities, aquaculture, agriculture and post-farming, husbandry, fruit production and horticulture. Human and economic destructions by the tsunami were very severe. The Swiss NGO Terre des Hommes-Geneva targeted the Vembar district, located in South Tamil Nadu along the Gulf of Mannar, facing the city of Jafna, Sri Lanka. Compared to the Nagapatinam district further north, Vembar suffered material destruction with much lower human casualties (ADB, UN & World Bank, 2005). However, its socio-economic vulnerability was higher than the Pidie district due to its hardship semiarid conditions. Although classified as national sea biosphere patrimony, it belongs to the most semi-arid area of Tamil Nadu and faces regular typhoons during the monsoon. The salinity of soils, the scarcity of underground water, and the low delivery of basic infrastructures explain the deep poverty of the area and its marginalization from major communication and economic flows. Micro-entrepreneurship landscape and post-tsunami recovery enabling environment. Liberal theories envisage small entrepreneurship as a rather free and spontaneous phenomenon based on individual or semicollective/ community grouping choice, in which neither the State nor any other external player should intervene; however, other theoreticians have demonstrated the interdependence between small business and its environment, which has always to be contextualized (Glancey, 2000). Since the 1990s, the Committee of Donor Agencies for Small Enterprise Development, coordinated by the World Bank and the International Finance Corporation, has put forward the concept of business enabling environment, which implies that some natural and/or institutional factors may handicap or prevent the birth and development of local entrepreneurial dynamics. Yet, such concepts were not applied in the context of disasters, and therefore theories regarding the facilitation of post-disaster small business rehabilitation environment are simply lacking (ILO, 2005). Among humanitarian or development agencies, practical experiences in post-crisis economic recovery have been limited and highly localized, and as yet have not produced well-established conceptual knowledge (World Bank, 2005). In both the Indian and Indonesian locations, small entrepreneurship hardly existed beyond the village community production and husbandry of

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basic foods such as fish, shrimp, rice and fruits. These foodstuffs were not semi-processed and transformed locally but sold through local traders and transporters, with the value-added chain bringing high revenue outside the district. In this context, middlemen using mainly motorbikes or minitrucks have been active at each possible intersection between demand and supply. Their close proximity to local households has allowed them to act as intermediaries without any risk of competition from outsiders. Most local producers do not have direct access to suppliers and market channels. Beyond the pre-tsunami existence of household production activities, it has been difficult to identify local community networks generating minimum solidarity to be used as an effective and rapid channel of posttsunami economic relief. Quite surprisingly, the high or low presence of local government has not modified this picture, neither in Indonesia nor in India. Sustainable livelihood recovery through microeconomic initiatives. Given distinct household and micro-entrepreneurship landscapes, the livelihood recovery strategies followed by Terre des Hommes-Italy (TDHI) in Indonesia and by Terre des Hommes-Switzerland (TDH-CH) in India have differed quite substantially. TDH-I has followed a rather classical assistance path together with the UNDP Cash for Work Program. TDHCH was able to innovate and to venture with an Indian development NGO, which had been locally active for four to five years before the tsunami. Therefore, the Swiss and Indian NGOs together had immediate access and were able to assess in each coastal village the post-tsunami situation and the precise needs. Microcredit revolving funds were then rapidly channeled through existing self-help groups (SHGs) and the creation of additional ones. The priority sectors targeted were: x Post-fishing marketing and transportation to end markets; x Bulk purchase of rice for resale in small quantities; x Production of fish pickles, soap and other small items; x Goat rearing. Thanks to the microfinance scheme, some SHGs have been able to cut down and even pay off fishermen’s debt dependency vis-à-vis intermediaries and moneylenders buying and transporting fish and other goods. They were even able to lend money for the acquisition of nets, other fishing equipment and the self-organization of small fish auctions. In both the Indonesian and Indian cases, foreign NGO cooperation has gone beyond post-disaster economic relief through replacement of infrastructure and equipment. It has also included the delivery of technical and financial means to re-launch those microeconomic activities

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prevailing before the tsunami, with a long-term objective of sustainable recovery of local livelihood. New micro-entrepreneurship challenges. Theory and practice in entrepreneurship studies show that the creation and sustainable development of new small business activities, even more in vulnerable developing countries, is the result of a complex chemistry of enabling factors, which can hardly be delivered either by local government alone, or by foreign donor agencies (Harper, 1984; Meredith, 1982; Prahalad, 2006). Such chemistry seems even more complicated to forge under unstable or abnormal circumstances, especially after a natural disaster or any other type of violent crisis, despite the obvious need to recreate employment and income-generating activities on the ground as rapidly as possible (ILO, 2005). It seems feasible to re-launch pre-disaster existing economic activities through resilience and capitalization of know-how among the affected population, whereas ex-nihilo creation of new activities may be perceived as out of reach even in a rather entrepreneurial culture like India in recent years. An additional difficulty may also lie in the informality, petty scale and vulnerability of the microeconomic activities concerned, and the difficulty of designing appropriate technical and financial supportive tools, and modes of delivery (UNDP, 2004; Prahalad, 2006; Flynn, 2007). In Aceh, the province has been gradually moving from economic recovery in 2005–06 to renewed development and growth since 2006–07. However, because of relative isolation during the thirty years of armed political conflict preceding the tsunami and diversion of oil and gas revenues by the central government, very few small business development services have been operating and even fewer after the disaster. The most frequent attitude among the victims has been to wait for external help like TDH-I. The creation of SHGs and cooperatives has been difficult and slow, though more practical than formalizing a small business. But some cooperatives were launched only for accessing funds from donors. Only Islamic microfinance institutions, making use of religious donations and taxes, have worked not only on a commercial basis but also in social terms, thus developing a close relationship with local communities (ADB & Government of Japan, 2005; Imam Budi Utama, 2006). In South Tamil Nadu, the TDH-CH and the Indian NGO partner have been quite effective in contributing to economic recovery in the predisaster existing sectors. Beyond this point, it has been hard to encourage sector diversification or new types of micro-activities where there was no previous experience and know-how locally.

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Lessons Learnt Post-disaster economic rehabilitation strategies. The above two posttsunami cases in Aceh and Tamil Nadu illustrate the challenge of linking post-disaster recovery strategies with long-term sustainable development objectives, which have to be appropriate and relevant to local social and economic needs. This viewpoint questions the chaotic and uncoordinated mode of providing recovery aid in various locations affected by the tsunami (Concord/Voice, 2005; Fritz Institute, 2005). It may necessitate a complete revisiting of the conception, organization and delivery of postdisaster relief on the ground (Houghton, 2005). Post-disaster overconcentration of aid. Both Aceh and Tamil Nadu have been inundated with aid and money. However, the presentation of the contrast between the two case studies is deliberate. The Swiss NGO preferred to target the very poor coastal region of Mannar, which was almost forgotten, instead of joining the overconcentration of hundreds of domestic and foreign NGOs in the Nagappatinam district. Both in Aceh and Tamil Nadu, too many actors have been involved in post-tsunami projects: central/provincial governments and foreign donor agencies, the UN and World Bank/Asian Development Bank, domestic and foreign NGOs. For instance, US $113 million have been allocated to the Emergency Response and Transitional Recovery Program coordinated by UNDP in Aceh: by the end of 2006, only 71 percent had been disbursed (BRR 2006, UNORC and BRR 2007). In Tamil Nadu, Caritas was able to raise US $100 million but was not in a position to complete the construction of 12000 new houses by late 2006 (Caritas India, 2005, 2006). The overconcentration of aid was not only of a financial nature. In terms of priorities of aid allocation, most of the relief addressed shelter and housing reconstruction, and fishing equipment. Aid oversupply has been particularly noticeable in macro-level hardware reconstruction, with a difficult shift to micro-level livelihood recovery. In Aceh, large infrastructure reconstruction projects were implemented by big foreign and national agencies. It left NGOs the chance to focus on the micro-level, including reconstruction of local infrastructure for small businesses to restart. In the case of aquaculture rehabilitation, for instance, TDH-I and UNDP have facilitated the reconstruction of ponds through cash for work. Then, the focus was put on small business software to reinitiate production and marketing of fish, crabs and prawns.

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Large-scale reconstruction versus grassroots recovery. Field observation in India and Indonesia has shown that a clear distinction should be made between two types of post-disaster interventions: x Large-scale reconstruction of basic infrastructure and housing, having potential grass-root multiplier effects upstream and downstream on the local economy, but hardly addressed by most of the reconstruction projects; x Microeconomic rehabilitation of pre-disaster existing sectors, which have been locally addressed by only a very limited number of development aid projects. Despite the magnitude of the tsunami, the rehabilitation of the local economy has not been identified as one of the top reconstruction priorities. Humanitarian agencies and most development aid institutions have none or few competencies in micro-entrepreneurship (Lloyd-Jones, 2006). Such grassroots livelihood restoration projects have also much less financial volume and therefore less political attractiveness and public visibility than large-scale projects dealing with infrastructure, housing or water sanitation. Such neglect of grassroots economic recovery needs has also resulted from the absence of pre-disaster and micro-level mapping of existing economic activities (BPS, 2005; IFRC, 2005, 2006; UNORC, 2007). Such information has never been requested by policy makers in charge of national disaster management planning, even in emerging countries such as India or Indonesia facing major and regular natural hazards. In addition, the manner in which large-scale reconstruction projects have been conceived and implemented has hardly contributed to the boosting of the local economy. On the contrary, most projects of that type have relied on external and large contractors, sitting in far distant major industrial and urban centers, or even abroad. It is no wonder that such well-funded projects have resulted in various malpractices, including nepotism and corruption (Fritz Institute, 2005, World Bank, 2005). Grassroots economic rehabilitation is also extremely difficult to design and package, as it must be customized and tailored to the specific conditions of every single location and community. Post-tsunami field observation has indicated that: x Livelihood rehabilitation cannot be envisaged only in pure economic terms. Post-disaster microeconomic revitalization cannot be separated from community and social parameters able to facilitate the process; x Few foreign development agencies can pretend to master such local economic and social parameters, except if they were present

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x

on the ground years before the tsunami, and cooperating with local NGOs doing effective work at the grassroots level; Post-tsunami microeconomic rehabilitation has succeeded where local community participation and ownership have been encouraged from the very beginning of intervention (Swayam, 2007).

In the Indonesian case, a participatory approach has been adopted to involve local district and village leaders in the identification and implementation of the projects. Some cooperation has also been possible with some local NGOs in order to understand the local social and institutional context. This has enabled TDH-I to work faster and more effectively. Sometimes, local collaborations led to some abuse of foreign aid: local leaders were called in to choose the beneficiaries in order to avoid community clashes, and there were conflicts of interest involving bribery and clientelism. The enormous funds initially committed for posttsunami relief have tempted more than one. In the Indian case, the positive impact of first economic aid delivery on livelihoods could not have succeeded without a strong participatory approach. The empowerment of village communities has proved to be effective not only in channeling microcredit but also to engineer some micro-marketing and micro-financial initiatives of their own conducive to more sustainable development of local economic transactions. However, local community recovery impulsions do not necessarily mean that local government should be always considered as ineffective in the delivery of post-disaster assistance. In the case of India, local government played a significant role in the post-earthquake reconstruction in Gujarat (2001– 2004), but it was much less present and effective in Tamil Nadu after the tsunami (Duyne-Barenstein, 2006; EDI, 2005). Grants versus micro-finance and micro-insurance initiatives. Cash for work has been rather intensively used, especially in Indonesia, to facilitate the reconstruction of light infrastructure, some housing, fishing boats, and ponds for aquaculture (Adams, 2006; Kumar, 2005). Microfinance has not been widely used, as it needs a number of prerequisites, and as it cannot function overnight just after a disaster (Pantoja, 2002; World Bank, 2005). Microcredit is primarily a tool to boost micro-savings at the household and community levels, and then to try to cushion through microloans the high variations of income among vulnerable people. Only 15 percent of global microcredit supports micro-production activities, proving that it is not primarily used to promote small entrepreneurship (ADB, 1997).

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The Indonesian case study clearly shows that TDH-I did not initiate microfinance projects for the simple reason that the level of community self-organization was too weak (ILO, 2005, 2006; Shannon, 2006). It took more than two years to initiate small cooperatives. In the Indian case study, microcredit has worked in locations where the degree of prior participatory self-organization was rather high. At best, it is one financial tool among others, including informal money-lending, as long as access to formal banking institutions cannot be delivered (Chakrabarti, 2005; Swayam, 2007). As shown in the case of the Gujarat earthquake, local government can play a role in providing incentives in cash or kind directly to the victims (Duyne-Barenstein, 2006). And cash for work did play an important role in the case of post-tsunami Aceh. In Indian locations—where it was possible to capitalize on wellestablished accumulation of microfinance experiences—micro-insurance initiatives to anticipate future disasters have been envisaged, even though cautiously. In the course of 2007, the Swiss and a local Indian NGO were able to act in the name of several fishing village communities and to negotiate a collective micro-insurance scheme with an insurance company. This micro-insurance scheme can provide coverage if some fishermen are lost at sea, especially in case of typhoons. The premium is sufficient to help a widow to buy some cattle or envisage another type of microeconomic activity to replace the loss of fishing revenue. Microinsurance as a tool to reduce a number of business and family life risks is one thing, whereas micro-insurance to reduce the immediate impacts of major natural disasters is a different matter (AIDMI, 2005; Kunreuther, 1996). However, as micro-insurance remains inaccessible on an individual basis, most of the poor affected by a natural hazard tend to rely either on family micro-savings, mortgaging their land and assets, or on emergency loans from moneylenders. Disasters may lead to a “cycle of poverty,” as victims may contract high-interest informal loans or default on existing ones, sell assets and livestock, or engage in low-risk, low-yield farming to lessen their exposure to extreme events (Kumar, 2005; Mechler, 2006; ProVention, 2006). The alternatives to micro-insurance in the developing world include collective savings and microfinance, informal insurance or arrangements that involve reciprocal exchange such as kinship ties, community self-help, or transfer of remittances. Continuum between humanitarian relief and development aid. Emergency aid is in principle related to any form of sudden crisis. It is short-term by nature and should address the most visible needs as rapidly as possible. There is no apparent reason why humanitarian agencies should

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link emergency health, food and shelter security to long-term reconstruction. Livelihood recovery and economic rehabilitation are supposed to be handled by national and foreign development agencies, which have different mandates and skills (Brusset, 2006; Lloyd-Jones, 2006). However, this division of labor between humanitarian and development actors can be challenged especially in poor countries, which are structurally vulnerable to various types of natural hazards and pandemics (IFRC, 2005; World Bank, 2005). The scale of the tsunami and the mobilization of the international media were such that the usual intervention of humanitarian agencies overlapped with the uncoordinated actions of a myriad of foreign development and social NGOs, which improvised their respective emergency agendas. A second major source of confusion resulted from the financial over-liquidity of relief operations, without any sense of priorities and proper planning (IFTDH, 2005; TDHG, 2005). As a result, the quantity of aid was in excess supply, but did not necessarily include sustainable livelihood recovery. There were real financial, technical if not political problems of continuum between humanitarian and development agencies, with a lack of planning and coordination of the shift from humanitarian to development action (Houghton, 2005; IFRC, 2006). Posttsunami experience has shown that humanitarian and development actions should have been conceived together from the very beginning in order to design humanitarian action as compatible with local development recovery. In both Aceh and Tamil Nadu, long-term consideration for livelihood recovery—from the very start—could have saved a huge waste of emergency aid, and prevented the risk of aid addiction. Economic rehabilitation could have been injected into the first phases of emergency relief. Self-help could have been promoted among the beneficiaries, for instance in the repair or reconstruction of their own houses with local inputs and materials in order to re-generate local employment and income (Duyne-Barenstein, 2006). In Aceh, the Consultative Group of Indonesia has been a coordinating platform between the Indonesian development planning agency, the World Bank and numerous other governmental and NGO partners, which have produced the main Damage and Loss Assessment for Aceh and Nias. On this basis, rather fair coordination of emergency relief has been carried out by UNDP, whereas the shift to livelihood recovery was more difficult (BRR, 2005; UNDP, 2006). The most successful emergency projects were based on cash for work by and for locals. However, some other emergency aid projects, like temporary shelters, led by humanitarian agencies or

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specialized NGOs have slowed down housing rehabilitation, simply because they had no competence in this sector. In Tamil Nadu, local and foreign development NGOs, already present in the field prior to the disaster, have transformed themselves into emergency relief organizations within a few months. Pure improvisation was adopted more than once, with little supervision by the Indian authorities. Yet, there has been some coordination effort through the NGO Coordination and Resource Centre (NCRC), mainly funded by the Swiss development agency. The central question is why the NCRC, which was established after the Gujarat post-earthquake experience, has not been more effective in the post-tsunami situation? (Duyne-Barenstein, 2006). In 2001, the Gujarati Government provided reconstruction assistance in cash directly to the affected households. Public-private partnerships were put in place to channel NGOs’ participation, and rehabilitation was either supported by the State, or equally shared with NGOs. In practice, public agencies took the lead together with local owners of physical and business capital lost in the earthquake, whereas NGOs covered less than 30 percent of reconstruction (EDI, 2005). Post-disaster economic rehabilitation and development vulnerability. Field observation in Indonesia and India can feed a debate whether and how far post-disaster economic rehabilitation can be associated with the very concept of development. Both domestic and foreign development agencies target the restoration of pre-disaster conditions of living mainly in the pre-existing traditional economic sectors. In the case of coastal Northern Sumatra and Tamil Nadu, the targeted traditional sectors were fishing and aquaculture particularly vulnerable to natural hazards like aridity, typhoons, floods, earthquake or mini-tsunamis (Anzbalagan & Nirmala, 2005; SCLP, 2003). Therefore, post-disaster economic rehabilitation, even if successful, does not decrease the vulnerability of poor segments of local populations (GTCA, 2005; ODI, 2005; Strömberg, 2007; TDHG, 2005). Some entire traditional sectors have also been neglected such as agriculture and post-farming. In Tamil Nadu, for instance, very little recovery aid has been directed at coastal farmers in restoring land fertility (Geethalakshmi, 2006). The case studies have also shown the difficulty of starting new microeconomic initiatives, even where civil society and social networks are somehow organized and may be prepared to work in new directions with appropriate facilitation support (Nakagawa, 2004). The fine chemistry for starting small business ventures is never guaranteed, even under “normal” conditions (meaning in the absence of natural calamities). Most domestic and foreign NGOs have little or no

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expertise in new small business start-up, especially in a post-disaster context. They have neither skills nor staff to identify new potential markets and facilitate access to business development services. The very notion of markets can even be challenged in many parts of developing countries, even under normal times (Prahalad, 2006). When a disaster strikes, it is said that local markets cease to function properly. Wherever the local economy is both formal and informal, it may be more correct to speak of grass-root economic transactions than of properly institutionalized markets. Duration and sustainability of post-disaster livelihood reconstruction. Over two years after the tsunami, many national and foreign development actors were still at work. When should post-disaster livelihood recovery intervention normally be terminated? (BRR, 2006). Most operating agencies usually stick to the objective of restoring, if possible, the prior livelihood situation and then withdrawing. Benchmarking the limits of post-disaster rehabilitation should be a main concern in order to decide when it is time either to go home, or eventually to transform local operations into pure development activities. This exercise requires some comparison with the pre-disaster economic situation (UNORC & BRR, 2007). Such comparison might be unfeasible due to a lack of data or access to information (Bappenas, 2005). In Aceh, like in Sri Lanka, the situation was aggravated by recent or ongoing civil war. There are obvious limits to the rehabilitation of pre-existing microeconomic activities in poor or vulnerable areas in developing countries (DFID, 2005; FAO, 2005). The central question is whether postdisaster livelihood recovery intervention should stop there, or whether it should promote not only the replication but also the diversification of preexisting economic activities, and even support the start-up of new ones able to increase employment and income opportunities for the disaster survivors. Another difficulty lies in the definition of the sustainability of livelihood recovery. Does it refer to the proper sustainability of those economic activities already in existence prior the disaster? It could also refer to the environmental aspects of massive relief programs, such as large new housing projects. It should also relate to future disaster preparedness, especially in developing areas vulnerable to natural hazards, and a rehabilitation package should therefore include disaster awareness and coping strategies for local populations to anticipate the next disaster (IFRC, 2005). Working on long-term and sustainable development issues could have much risk-reduction pertinence in countries more and more frequently affected by natural calamities. However, there might be few

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international agencies ready to commit themselves to such long-term prevention. Another risk can relate to the reproduction by many development agencies and NGOs—in the name of livelihood recovery—of their own development agendas without full consideration of local reconstruction characteristics. The next question would be: why should development agencies automatically transform every single place affected by a disaster into a new long-term development cooperation project? Instead, they could be invited to focus more on the reduction of local vulnerabilities to natural hazards and climate change. A final note should discuss how far the surviving victims of a disaster can transform themselves overnight into so-called beneficiaries of humanitarian and development assistance. At best, they may welcome the intrusive nature of external relief helping them to survive and restore their livelihoods with the shortest possible delay. At worst, they can observe that post-disaster relief does not reach everyone and can be diverted by various local or external powers more than once (Fritz, 2005; IFRC, 2006; IFTDH, 2005). More consideration and support should be devoted to the resilience of natives to absorb natural hazards (less exceptional than the tsunami) and to cope with survival strategies. Some disaster experts argue that too strong post-disaster aid intervention may disturb local coping and development capacities, as some post-disaster management strategies are not always friendly to local development. Post-Disaster Management Recommendations Four recommendations can be deduced from the case studies and lessons learnt in the Indian and Indonesian contexts of the tsunami. First, post-disaster humanitarian and especially reconstruction aid cannot be invented on a blank paper. Those objectives clearly beyond the scope of a post-disaster management mission should be excluded in order to benchmark and produce feasible recovery aid deliverables. This task should be handled by a coordinated division of labor between domestic and foreign governmental and non-governmental actors, taking into account highly sensitive and often fragile national and local contexts in developing and emerging countries. Second, international humanitarian agencies and development donors should play with the concept of sustainable livelihood recovery aid with humility and modesty. The immediate food and basic economic needs of

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disaster victims should be considered as the core priority. Sustainability should primarily address the reduction of crucial livelihood vulnerabilities among local populations, and also focus on disaster preparedness in developing countries facing a rising number of natural and/or man-made calamities. Thirdly, the international humanitarian and development community should pay more attention to the economic security of disaster victims who have to recreate their own living before foreign and domestic assistance goes away! Overconcentration of resources in infrastructure and housing should be diminished in favor of the recreation of economic activities generating employment and income among survivors. Fourthly, proper attention to and consideration of local disaster resilience strategies (including mini-tsunamis so frequent in countries like Indonesia or Japan) could pave the way to design pertinent and effective disaster preparedness as already illustrated in a few recent cases in Bangladesh and Mozambique. Foreign donor agencies should expand their support as facilitators in such relatively new and possibly decisive areas for the future destiny of the most disaster-vulnerable developing countries. 1

This article is derived from a post-tsunami policy research and training project conducted in 2006–08 at the Graduate Institute of International and Development Studies, Geneva, Switzerland (where the author was posted as a professor until mid-2008) together with the International Committee of the Red Cross (ICRC), the International Federation of Red Cross and Red Crescent Societies (IFRC) and the International Federation Terre des Hommes (IFTdH), more specifically Terre des Hommes Italy and Terre des Hommes Switzerland. Some research segments of this article were published in spring 2008 in the scientific journal Disaster Prevention and Management.

CHAPTER NINE THE NATURE OF PSYCHOSOCIAL RESILIENCE AND ITS SIGNIFICANCE FOR MANAGING MASS EMERGENCIES, DISASTERS AND TERRORISM Introduction Emergencies and disasters vary enormously in their scale, the resulting devastation, and the numbers of people who are directly and indirectly affected. They are distressing for most people, altering lives, relationships and the societies in which we live temporarily or more permanently; they also result in mental disorders for a substantial minority of affected persons at some time in the following months and years. Thus they may be aptly described as life-changing epiphanies. However, there are personal and collective sources of psychosocial resilience for individual persons, families, groups, communities and crowds. This means that problems and disorders are not inevitable. Also, occasionally and for some people, disasters may reveal positive qualities of which they were barely aware beforehand or change the trajectories of their development for the better. In this chapter we argue that, while distress is an anticipated response, such distress and any mental disorders that occur can be mitigated if resilience and its implications are better understood and supported. We begin by outlining the possible causes of distress in major incidents, and the very variable prevalence of mental disorders after such incidents. We distinguish between distress and disorder, before focusing on the evidence for and models of personal and collective resilience. We conclude by exploring some of the implications of these models for managing disasters, including the novel suggestion that crowds be treated as part of the solution rather than part of the problem in mass emergencies and disasters. Disasters and Emergencies Although on average a disaster occurs somewhere in the world every day, it can be difficult to predict when or where such events occur or their

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nature. Disasters are complex events that affect us personally as well as the groups, communities and societies in which we live, learn and work. They therefore provoke a network of interacting stressors, the effects of which—including the prevalence and types of mental disorders—are extremely variable (Williams & Drury, 2009; NATO, 2009). Consider for a moment the effects of the localized flooding that occurred in parts of the UK in the summer of 2007. Although very few people died, some people found that they were unable to get home from work; workplaces were denied to others; a substantial number of people had their homes devastatingly flooded, resulting in them being moved into temporary accommodation and trailers for periods that defy the usual understanding of what is temporary and a minority of them were still displaced from their homes more than two years later. The effects on the safety of drinking water, food supplies and disruption to daily living due to interruption of electricity supplies and road transport continued for many weeks and months afterwards. Of course, the devastation, the numbers of people affected and the breakdown of the rule of law were small relative to the effects of Hurricane Katrina on the population of New Orleans and Louisiana in the US: nonetheless, there were certain similarities in the distress and the resilience shown by these different populations. Consider now the effects of the bombings in London on July 7, 2005. Many more people died than did so in the floods in the same country in 2007, and many more were injured. There was also disruption of life in UK’s capital city for quite some time afterwards, not just as a result of the bombings themselves, but also as a consequence of the security response made by the authorities in a successful attempt to intercept and prevent further bombings. The security response had unintended, but nonetheless devastating, effects on the lives of a number of innocent people; and trials of persons charged and enquiries into the conduct of the police in relation to the later events have continued until recently. This illustrates plainly that the stressors that come from disasters of all kinds may be related to changed worries and behaviors of people and agencies afterwards as well as to the direct effects of index events. Again, there is a US parallel in form if not proportion: the destruction of the twin towers in New York City on September 11, 2001. Research was conducted soon after the event and later into how populations of people affected both directly and indirectly responded at the time and in the years after the events. In neither the New York nor the London case was there evidence of mass panic (Blake, Galea, Westeng & Dixon 2004; Drury, Cocking & Reicher, 2009); however, substantial numbers of people who lived in NYC but who were not directly affected were deeply upset

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by events to the point of developing great distress and—in a small minority of cases—mental disorder. However, their distress and the prevalence of mental disorders ameliorated with time (Bisson et al., 2007; Galea et al., 2003). Similarly, a number of people in London were affected emotionally by the events there even if they had not been involved, but this number also declined with the passage of time (Rubin et al., 2005; Rubin et al., 2007). Furthermore, a number of people expressed reservations about travelling on the underground rail network in London. This behavior has also ameliorated as time has passed, although at a slower rate than other distressed experiences. Reference to these four events, which may be described as either natural or human-made in their origins, allows us to summarize the variety of areas of living on which emergencies and disasters can impact. Our examples show that the psychosocial, behavioral, and health consequences of disasters result from interactions of the: x direct impacts on the people involved; x wide-ranging consequences of the events (e.g. economic loss; disruption, displacement and dislocation; societal and personal humiliation; loss of access to education and limitations to families’ aspirations for the future that this represents); x health and social effects on people who are involved directly or indirectly, or who carry the burden of worry and care for survivors; and x intended and unintended impacts of the responses made to the events and subsequent preparedness (e.g. counter-terrorism strategies) and the social ramifications of new security procedures (Williams & Drury, 2009; NATO, 2009). In these circumstances it is far from surprising that so many of the people who are directly or indirectly affected develop social, relationship and/or psychological problems, physical healthcare problems (including somatization of anxiety), or psychiatric disorders after emergencies or disasters of all kinds. But, in its recent guidance, NATO takes …the psychosocial resilience of persons and the collective psychosocial resilience of families, groups of people and communities as the anticipated responses… (NATO, 2009: 6)

In other words, NATO recognizes the risks of emergencies, major incidents and disasters to the mental health of affected populations, but it does not see mental disorder as inevitable. Following this guidance the argument here is that a better understanding of the nature of disorder,

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distress and resilience in mass emergencies enables societies better to protect people against their psychosocial impact. Disorder and Distress after Emergencies, Major Incidents and Disasters A high percentage of people who are involved in emergencies experience health complaints after their exposure to traumatic events. The literature contains numerous papers that describe the magnitude of these effects. However, the team researching the evidence for NATO’s guidance found wide variations in the reported prevalence of mental disorders. Likewise, our review of the literature reveals a strikingly inconsistent picture of the extent of post-event traumatic and other psychosocial symptomology. Whalley and Brewin (2007), for example, have advised that 30 to 40 percent of people directly affected by terrorist action are likely to develop post-traumatic stress disorder (PTSD) and at least 20 percent are likely to continue to experience symptoms two years later. Zohar et al. (2008) say that about 20 to 30 percent develop PTSD after exposure to trauma, and Bisson et al. (2007) quote the earlier figures of Kessler et al. (1995), who estimate that PTSD occurs in around 14 percent of people exposed to traumatic events. Miguel-Tobal et al. (2006) found that 2.3 percent of respondents from the general population of Madrid one to three months after the train bombings in 2004 reported symptoms consistent with PTSD. Bisson et al. state that …among residents of New York City living south of 110th Street after the terrorist attacks of September 11, 2001, the prevalence of probable PTSD fell from 7.5 percent at one month to 1.6 percent at four months and 0.6 percent at six months. (2007: 1016)

There is agreement that the prevalence of PTSD falls over time, but there are substantial differences in the peak rates of diagnosis of this disorder. Assessing the Prevalence of PTSD We think it instructive to divert from our narrative to explore this situation briefly. The possible explanations for these disparities of

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estimates, of which there are a substantial number, throw light on the nature of people’s experiences and needs after disasters. First, there are matters relating to how sample populations are selected for research and their different exposures to different stressors. Thus Whalley and Brewin (2007) refer to directly involved persons who are more severely affected by direct exposure to events. Other studies refer to the general populations of London, Madrid or New York City, who were worried about what had taken place and what might occur in the future, but not necessarily directly involved. Second, prevalence rates vary considerably with factors that include the differing effects and durations of different emergencies, and variations in the ways in which people are directly or indirectly exposed to risk. Thus NATO found that the stressors that have a particular impact on us psychosocially include: x threat to life and physical integrity; x exposure to injured and dying people, and corpses; x exposure to gruesome sights and noxious smells; x social and material loss and bereavement; x social, employment, school, and community disruption; x consequential continuing hardship (Williams & Drury, 2009; NATO, 2009). There may be still further factors accounting for this disparity of estimates across studies. The literature suggests that there are wide variations in the profile of vulnerabilities of the people who are affected, differences in how the affected populations are defined, variations in the methods used to ascertain the impacts, and differences in the sensitivity of their application. Also, although PTSD is the most widely recognized post-traumatic psychiatric condition, it is far from being the only one, and depression, anxiety disorders, substance misuse and adjustment disorders are also common (Bisson et al., 2007; Galea et al., 2003). Many papers do not distinguish between the prevalence of the disorders considered in the research after untoward events and the anticipated morbidity of affected communities in the same interval had there been no disaster or major incident. Also, the literature varies substantially in its reporting of the full spectrum of disorders, and PTSD remains the condition that is the subject of most papers and many mention only this condition. In this context, Miguel-Tobal et al. (2006) found that 8 percent of respondents from the general population of Madrid one to three months after the train bombings

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in 2004 reported symptoms consistent with major depression (cf. 2.3 percent with symptoms consistent with PTSD). Rosen et al. (2008) raise another reason that may help to explain the variations in prevalence of PTSD. They point to a substantial widening of the definition of the stressors and circumstances in which PTSD may be diagnosed from the aftermath of severe events to include the consequences of much more common upsetting events (a change to which the term criterion creep is applicable). Furthermore, its highly common comorbidity with other mental disorders gives rise to their concerns that PTSD is an amalgam of different disorders. Also, there is research evidence that …pre-incident vulnerability factors and post-incident social support contribute more to post-trauma morbidity than does the magnitude of the presumed etiological trauma. (Rosen et al., 2008: 268).

In addition, Wittchen et al (2009) offer opinions that …unresolved concerns remain regarding the definition of trauma, duration and impairment/distress criteria, the distinctiveness of the PTSD-syndome… (Wittchen et al., 2009: 7)

It could be that the differences of the prevalence estimates of Whalley and Brewin and Zohar et al. as compared with the lower figure provided by Kessler et al. reflect a widening of the criteria that define the events which may cause PTSD that took place between 1995 and 2007. There is also the matter of the accuracy or otherwise of screening for conditions such as PTSD. Despite work to develop screening methods of increasing sensitivity and specificity, PTSD remains a clinical diagnosis. The experiences of people who are distressed and the symptoms of PTSD overlap. We advocate that, when questionnaires are used to screen populations, decisions about whether or not people do have a disorder rather than experiencing distress, albeit severe, or some other unpleasant experience, clinical interviewing and assessment of people who score above agreed thresholds set for each questionnaire is essential as a second stage of assessment, if greater accuracy of diagnosis is to be achieved. Depending on when in the trajectory of events questionnaires are used and the duration of the experiences that people report at the time of their screening as well as the speed with which the stressors that result from disasters are relieved, reports that are based on their use alone can leave doubt as to whether a person is distressed or has developed a disorder. Very many papers report the results of the application of questionnaires

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alone. Some refer to post-traumatic stress and post-traumatic stress symptoms. Other papers do not clarify whether or not the affected persons received a clinical examination or whether they reached caseness for PTSD. Thus, we speculate that some people who are thought to have PTSD on the basis of their responses to questionnaires may be experiencing distress rather than PTSD. Another important matter, which we consider to be of critical importance to our narrative here, concerns what different societies’ expectations are about how people respond psychosocially to disasters and the thresholds we apply to deciding that people’s responses are or are not pathological (Wessely, 2004; Almedom & Glandon, 2007). NATO’s guidance identifies the broad range of experiences that are anticipated in many people who are directly or indirectly involved in disasters. They include emotional, cognitive, social and physical experiences. However, there is a considerable overlap between this list of experiences and the symptoms of disorder, including PTSD. This raises the question about when and whether experiences that may be anticipated should be considered to be indicative of disorder or otherwise. This question takes our consideration to the concept of distress. Disorder versus Distress In accord with the work of Horwitz (2007), “distress” is the term that NATO uses …to describe the experiences and feelings of people after external events that challenge their tolerance and adaptation. It is initiated and maintained directly by primary and secondary stressors and subsides if the stressors disappear or as people adapt to the changed circumstances. Distress is an anticipated human emotion, not a disorder, when it and any associated psychosocial dysfunction emerges and persists in proportion to external stressful situations. (NATO, 2009: 38)

Many people who are reported to have disorders in the aftermath of disasters may follow a trajectory that begins with distress that may be acute, severe and very upsetting, but which diminishes with time, social support and removal of stressing circumstances and events. There is also a risk of failing to appreciate the severity of distress and its potential for causing lasting social, welfare, work and health problems. Therefore we do not diminish its importance: nonetheless, we advocate distinguishing distress and disorder. The former emphasizes the importance of reducing

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the various stressful circumstances and mechanisms that emergencies cause and to which we have pointed. The distinction is also important prognostically, and, we argue, in respect of planning for humanitarian aid, and psychosocial and mental healthcare responses to disasters. Furthermore, we recognize that the distinction between distress and disorder is evaluative because it is subject to cultural considerations and differing personal perceptions and values. It seems clear from even the most pessimistic figures on PTSD and depression that more people suffer from distress rather than psychiatric disorder. Bisson et al.’s (2007) review of epidemiological studies suggests that the majority of people who are involved in traumatic events will not develop a problematic psychological response. (cf. Galea et al. 2003). Based on the variety of estimates in the literature, therefore, NATO estimates that up to 80 percent of people who are directly or indirectly affected by disasters and major incidents may experience at least shortterm mild distress, 15 to 40 percent medium-term, moderate or more severe distress, 20 to 40 per cent a mental disorder or other psychological morbidity associated with dysfunction in the medium-term, and 0.5 to 5 percent may have a long-term disorder. Figure 9.1 summarizes our understanding of the literature. • • • • • •

Distress after disasters and major incidents is very common; In most cases, distress is transient and not associated with dysfunction; Often, the responses experienced by resilient people can be difficult to distinguish from symptoms of acute stress disorders and later post-traumatic conditions; But, some people’s distress may last much longer and be more incapacitating; Substantial resilience of persons and communities is the expected response to a disaster, but is not inevitable; The risk of psychiatric morbidity is greatest for those people who: ƒ Have high perceived threat to life; ƒ Are faced with a circumstance of low controllability and predictability; ƒ Have experienced high loss and physical injury; ƒ Have to live with the possibility that the disaster might recur; ƒ Have been exposed to dead bodies and grotesque circumstances; ƒ Experience higher degrees of community destruction.

Figure 9.1. The Broad Spectrum of Psychosocial Responses to Disasters

Psychosocial Resilience So far, we have explored the relationship between anticipated but distressed and distressing responses to emergencies and disasters, and the consequent raised prevalence of mental disorders. We turn next to how

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people deal with emergencies and recover from the distress that they evoke. This takes our narrative to the concepts of resistance and resilience. Resistance is a concept that describes the ability of people to respond to stressors with only minor psychosocial reactions. It is not identical to resilience and hence, in common with some other scholars, we recommend that the terms should not be used interchangeably (Layne et al., 2007). The concepts, bases and practical potential of resilience have been explored for more than forty years. Psychosocial resilience describes people’s ability to cope with stress. In technology, resilience refers to the capacity of a material to return to its original shape after an applied force is removed. Thus, the concept of psychosocial resilience does not imply any lack of impact of events on people’s feelings, actions or performance, but the reverse. It embraces distress that is followed by recovery if the circumstances are supportive. Almedom points out that the term resilience may mean different things to different researchers and practitioners; it can be viewed as a “…process, an outcome, a dynamic steady state in the face of adversity, and defiance of risk/vulnerability…” (Almedom & Glandon, 2007: 127). She defines resilience as The capacity of individuals, families, communities, systems, and institutions to anticipate, withstand and/or judiciously engage with catastrophic events and/or experiences; actively making meaning with the goal of maintaining normal function without fundamental loss of identity. (Almedom 2008: S1)

In our account, human resilience is a normal and common response to adversity for individual persons. Masten (2001) terms resilience “ordinary magic”, stressing both its positive effects and just how common it is. However, it is important to emphasize that resilience is not defined by the absence of risk or vulnerability factors or of disorder after potentially traumatic events (Almedom, 2007). Cicchetti and Curtis (2007) draw attention to multilevel perspectives on pathways to resilient functioning. One of those concerns the two sorts of resilient actions relating to natural disasters that Spittal et al. (2008) identify: survival actions and damage limitation actions. They report research that endeavors to link each of these modes of action to certain personal psychological features. Cicchetti and Curtis recommend that: future research should continue to integrate biological and psychological perspectives with the goal of translating this research into the design and implementation of preventative interventions that aim to facilitate the development of resilient functioning. (2007: 628)

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In that vein Walsh (2003) provides an overview of a family resilience framework that shifts the focus from individual resilience to effective family functioning. Walsh identifies three key processes in family resilience: family belief systems; organizational patterns; and communication/problem solving. Tusaie and Dyer (2004) suggest that the evolution of the construct of resilience from physiological and psychological research extends from the 1800s. We agree with them that a dynamic, interactive perspective is, therefore, important for understanding resilience; the complexity of the construct requires a holistic perspective; and it is important for health carers to be exposed to diverse educational perspectives. Thus, there are many aspects of resilience on which we might focus in this review. In common with Almedom, Walsh, and Tusaie and Dyer, we see resilience as an array of interactive processes. We choose to highlight here two forms of psychosocial resilience and also emphasize its interactive aspects. The first form, which we term personal resilience, describes how particular people respond to the challenges they face. The second application describes how collectives of people respond to, cope with, and recover from emergencies. We outline the nature and basis of personal psychosocial resilience and describe a new approach to collective resilience that has been developed through recent research on crowd psychology. We agree with Almedom’s approach, but, we hope, also add depth to understanding and applying the concept by considering resilience in these two ways. Personal Resilience Personal resilience describes a person’s capacity for adapting psychologically, emotionally and physically reasonably well and without lasting detriment to self, relationships or personal development in the face of adversity, threat or challenge. (Williams, 2007: 268; Williams & Drury, 2009: 294)

There is an extensive literature on what we term personal resilience and it comes from two main avenues of research: that relating to personal development through childhood and into adulthood, and that pertaining to studies of people’s behavior and responses to adversity, threat and disaster. Here, we bring them together and follow Almedom’s suggestion by linking resilience with research into sense of coherence and hardiness.

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The origins of personal resilience; developmental psychology. Both genetic and acquired personal characteristics determine the extent to which people are more or less resilient or vulnerable (Levin, 2009). They include people’s developmental experiences and personal characteristics, repertoires of knowledge, and capabilities acquired from their earliest Table 9.1. The Nature of Resilience (based on Condly, 2006, and reproduced from the Child and Adolescent Mental Health Today Handbook, see Williams, 2008, with the permission of OLM-Pavilion) Resilience is: Dynamic Developmental Interactive

Passive—increasing a person’s ability to withstand trauma Active—shaping the environment to minimize trauma

Genderrelated Related to personal characteristics

Related to attachment capabilities

Resilience changes over time and may be of differing strength in differing situations Resilience is affected profoundly by a person’s experience in childhood and beyond Resilience may be thought of as related to each person’s ability to withstand trauma. So, one approach is to help people to develop their ability to cope well when faced with trauma. A second approach to developing resilience is based on the observation that more resilient people express agency in doing what they can to organize the world around them to minimize the risks of being exposed to trauma. At the same time, most people also wish to experience some risks and each one of us has our own setting on our “risk thermostat”. Coping well may, therefore, be related to knowing one’s own comfort with risk. Generally, women are more resilient than men though they are also more likely to develop medium- and longer-term psychiatric disorders too. Intelligence and temperament and, particularly, a combination of the two The quality of each person’s family relationships The level of social support that is available to each person from their family, available support from people outside each person’s family including that provided by other persons and institutions including employers and work places. Research has shown strong relationships between people’s capacities for secure attachments and their resilience.

years (Garmezy, 1991; Masten, 2001; Masten et al., 1990). As we have already identified, resilience also has dynamic, interactional and systemic

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qualities, in which personal factors interact with experience and changing circumstances. Thus, the nature of our family, peer, school and employment relationships, the life events we experience, and the nature of our attachments are important formative elements. Recent research goes further in showing that the resilience of college students in the USA and Israeli young people (Laufer & Solomon, 2006) is composed not only of features that enable them to cope with and recover from adversity, but that exposure to disaster may also strengthen them for the future. Table 9.1 (above) summarizes the core features of personal resilience that have emerged from research into psychosocial development and practical experience. The origins of personal resilience; traumatology. Many research projects conducted over the last forty years have examined the elements that contribute to good resilience. Bonanno (2004, cited in Schaap et al., 2006) describes the ways in which resilience can be achieved after loss and trauma. They are through: x achieving hardiness; x self-enhancement (because people with higher opinions of themselves appear to be more resilient to stressful events) (Bonanno et al., 2002); x repressive coping; and x positive emotion and humor. The first two of these are thinking processes; the second two relate to how people handle their emotions. Thus, Bonanno’s approach indicates that resilience has cognitive and emotional aspects that relate to personal style as well as those that relate to relationships and the nature of external events. Schaap et al. (2006) have reviewed the literature on a number of different theories to identify the characteristics of resilience to the effects of trauma. Table 9.2 below (which has been developed from Schaap et al. 2006) presents a summary of these characteristics. A mix of cognitive skills, emotional and personal attitudes and the nature of relationships emerge as the core features. Sense of coherence and hardiness. Both Almedom and Williams have, separately but in parallel, related resilience to sense of coherence and hardiness (Almedom, 2005a, 2005b; Williams, 2008; Williams & Alexander, 2009). Hardiness is a term of horticultural origins and it relates to resilience and resistance in conditions of adversity. There is an analogy here with the plight of children who grow up in adverse circumstances. The concept has

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three components: commitment, control, and challenge (Kobasa, 1979; Kobasa et al., 1981; Kobasa et al., 1982; Maddi & Kobasa, 1984). Table 9.2. Resilience Factors (reproduced from the Child and Adolescent Mental Health Today Handbook, see Williams, 2008, with the permission of OLMPavilion) Personal Skills: x the capacity to receive social support x good cognitive skills x good communication skills x active problem-solving skills x flexibility-the ability to adapt to change x ability to cope with stress (seeing stress as a challenge) Personal Beliefs and Attitudes: x self-efficacy (general expectation of competence) x self-esteem x hope x a sense of purpose x religion or the feeling of belonging somewhere x positive emotion and humor x the belief that stress can have a strengthening affect x acceptance of negative feelings Interaction Skills, Relationships and Achievements: x good relationships with other people x contributions to community life x talents or accomplishments that one values oneself or which are appreciated by others x access to and use of protective processes x adaptive ways of coping that suit the situation and the person x growth through negative experiences.

Commitment implies that hardy people view potentially stressful events as meaningful and interesting. Furthermore, it has been shown to be the component of hardiness that moderates the relationship between stress and depression in adults (Pengilly & Dowd, 2000). Control means that people see themselves as able to change events (i.e. the ability to express agency). Challenge means seeing change as normal and as providing opportunities. Hardiness, therefore, describes some of the features of personal resilience. These concepts overlap with a sense of coherence (SoC). SoC describes a perception that events are comprehensible, manageable and meaningful. A strong SoC in adults has been shown to be a stable protective factor for health that is independent of known risk factors and inversely related to distress. It is also a potential marker of people’s capacity to adapt to social stress. There is support from research for SoC

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having roles in mediating and in buffering the impact of adverse experiences on psychological wellbeing in adulthood (Antonovsky, 1987). Additionally, a strong SoC in adults has been shown to be a stable protective factor for health that is independent of known risk factors and inversely related to distress (Breslin et al., 2006). It is also a potential marker of people’s capacity to adapt to social stress (Surtees et al., 2006). Almedom (2005b) identifies SoC as a core aspect of resilience through her research in Eritrea. Figure 9.2 maps together some of the concepts pertaining to psychosocial resilience that we have introduced. Diagram to Show Conceptual Relationships

Coping and Recovering

Sense of Coherence

Personal Abilities and Attributes

Interpersonal Abilities and Attributes

Make Meaningful (Reframe)

Seeking and Receiving Social Support

Maintain or Restore Function (Calm & Agreeableness) Retain Identity

Potential for Gaining from Adverse Experiences

Resilience

and Higher Levels of Social Capital Seeking Social Support and

Conscientious

Higher Levels of Social Capital

Figure 9.2. The Relationships of the Concepts that Relate to Resilience

Risk and personal resilience. Risk factors may be considered as falling into three categories: genetic, related to personal attributes, and environmental. They interact with protective factors in complex ways (Layne et al. 2007) and part of that complexity lies in the mechanisms through which risk factors and resilience operate. As yet too little is known about these matters and they remain the subject of research. Some factors may, for example, appear to convey risk though closer research shows that they may really be components of a larger risk factor and have no separate effect. The small risk factors are sometimes called risk markers. Other factors may have a direct effect, and others still may mediate or moderate risk.

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However, one set of factors that has been shown to reduce risk and enhance resilience includes attachment capacity and social support. As Almedom argues, we see resilience as a process; it is much more than a quality that is invoked or inferred when people who are exposed to adversity or traumatic situations do not develop mental disorders (Almedom & Glandon, 2007). Thus, we now understand that the facets of resilience that are of primary importance in protecting people in the face of adversity include, in particular, their capacities and capabilities for: forming effective attachments to other people; being able to sustain good relationships with others; and being able to accept social and emotional support from other people. In summary, personal resilience describes more than people being subject to protective factors or lacking risk factors or not having disorders that affect their lives. It includes how well people are able to grasp the realities of their circumstances, how they perceive themselves in relation to the challenges they face, and their abilities to innovate (Coutu, 2002). Importantly, it is also a dynamic process of interaction between people and others and between people and the environment around them. As we have shown, personal resilience has its origins in personal and interpersonal physiology and psychology. We now move on to review collective resilience, which is a concept that comes from work in social psychology and sociology and moves into the transpersonal arena. Collective resilience. The term collective resilience has been employed by a number of recent researchers either descriptively (e.g., Almedom, 2005a; Freedman, 2004; Hernández, 2002; Kahn, 2005) or with reference to pre-existing social bonds and other forms of social capital (e.g., Fielding & Anderson, 2008). Thus, descriptively, the term collective resilience has been used to refer to the coping processes that occur in reference to and dependent on a given social context (Hernández, 2002: 334). But, more substantively, it is explained in terms of the relational bonds and networks that hold communities together, provide support and protection, and facilitate recovery in times of extreme stress, as well as resettlement (Fielding & Anderson, 2008: 7). What we seek to add to these kinds of accounts is a full social psychological model, which can explain how and why emergent features of collectives can enable people to help each other to rebound from crisis. This is a novel argument, which offers a new perspective on the relation between crowds, people’s wellbeing, and personal resilience. In early research on emergencies and disasters, crowds were understood as a psychological problem. This pathological analysis was in

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line with that of the earlier, parent discipline of crowd science, according to which submergence in a crowd meant loss of behavioral control and the predominance of simple, instinctual responses over civilized, socialized ones (Le Bon, 1895). The notion of mass panic suggested by this approach envisages that, when faced with danger, emotions spread uncritically through a crowd and people are likely to revert to a basic, instinctual individualism. This pathological or human factor was said to cause more deaths (e.g. by stampeding, crushes and blocking of exits) than the source of emergencies, whether it be fire, sinking ship, bombing raid or earthquake. This perspective is evident, for example, in textbook accounts of the Cocoanut Grove fire of 1942, in which 142 people died (e.g. Schultz, 1964). The case against this model of mass emergency behavior is both negative and positive. On the negative side, it is now widely agreed among those reviewing the evidence that mass panic is an inaccurate account of the behavior of crowds of people in mass emergencies (Sime, 1990). Panic, when it occurs, is displayed by a few people rather than crowds as a whole. Closer inspection of the case of Cocoanut Grove, for example, found no evidence of panic as a source of death. Rather, negligence by the nightclub managers resulted in the doors jamming and people could not get away (Chertkoff & Kushigian, 1999). On the positive side, even the early disaster literature referred to evidence of both (enhanced) unity and mutual aid in communities of survivors (Fritz, 1968; Fritz & Williams, 1957). Contemporary research points to the continuation of order and social structure in crowds created by emergencies (Johnson, 1987, 1988; Mawson, 2005), and to an emergent sense of togetherness (Clarke, 2002). This research does not suggest that emergency crowds always display unity and help; some appear to be more competitive than others. But, taken together, the negative and positive evidence against mass panic makes a prima facie case for applying the concept of resilience to crowds in mass emergencies: people in such crowds display the potential capacity to help each other to cope with crises. There is also some precedence for our use of the term “resilience” to apply to collectives in the context of disasters and emergencies. The concept of resilience has been employed by disaster researchers to refer to the ability of organizations to recover from attack and function successfully without top-down direction (Dynes, 2003). These accounts explain such organizational resilience in terms of informal networks and provision of resources (e.g. Kendra & Wachtendorf, 2001). Thus, for example, after the terrorist attacks on September 11, 2001, the emergency

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services successfully improvised forms of coordination despite the loss of their command and control center (Tierney, 2002). However, the evidence from the broader disaster literature suggests that the concept of collective resilience should not be restricted to social systems that have clear role structures. Importantly, it might also be applied to unstructured groups of survivors thrown together by events: the crowds that were affected by the London and Madrid bombings, for example. Our account of collective resilience is based on the social identity approach, the foremost framework for explaining group processes and intergroup relations in social psychology (see for example Haslam, 2004). The social identity approach offers a properly collective-level analysis alternative to individualist models of the group. In this account, we are able to see ourselves and act as group members through a process of selfcategorization (i.e., through defining ourselves as members of a social category in contrast to other groups within a particular context) (Turner et al., 1987). In a variety of settings, the self-categorization theory (SCT) of Turner et al. (1987) has predicted and found that, to the extent we see ourselves as more or less interchangeable with other ingroup members, we are able to adopt the norms defining the group, to influence each other, to share a definition of social reality, and, hence, to act as one. SCT has been applied successfully to the range of group phenomena including: conformity, leadership, group productivity and minority influence (Haslam, 2004). In a particularly important innovation, Reicher (1984, 1987) demonstrated how the principles of SCT can be applied to supposedly disorderly crowd conflict. An extensive program of research has shown how behavior in riots is not a case of loss of control and the release of simple, instinctual responses. Rather, such collective behavior is determined by the norms prototypical of the ingroup social identity for that context, norms which might shift over time in the course of an event (Reicher, 1996). More recently the principles of SCT have been extended to applied settings such as organizational behavior and health-related behaviors and coping. Thus, a growing body of work has found a relationship between social identity and: a) symptom appraisal and response; b) health-related norms and behavior; c) social support; d) coping; and e) clinical outcomes (Haslam, Jetten, Postmes & Haslam, 2009). To the extent that the behavior of crowds in emergencies is explicable in terms of basic social identity processes of self-categorization, if mass emergencies do not necessarily result in dissolution of the crowd/social bonds (Freud, 1921), but may underpin maintenance or creation of a

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shared self-categorization, then we can import all the theoretical resources of SCT in order to develop an evidence-based social psychological model of collective resilience. In our account, which is based on SCT, collective resilience refers to the way people in crowds express and expect solidarity and cohesion, and, thereby coordinate and draw upon collective sources of practical and emotional support adaptively to deal with an emergency or disaster (Drury, Cocking & Reicher, 2009a, b). It is when and because there is a sense of psychological unity with others during emergencies that we are able to accept support, act together with a shared understanding of what is practically and morally necessary, see each other’s plight as our own, and, hence, give others support, sometimes at the cost of our own personal safety. Shared self-categorization means we trust others to be supportive rather than competitive, which in turn reduces anxiety and stress. Shared self-categorization also allows us to feel collective ownership of the plans and goals we make together. Previously, the major explanations for the resilient (i.e. social) behaviors of crowds in emergencies have been in terms of the persistence of pre-existing interpersonal (family and friendship) relationships, norms and roles (Johnson, 1987, 1988; Mawson, 2005). However, perhaps the most striking and novel social behavior that is observed so often in crowds that form in emergencies is mutual aid among strangers (Drury et al., 2009b). Recent research suggests that pre-existing bonds are not necessary for adaptive collective behaviors. Indeed, sometimes survivors risk their own safety for the collective good. SCT suggests an explanation for these examples of inclusive emergent solidarity. In this account, we shift from seeing ourselves as separate persons (with separate, mutually exclusive definitions of selfinterest) to members of a collective to the extent that we perceive that we have a common fate. As has been observed, far from dividing people into instinct-driven competitive individuals, emergencies and disasters can serve to create a sense of psychological “we-ness” or unity (Clarke, 2002). The common-sense cliché of the Blitz spirit expresses this sense of communality. Shared adversity brings strangers together; neighbors who hardly know each other talk for the first time, and share what meager resources they have in a spirit of camaraderie. Our recent case study of the London bombings of July 7, 2005, illustrates the nature and extent of collective resilience (Drury et al., 2009b). In an analysis of accounts from ninety survivors, reports of widespread helping during the events outweighed accounts of personally selfish behaviors by a ratio of approximately ten to one. As they waited for

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the emergency services to arrive, survivors shared water, tied tourniquets round each others’ bleeding limbs, dressed each others’ wounds with make-shift bandages, broke open doors to help each other escape and carried people who could not support themselves. Crucially, they also provided emotional support: they reassured and hugged each other, and chatted to keep up each others’ spirits. Yet most of the survivors were commuters. Archive analysis found that at the time of the bombing, only eight said they were with people they knew beforehand, while fifty-seven volunteered that they were with strangers. Most of the people who were interviewed emphasized the strong sense of togetherness they saw and felt with other survivors in the event. Most survivors and witnesses also described feeling in danger of death even after the bombs had gone off. We suggest that this common fate was the basis of their shared self-categorization and the collective resilience exhibited in the crowds at each of the bombed sites. A study comparing eleven different emergencies provides still stronger evidence for this model (Drury et al., 2009a). Compared with other survivors, people who expressed and observed high levels of identification with the rest of the crowd: a) were more likely to describe a common fate; b) observed, gave and received more help from others; c) observed less personally selfish behaviors in others; and d) observed more examples of mundane social cohesiveness (e.g. courtesy, control of emotions, adherence to social norms and roles, and orderliness). Again, people did not have to be among friends and relatives to display and receive support. Many studies focus on the experiences and behaviors of crowds in the immediate aftermath of disasters, which leaves a question for research about how long these behaviors last in the medium- and longer-terms. What we can add is built on anecdotal descriptions of personal experiences provided by people who were affected by the floods in the UK in 2007. Their experiences suggest that their collectively resilient behaviors and relationships with people who they did not know well beforehand have been sustained. One of the factors that has sustained their collective sharing and new relationships appears to us to be persistence of concerns about their common fate that is, perhaps ironically, supported by shared secondary stressors. The latter include lengthy problems with getting satisfactory restoration of their houses, problems in relationships with insurance companies, and worry about recurrence of flooding when it rains. The importance of social relationships links our approaches to personal and collective psychosocial resilience. The former stresses the

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capacity to make attachments and the importance of sustaining them whereas the latter observes how relationships between strangers who share a common fate are very important. Additionally, both concepts put strong emphasis on experiences that actively promote recovery, such as altruism, as compared with actions that might be taken to reduce vulnerability, avoid risk factors or meet people’s needs. Manyena (2006) has reviewed the role of vulnerability in the resilience discourse and the differences between vulnerability and resilience. Manyena views vulnerability as force-bound and as involving consideration of the concepts of resistance, safety, mitigation, engineering, risk assessment, outcomes and standards in the context of institutions and systems. By contrast, Manyena describes resilience as time-bound and as involving consideration of the concepts of recovery, bouncing back, adaptation, culture, process and institution in the context of communities and networks. We think that both approaches are required in truly comprehensive systems for responding to the psychosocial consequences of disasters though the two require judicious application. The Implications of Distress Emergencies and Disasters

and

Resilience

for

Managing

Thus far, we have surveyed some matters that pertain to the risks of people developing pathological responses to disasters and mass emergencies and commented on highly variable reports of their prevalence. We have considered the anticipated distress that very many people experience after untoward events. Most importantly, we have explored the concept of resilience and the surprising capacity of many people for coping reasonably with disasters. Manyena argues that …disaster resilience could be viewed as the intrinsic capacity of a system, community or society predisposed to a shock or stress to adapt and survive… (2006: 446)

We have selected several elements from the many features that together make up psychosocial resilience. We have juxtaposed, albeit very briefly, information about its nature and origins from personal developmental and disaster psychologies. Particularly importantly, we have introduced a recent transpersonal theory of collective resilience that explains well the interactional aspects of resilience, and the ways in which social support operates. It explains the behavior of crowds better than do

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other theories. In the remainder of this chapter, we explore a selection of the implications of the matters that we have reviewed. Broad approaches that sustain personal and collective resilience and promote recovery after mass emergencies. Our considerations of the nature of resilience suggest that, when preparing plans for responding to major incidents and mass emergencies, the responsible authorities and practitioners should listen to the people who are or may be involved. This involves engaging with children, adults, elders, community leaders, and people in workplaces and schools to allow them to express their agency and to breakdown mistrust of responding agencies, the responsible authorities and governments. The approach that we draw from our work also emphasizes the importance when planning and responding of recognizing differing cultures. It also acknowledges the central part that restoring education facilities has in many different cultures as a means of restoring communities and contributing to the restoration of communities’ aspirations for the future. We also recognize that events may appear to the people involved to be ongoing or continuing long after external observers believe that their problems have been resolved or that events have moved on. Resilient approaches, therefore, require the responsible authorities to balance a number of tensions. As an example, we cite one tension, that of respecting and empowering people’s and communities’ agency in helping themselves, on one hand, without, on the other, allowing that stance to be construed by the responsible authorities as supporting any complacency in their preparedness for providing interventions to assist people in turmoil. Preparedness. Schaap et al. (2006) cite Masten’s recommendations for intervention (Masten, 2000). They quote her three basic strategies for intervention, which have been summarized elsewhere (Williams, 2008) as: x risk-oriented strategies that are intended to reduce people exposure to hazards; x quality-orientated strategies that are intended to increase the quantity, accessibility and quality of resources that people need in order to develop competence; and x process-orientated strategies that aim to activate people’s own fundamental protective systems by making people aware of them, thereby increasing their self-confidence when they learn something new and their feelings of control. While these suggestions make the case for government intervention, it has also been argued that over-protective government policies may stunt the

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public’s own natural resilience (Furedi, 2007; Wessely, 2005). Characteristically, policies of this nature are grounded in disaster myths such as mass panic (Dynes, 2003) and in actions—which come from medical frameworks—that should be taken to avoid persons developing psychopathology and to intervene effectively when they do. But we are concerned that in too many instances, responses to stress are understood as cases of disorder rather than distress. Let us emphasize that we do not deny that a significant minority of people do develop disorders: people in these circumstances require timely, effective and sustained health and social care services. However, if we distinguish distress from disorder and reverse this reasoning for the majority of people and then base our recommendations for policy and practice on the concept of resilience, we can suggest a quite different and additional set of implications for managing emergencies and disasters. For convenience, we have divided them between the stages of preparation, crisis and aftermath. Preparation: Before Emergencies As Aguirre (2006) argues, you “do” resilience as part of national public planning and administration. Doing resilience as part of national public planning means facilitating the features in individual people, groups and the general public that contribute to their ability to bounce back and provide support for each other. It means facilitating autonomy. Hence, it means practices by people and agencies in authority that lead the wider public to develop their own abilities and to reduce their requirements for interventions and other practices provided by those authorities. There are three key ways of achieving this. First, in order to enhance the sense of ownership and involvement in any emergency planning, the public should be involved and not excluded (Durodié & Wessely, 2002). This planning should include shared decisions about practice drills, for example, which have been shown to increase evacuation efficiency (Proulx & Fahy, 2003). “Health and safety” should be a shared goal and everyone should be an “inspector”. Second, and linked to this, is communication. If we don’t expect the public to “overreact”, then there is no reason to withhold practical information. In fact, given that disclosure and openness can build trust, there is every reason to share this information. Knowledge, particularly practically useful knowledge, is empowering. As Glass and Schoch-Spana (2002) put it, informing the public about such potential hazards as biochemical attack is the best way to vaccinate a city against panic.

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Third, given that psychological unity is adaptive in emergencies and disasters, there is an argument for measures that are designed to enhance unity in everyday life and not just within crises. Disasters bring people together; but other social forces often operate to divide people against each other, making such emergent unity an achievement. Terminology and forms of address are very important. Addressing passengers as customers, for instance, stresses the money nexus which, in turn, has been found to encourage individualized and selfish behavior (Vohs, Mead & Goode, 2006). A shared identity can be enhanced in public spaces (such as Underground rail stations) on an everyday basis through public information campaigns and the wording of public addresses, advertisements, notices and so on. Rather than treating them as isolated individuals or promoting a message of stranger danger, for example, messages on public transport should appeal to passengers’ collective spirit. This could foster a shared identity and the generalized concern for others that comes with it. Crisis: During Emergencies The points that we have made already about communication and trust extend to cover the period of emergencies or disasters themselves. Whether those events were deliberate or accidental, there was, apparently, not enough communication with, and information provided for survivors about what was happening during the London bombings on July 7, 2005. Lack of communication on the day was one of the survivors’ major complaints. People feel happier and less anxious and act more effectively when kept properly informed. Again, communication can serve to produce as well as reflect levels of unity in crowds and the public. The communications of emergency services at the time of any emergency should be worded to address people in their collectivity rather than their individuality, if they are to enhance and foster collective and co-operative behavior. Both the authorities and the public are advised to move away from a model in which the public are the passive recipients—of information, aid, or anything else. If our model of collective resilience is right, then crowds are not a psychosocial problem, but a resource to be harnessed. We should think of survivors as the fourth emergency service. This means, in turn, that the authorities should recognize their agency and accommodate the inevitable public need to help.

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Our suggestion on public involvement in emergencies has at least two clear concrete implications. The first is that first-aid kits should be made more available and visible in public spaces to allow people to engage practically in mutual support in an emergency. If a bomb is exploded in a shopping centre or railway carriage, survivors should be able to locate and use first aid kits with ease. The lack of access to resources of this kind was another complaint of survivors of the London bombings. The second implication is that the emergency services’ standard practice of cordoning off the public from an emergency scene might have to be reviewed. In a big emergency, it is possible that the emergency services will be overwhelmed for some time. There may be a number of people who come just to gawk or offer expertise they do not have. But, if the price of keeping these people out were to be exclusion of valuable help from the rest of the public, then methods of policing the scene should be reconsidered. Sources of volunteer helpers could free up qualified personnel for more specialized tasks. Aftermath: After Emergencies NATO’s approach to responding to the public’s requirements for psychosocial care is based on recognizing the importance of the public’s psychosocial resilience, but also that a significant minority of people who are affected do require access to timely, effective and sufficiently sustained specialist mental healthcare services. Between these two possibilities, NATO recognizes that the majority of people experience distress at least transiently but, in many cases, for longer periods. Everyone requires access to adequate welfare and humanitarian aid services, good information and social support. Therefore NATO’s position is that the aims of psychosocial and mental healthcare for people affected by disasters, terrorism and war are to: x Prepare communities and assist them to develop their collective resilience and to reduce the disruption and the psychosocial consequences that arise; x Enable people to develop their personal resilience and to reduce the risk of psychiatric disorder; x Respond proportionately, flexibly and in timely ways to the needs and preferences of people who are affected; x Ensure an integrated continuum of care that recognizes that people’s needs are immediate, and may continue in the medium-, long-, and, sometimes, very long-terms; and

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Respond to the needs of professional responders and staff of services.

In order to achieve these aims, NATO recommends a strategic stepped model of care. That model is summarized in Figure 9.3. Nature of Activity

Intent

Develop and sustain collective and personal psychosocial resilience

Deliver responses to personal psychosocial and mental health care needs

Preparedness

Public welfare, social and healthcare paradigms

Personal psychosocial and health care paradigms

Actions 1.

Strategic planning

2.

Develop community resilience

3.

Humanitarian aid

Time Scale

Continuing

Immediate and continuing 4.

Psychological first aid

5.

Augmented primary health and social care

Medium term

6.

Specialist mental health care

Medium and long term

Figure 9.3. The NATO Model of Care.

The model of personal resilience outlined earlier emphasizes the importance within disaster planning of providing adequate responses to people’s basic needs. Thus, NATO commends approaches to responding to everyone’s needs based on the concept of Psychological First Aid (PFA). Brymer et al (2006) view the basic objectives (wording adjusted by us to fit this chapter) of PFA as being to: x x x

establish a human connection in a non-intrusive, compassionate manner; enhance immediate and ongoing safety, and provide physical and emotional comfort; calm and orientate emotionally overwhelming or distraught survivors;

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x x x x x x x

help survivors to tell others specifically about their immediate needs and concerns and gather information as appropriate; offer practical assistance and information to help survivors to address their immediate needs and concerns; connect as soon as possible survivors to social support networks including family members, friends, neighbors and community resources; support adaptive coping, acknowledge coping efforts and strengths, and empower survivors; encourage adults, children and families to take an active role in their recovery; provide information that may help survivors to cope effectively with the psychosocial impacts of disasters; and be clear about the availability of responders who are able to help and, when appropriate, link survivors with disaster response teams, local recovery systems, mental healthcare services, other public-sector services and other relevant organizations.

A core component of PFA is attending to practical, material and social support, rather than short-term post-event counseling (Wessely, 2005). Arguably, this is effective and the risks of re-traumatization are less than those that may result from single event debriefing that focuses on revisiting emotional experiences in the immediate aftermath of disasters. Furthermore, PFA attends to the importance of supporting both personal and collective resilience of people who are affected and the groups in which they live and find themselves. Such an approach is also at one with a general argument about the problem of over-reliance on experts, which in turn assumes that people are helpless individuals. Again, based on the theoretical positions that we have explored in this chapter, we recommend methods that facilitate public empowerment. Strategies that presuppose a dependent, passive public are not only ineffective, but they are also likely to encounter resistance and hostility since they reproduce a perceived relationship of inequality and alienation. Distrust of the authorities sows seeds of reciprocal distrust in the public. The outcome may be that, when the authorities finally do open up and try to build bridges, their messages are not believed and their overtures rejected. If informal collective resources are the basis of resilience within emergencies, it is possible they may operate in the aftermath too. A number of survivors from the London bombings mentioned that their membership of the group of “survivors” continued to be psychologically

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important to them. Some of them reported seeking out other survivors; they suggested that sharing their feelings with each other in support groups helped in their recovery (Drury, Cocking & Reicher, 2009b). Informants who were affected by the flooding in the UK in 2007 have told us that they derived great support in the two years afterwards from writing diaries and meeting each other in the context of research on the psychosocial effects. At the moment, there tends to be an exclusive but controversial reliance on professional experts in after-care (Wessely, 2005). There is at least some indirect evidence that informal sources of support and cooperation are effective in maintaining or producing wellbeing in times of stress. For example, the reduction in the numbers of people who were admitted to hospital in the UK for mental illness during World War II— when threat levels were high, but the public had more involvement in their own defense protection than now—indicates the positive functions of mutual aid among one’s fellows (Jones, Woolven, Durodié & Wessely, 2006). Conclusion Our studies of the effects of disasters, terrorism and war support conclusions reached elsewhere that include the following: x How psychosocial responses are managed may define societies’ recovery from disasters, mass emergencies and major incidents; x The social fabric of communities is critical to the psychosocial and mental health effects; x The effectiveness of the responses made depend on leaders’ knowledge of the resilience and vulnerabilities of affected communities; x Information and activities that normalize reactions, protect social and community resources and signpost access to additional services are fundamental to effective psychosocial responses; x Everyone involved is likely to benefit from supporting arrangements in the immediate aftermath; x Timely access to mental health services is required by a substantial minority of survivors. There are many myths about disasters. The first and most enduring is that crowds panic. A second is that people are inevitably immobilized by fear. A third is that chaos occurs within responding agencies (NATO, 2009). Research shows that panic is rare (Drury et al., 2009a; Durodié &

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Wessley, 2002). Many people who are directly involved are the first to take action and, arguably in some emergencies, the majority of lives are saved by the public (Glass, 2001: 72). Often, disasters create unity and improve inter-agency cooperation. Taken to extremes, the rhetoric of resilience could be used politically not only to boost (e.g. national) morale, but also to minimize government and corporate responsibility by downplaying genuine hardships (Furedi, 2007). The argument of this chapter is not meant to imply an absence of distress, suffering or symptoms—quite the reverse, since our conceptualization of resilience includes the notion of distress within it. Moreover, despite its potential dangers, it is argued here that a notion of resilience is necessary to counter the influential pathology/vulnerability framework, which not only neglects the human capacity for survival in the face of disasters, but also threatens to undermine it. Our summary of the concept of resilience as applied to both affected persons and collectives, including groups of strangers and teams of responding staff, enables us to explain why these common beliefs about emergencies are usually erroneous. We have summarized some implications of both personal and collective resilience for managing disasters. Our discussion of how psychosocial resilience is developed and sustained, along with our new definitions and more research into its application, also allows for optimism. We conclude that managing the psychosocial effects of disasters should begin before emergencies occur, continue during their immediate aftermath, and that facilitation of psychosocial resilience is particularly important for longer-term recovery. This requires us to harness lessons about the behavior of people in crowds in addition to providing timely access to effective personal care for people who are assessed as requiring it.

PART II REBUILDING SUSTAINABLE COMMUNITIES FOR CHILDREN

CHAPTER TEN THE IMPACT OF VIOLENCE AND DISASTER ON CHILDREN AND HOW TO HELP THEM HEAL AND THRIVE AFTERWARDS A couple of weeks after September 11, 2001, a teacher notices several children building a structure with large cardboard blocks. Two children get inside and the others aggressively crash it down. They pull out the two children who report that they are “dead,” the bad men in the plane knocked it down. Children hear about a great deal of violence and human suffering in the media, struggle to try to figure it out and can be harmed by it. A child walks into his preschool classroom the morning after he witnessed his father being arrested in his home for battering his mother. The boy says sadly, “I won’t see my daddy anymore because he’s in jail and we don’t have a car to go visit him.” Another child quickly jumps in to say, “You’re wrong. My daddy’s in jail and we go visit him on the bus. You can take the bus to see your daddy too!” While we may be surprised that this child is more concerned about seeing his father again than the violence he witnessed between his father and mother, we see that the children feel comfortable enough in their classroom to share this information with other children. A young child announces that she wasn’t in school the day before because her grandmother died. Another child, who lives in a community with a high level of street violence, looks up at her and asks, “Who shot her?” It seems as if this child sees gun violence as the only reason why people die. A group of children are playing a war game in the play yard of their school. As they begin running around pretending to shoot with sticks that are their weapons saying they’re “Robocop”, a boy who is nearby starts to cry. A teacher comes over to comfort him and he starts gasping, “that’s how my daddy died. They shot him in the war!” All around us are children who may be victims of violence and disasters, who daily but not always visibly, experience the pain their traumas bring.

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Violence and Trauma in Children’s Lives As the above examples poignantly illustrate, there are many kinds of violence and trauma in the daily lives of children growing up in today’s world. There is the entertainment violence and disaster on the screen—in TV programs, movies, video and computer games. There are highly popular toys connected to violent TV programs and other media that encourage children to imitate in their play the violence that they see on the screen. There are natural and person-made disasters that children see in the news—weapons exploding, people getting hurt, communities being devestated. And then there are the experiences that a growing number of children experience directly in their own homes and beyond, whether from an isolated trauma or as a regular part of their lives and communities. (Feerick & Silverman, 2006).

^ Children Affected Most How much children are affected by violence and trauma

Chronic exposure to violence in the home and/or community Exposure to isolated violent traumatic event

Exposure to real world violence and trauma in the media

Children Entertainment violence and disasters Affected Popular culture and toys linked to it Least __________________________________________


Proportion of Children Affected

Figure 10.1. The Continuum of Violence in Children’s Lives 1

As illustrated in Figure 10.1., the violence and trauma in children’s lives can be thought of as fitting along a continuum of severity. At the bottom is entertainment and second-hand exposure to scary things on the screen, images that are very prevalent in societies around the world today. At the top are the first-hand forms—chronic and direct exposure in the immediate environment--which fewer children experience, at least in most

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parts of the US, but which builds onto exposure to the more prevalent forms of exposure further down the pyramid. The degree to which children’s development, ideas and behavior are affected is likely to increase as they move up the continuum, but few children growing up today are likely to avoid experiencing some form of exposure to violence and trauma (Levin, 2003). While children anywhere along the violence and trauma continuum are affected, the effects are usually most obvious for the children at the top—those who have direct and long-term exposure. Anna Freud’s work during World War II was among the first to direct attention to the devastating effects violence and trauma can have on children and what adults can co to help them cope (Freud & Burlingame, 1943). Since the 1980s clinicians have recognized that children can develop post-traumatic stress disorder (PTSD) as a result of even a single exposure. PTSD is a condition whereby children exhibit such symptoms as flashbacks to the traumatic event(s), hypervigilence, regression, sleep troubles, and increased levels of aggression (Garbarina, 1999; Groves, 2002). Children with PTSD generally require extended therapeutic help to work through the symptoms. There is a range of ways children are affected by what they see and hear wherever along the contiuum they fall, although to varying degrees (Levin, 2003). How Violence and Disasters Affect Children First, children try to figure out what they see, both the positive and the negative. They often use their play and art to do this and they might also talk and write about it. We see this in action in the example given above of the children who are playing out salient aspects of what they know about September 11th—the blocks of towers crashing with the children pretending to be the people caught inside. Second, children do not experience or understand violence or disasters as adults do. They make their own unique meanings from what they see and hear. They do this based on such things as their age, prior experiences and individual temperament. For instance, the child who helped the boy who was worried that he wouldn’t be able to see his father in jail because he didn’t have a car did so because she had previous experience visiting her own father in jail. So did the child who asked “who shot her” after hearing the grandmother had just died; children who observe regular shootings, whether on television or in their neighborhood, might reasonably assume that if someone dies it is because he or she is shot!

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Children’s thinking also often leads them to blame themselves for what happened because they do not have the ability to make logical causal connecetions. This thinking can be exacerbated when the adults in children’s lives get so caught up in dealing with the immediate problems created by the disaster that meeting the needs of the children is overlooked. Third, what children figure out can make the world seem like a dangerous place to them—a place where the adults in their lives are unable to protect them, and where weapons and fighting are needed to keep people safe. The child above, who assumed people die because they get shot, used the danger of gun violence and its scary consequences as her first approach to explaining human experience. When children live in fear, one of the most basic human needs—a sense of safety and trust—can be seriously undermined (Erikson, 1950). Such children often find they need to put their energy into protecting themselves instead of into learning about and mastering their world. When the boy above sees the superhero play of other children, it brings backs the fear he felt when his father was killed in a war. Fourth, the period of early childhood is a time when children are learning how to participate in relationships with others and how to rely on and support others in mutually respectful ways as a part of a caring community. As children succeed with this, they develop a sense of connectedness and belonging which can help them feel secure enough to try new things, experiment, explore, learn and grow as autonomous individuals. Scary experiences undermine children’s ability to develop positive interpersonal skills or a sense of connection with others. They learn people cannot be relied upon to create a safe, secure world. When this happens children often end up responding in one of two ways. Many children (especially boys) try to be strong and “rugged individuals” who can protect themselves and are ready to fight to do so. This can lead to the use of aggression against others to solve conflicts and deal with perceived danger. Other children (especially girls) try to withdraw from the world in an effort to keep themselves out of harm’s way. This response can lead to an avoidance of others and even victimisation as one withdraws and fails to reach out to get one’s needs met. Helping Children Cope x

Create an environment where children feel safe working on the challenges created by the traumatic experience. There is much

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x

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we can do to help children who are anywhere along the violence and disaster continuum. First, they need to know we are there to help them figure out the fearful experience, learn it wasn’t their fault, and know what adults are doing to keep them safe. Help children use their play and art to work out an understanding of the violence and trauma in their lives. Play, art, storytelling or writing (as they get older), and by talking to a caring adult are the primary vehicles for helping them do so. It is through such efforts that a sense of equilibrium is achieved and learning and development are fostered (Garbarino et al., 1999; Groves, 2002; Belsey & Johnson, 2008). This may help to explain Freud and Burlingham’s (1947) accounts of children playing out their experiences in World War II England as well as more recent descriptions of children on the West Bank in Palestine playing out scenarios of Israeli soldiers breaking into houses (Levin & Carlsson-Paige, 2006). But children’s ability to engage in the kinds of activities that can help them work through their experience can be seriously undermined by the violence and disasters in their lives (Terr, 1990), especially in the top two categories of the continuum pyramid. These children’s energy and resources are often diverted into trying to cope with the violence and the lack of safety that it can bring. The increasing amounts of time they spend with the media gives them less time to engage in activities that would help them work out the experience. Then when they do play, the play can be taken over by the trauma, while at the same time, controlled by highly realistic media-linked toys of violence. When this happens children tend to use imitative rather than creative play to try to meet their needs. Their play can become repetetive and unchanging and does not help them make meaning or heal. In this situation, as the need to work through violence increases, children’s ability to work it through decreases (Levin & Carlsson-Paige, 2006). Adults can provide materials, join in the play and talk to the children about their play to help them get beyond these restrictions and use their play in the service of the healing and meaning-making. Work to influence the lessons children are learning from the violence and trauma. What children see, hear and do in their environment becomes the content they use for building ideas about the world. The ideas they build are then used for interpreting new experience and building new ideas. When

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children are provided with extensive scary content, it is hard for them not to come to see that danger as central to how the world works and how they will fit into it. This can become a powerful part of the foundation onto which later ideas are built (Levin, 2004). To help children, we can talk to them about how people are working to protect them and make things better. We also can help them learn how to take age-appropriate positive actions to contribute to the wellbeing and healing of their community. Table 10.1 overleaf summarizes the key issues raised here and suggests strategies for addressing and reducing the harmful effects. The more we can infuse these stratgeies into everything we do with children, rather than seeing them as a series of isolated tasks or lessons, the more successful we will be at meeting children’s needs in these violent times (Levin, 2003; Rice & Groves, 2005; Silva et al., 2002). Call to Action We now know enough about how seriously disaster and violence can threaten the healthy development of young children to conclude that we need to do everything we can to prevent the disaster from happening and that when it occurs we need to do everything we can to put the needs of children first. Children need the help of adults to process their experience, to help them feel safe in spite of it, and to learn alternative lessons to the negative ones disaster can often teach. The global community must deal with the root causes of the increasing levels of violence and disaster in many children’s lives— including rising levels of poverty and inequality, domestic and community violence, global conflict, news of violence on TV screens in so many young children’s homes, and the marketing of entertainment violence and mayhem that children see on the screen. But in the meantime, there is much we can and must do in our work with children in group settings and in their families to counteract the harmful effects. By creating a safe and respectful environment where children can directly experience the alternatives to the disasters in their lives, we will be helping them learn about peace and nonviolence in the way they learn best (Levin, 2006).

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Table 10.1. Summary: Understanding and Helping Young Children with Violence and Disasters. 2 How Violence Undermines What Children Need to Counteract the Development Harm x As children feel unsafe and see the x A secure, predictable environment world is dangerous and that adults where they feel adults can keep them can’t keep them safe, energy goes to safe as they learn how to keep keeping selves safe and violence is themselves and others safe. one salient way to do it. x Sense of self as a separate person x To learn how to take responsibility, who can have a positive, meaningful positively affect what happens in their effect on the world is undermined so environment, and feel powerful and many children do not have many important and meet their individual skills for feeling powerful and needs without fighting. competent, getting their needs met or solving problems without violence. x Sense of mutual respect and inter- x Many opportunities to experience and dependence is undermined as violence contribute to a caring community in and fearfulness become central parts which people learn how to help and rely of the behavioral repertoire children on others and work out their problems learn. Relying on others is associated in mutually respectful and agreeable with vulnerability. ways. x Increased need to tell their stories x Wide-ranging opportunities to work and construct meaning of violence and through and talk about the experiences, trauma in their lives through such develop rich and meaningful art, stories, activities as discussions, creative play, and play with open-ended play art and story-telling. materials. x It is harder for children to work x Active facilitation of skills necessary through the trauma as tools for doing to develop meanings, work through so are undermined by time and energy violence and feel safe—imagination, spent trying to cope and keep safe, creativity, problem-solving ability, play time spent watching TV, toys which and communication skills, and models promote imitation of violence. for nonviolent behavior.

NOTES 1

Copied with permission from Teaching Young Children in Violent Times: Building a Peaceable Clasroom (2nd ed.) by Diane E. Levin. 2 Ibid.

CHAPTER ELEVEN KATRINA AND KIDS: THE IMPACT, THE SEQUELAE The August 2005 Gulf Coast hurricanes, Katrina and Rita, were among the most significant disasters to impact the US in all its history— comparable to the San Francisco Earthquake and Fire of 1906, the Chicago Fire of 1871, the Mississippi Flood of 1927, the Dustbowl and Great Depression of the 1930s (Powers, 2006), and of course September 11. Currently, the mortgage meltdown/foreclosure crisis, its full impact still unknown, must be added to the list (Schulte, 2008), and we are also recognizing the impact on children of the military deployment of a parent (Glod, 2008). In the case of New Orleans and the Gulf Coast generally, the impacts and failures of government have persisted well into the fourth posthurricane year. The failures of our national emergency system have been a serious—and well-merited—blot on our national Administration during those years. (Probably in part triggered by the Gulf hurricanes, and undoubtedly by September 11 as well, a Congressionally-mandated National Commission on Children and Disasters came into being in late 2008; because of its short- and long-range importance to this book’s topic, a brief summary of this new entity is provided in an Appendix.) And the multiple failures of the federal government’s chief responder to disasters have even given us a neologism—FEMA-ization—to refer to screw-ups by any institution. In this chapter, we discuss the special impacts of the hurricanes on children and families, focusing primarily on three areas: education, health and housing. (One almost humorous impact on children that doesn’t fit any of these categories but we couldn’t resist including, is that the name Katrina, regularly ranked among the top 100 top new baby names, dropped in 2006 to 382nd in popularity—Associated Press, 2007.)

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Education Prior to the storms, New Orleans’ K-12 school system was one of the worst in the country, according to Michael Casserly of the Council of the Great City Schools, who observed: Before Katrina’s onslaught, the children of New Orleans were isolated racially, economically, academically and politically in public schools that were financed inadequately, maintained poorly, and governed ineptly. (2006: 197)

The damage done to the educational enterprise on August 29, 2005 was enormous, as over two-fifths of the system’s schools (disproportionately those in low-income, African-American neighborhoods) sustained severe wind and flooding damage, many beyond repair; and almost as many suffered minor damage. And so tens of thousands of K-12 students wound up in different school districts, many in different states, disrupting their curriculum and teacher/student as well as peer relationships; a great many of them also missed months of formal education (Dewan, 2006c), adding to the factors producing the widely-recognized achievement gap between white students and students of color. White students more typically relocated with their families to places where they could enroll in a local public or parochial school without a significant time lapse. The tens of thousands of students who had to switch schools were exposed to the educational problems and consequences—academic difficulties, higher dropout rates, behavioral issues—that extensive research shows is correlated with high mobility rates (Hartman & Franke, 2003). New Orleans Charter Science and Math High School (2006) produced a collection of personal narratives by the school’s students chronicling their evacuation, and Louth (2006) offers reflections on Katrina by students, teachers and others. A similar report, focusing on an elementary school, can be found in Taylor and Yamasaki (2005). Boisseau (2007) and Morgan (2007) offer mothers’ perspectives on their children’s postKatrina education; and Kids Rethink New Orleans Schools (2007) provides an evaluation and set of recommendations from a group of twenty New Orleans schoolchildren aged ten to seventeen. See also Taylor (n.d.) and Reich and Wadsworth (2008). The US Department of Education estimated that some 372,000 students—pre-school through college—were displaced from the states hit by the storms. Louisiana alone estimated that some 105,000 of its students were dislocated and not attending their home schools—creating sudden and severe burdens on the receiving school systems, such as overcrowded

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classrooms. Texas indicated it received some 40,200 out-of-state students as a result of Katrina and Rita; Georgia accommodated 10,300 students; Florida, 5,600 (Jacobson, 2006). These newly arriving students, of course, arrived without academic, discipline, immunization or other health records. On the other hand, a study of Katrina-evacuated middle and high school students in the Dallas-Fort Worth area demonstrated the importance of the new school environment in dealing positively with the stresses of their new arrivals (Barrett, Ausbrooks & Martinez-Cosio, 2008). School social workers can play an essential role in managing this adjustment; a New York Times report on the new, foreclosure-induced problem of families taking up long-term residence in motels, notes that .

schools have made special efforts to help children in displaced families stay in class, and some send social workers to connect families with counseling services and food aid. (Eckholm, 2009)

At the same time, however, the account notes that “…in California’s budget crisis, some school social workers are being laid off.” Poignantly, the article quotes one lonely, uprooted little girl as saying, “What I miss most is having a pet”—because of the motel’s “no pets” rule, she gave away her cat and kitten. As of the summer of 2007, just 45 percent of New Orleans’ public schools had opened (Brookings Institution, 2007). A state school board member is quoted as saying: The teacher shortage is real. The book shortage is real. We have a labor shortage. There is a shortage of bus drivers. The whole food-service industry is short of workers. (Nossiter, 2006)

A broad-reaching critique/proposal—Education after Katrina: Time for New Federal Response—was put forward by the Southern Education Foundation (2007). A major change in the New Orleans public school system has been state takeover of a large portion of the system (the Recovery School District) and a shift to charter schools—a controversial move and one that has been pushed as a more general goal by market-oriented advocates in the education reform field (Saulny, 2006a; Center for Community Change, 2006; Adamo, 2007). Reactions are mixed (Resseger, 2007; Nossiter, 2008; Matthews, 2008). An ancillary result (some claim, a goal) is the weakening of the teachers’ union; the district’s teachers were furloughed in the weeks immediately following Katrina, and their right to return to the system on a seniority basis was replaced by state authority to hire and

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place teachers in the schools it had seized (Maggi, 2005). Teachers in most public charter schools are on year-to-year contracts without collective bargaining leverage. As a 2007 study by the unions labeled it, “No Experience Necessary: How the New Orleans School Takeover Experiment Devalues Experienced Teachers” (United Teachers of New Orleans, Louisiana Federation of Teachers and American Federation of Teachers, 2007). A more recent phenomenon has been a steep rise in violence and misbehavior in the reopened schools, due in large part to the return of teenagers without accompanying parents. Some parents, for a variety of reasons—many job-related—have chosen to remain, at least temporarily, but possibly permanently, in the cities to which they were evacuated, but they gave in to their children’s entreaties to return to friends and a familiar environment, making do as best they can with respect to sleeping and eating arrangements. One New Orleans high school, the largest one still functioning, where up to a fifth of the 775 students live without parents, is described as having at least twenty-five security guards, at the entrance, up the stairs and outside classrooms. The school has a metal detector, four police officers and four police cruisers on the sidewalk. (Nossiter, 2006)

A student observed: “We have lots of security guards and not enough teachers.” Another student added: “It’s like you’re in jail. You have people watching you all the time” (Ibid.). One can only imagine the long-range impact of this schooling crisis on the future lives of thousands of angry, lonely, deracinated teens. The new focus on “the school-to-prison pipeline” around the country certainly has taken root here (Poverty & Race Research Action Council, 2005). The future of the city’s school system remains somewhat murky, in part because no one can reliably predict how many families will eventually return, who they will be, and to what parts of the city they will return. The experience of better schooling for their children in another city may be a key decision-making factor for some families. But, as Michael Casserly observes: One can also see flashing yellow lights on the horizon. The preliminary plans for remaking the city’s public schools were designed by people who were substantially different in hue from educational decisionmakers before the storm, a touchy issue in these still racially-sensitive times. The proposal to replace the currently elected school board with an appointed school board, for instance, is bound to exacerbate concerns

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among community activists and parents that the schools, along with other city agencies, are being hijacked by alien forces. (2006: 211–12)

Decisions about schools of course are closely associated with patterns of resettlement and the race and class considerations that underlie planning efforts in the post-hurricane world. Casserly appropriately extends this warning: New Orleans is not the only city…in which our poorest children are concentrated and isolated in such a way… And it is not the only one that embodies the nation’s neglect of its poor. One can see the same pattern in many other cities across the country—if one is only willing to open one’s eyes. And, in other cities, we run the same risk…whatever the next storm, wherever the next levees. (2006: 213)

Health As is the case with schooling in New Orleans, the city’s and state’s health status pre-Katrina was strikingly poor, linked to a range of political, economic and social forces. As an Urban Institute report noted: According to the United Health Foundation’s 2004 State Health Rankings…Louisiana ranked lowest overall in the country… It numbered among one of the five worst states for infant mortality, cancer deaths, prevalence of smoking and premature deaths…. Louisianans also had among the nation’s highest rates of cardiovascular deaths, motor vehicle deaths, occupational fatalities, infectious diseases and violent crime. (Zuckerman & Coughlin, 2006: 48)

Cultural patterns (“Laissez les bon temps rouler”) and the high-cholesterol local cuisine were contributing factors to the grim local health picture (Franklin, 2006). In addition, the city’s historic absence of a manufacturing sector prevented the development of a strong labor movement with its demands for health care benefits. State funding cutbacks beginning in 2004 led to dramatic reductions by more than two-thirds in ambulatory care services for the poorest residents and reduced access to nonemergency care for the uninsured—leading to increasingly congested emergency rooms. The immediate post-hurricanes health crisis was described by Dr. Evangeline Franklin, Director of Clinical Services and Employee Health for the City of New Orleans:

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While such foul and dangerous conditions affected everyone in the city, for a variety of reasons children of all ages were especially impacted, due to inadequate supervision, risky behavior, failure to report problems, insufficiently matured immune systems and other characteristics of the young. Tracy (2006) provides reflections on the post-Katrina situation and recommendations for the future by health care providers. High rates of illness among evacuees have been reported, especially among children, and especially respiratory illness (Hsu, 2008). Columbia University School of Public Health researchers found that 41 percent of New Orleans children under the age of four had iron-deficiency anemia, twice the rate in New York City’s homeless shelters (“Louisiana: High Anemia Rates,” 2008); 42 percent of children who lived in trailers had allergic rhinitis or an upper respiratory infection. Beyond physical ailments, more than half of those aged six to eleven had a behavior or learning problem, yet in the East Baton Rouge School District children can wait for as long as two years to be tested for learning disabilities (Dewan, 2008c). Mental health problems are rife, with a notable rise in suicides (Nossiter, 2005; Turner, 2006). The Regional Administrator for Health Unit 2 in Baton Rouge Parish, where some 30,000 persons relocated, noted that

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Transitional housing areas are reporting problems with child abuse, sexual abuse, domestic violence and substance abuse as people struggle to cope with the loss of their community/support system while living in close proximity to each other in tiny FEMA trailers. (Roques, 2007: 4)

Toxic waste problems of various types doubtless will persist and show up Agent Orange-like in years to come (Dewan, 2006a, 2006b; Redlener, 2006; Connolly, 2005; Cass, 2006; Hsu & Eilperin, 2006; Barringer, 2005, 2006; Cole & Woelfle-Erskine, 2006; Saulny, 2006b; Turner, 2006). Most of the city’s hospitals located in the center of the city were damaged or flooded, leading to loss of over half of the state’s hospital beds and one of the state’s two Level 1 trauma centers (Barringer, 2006). As of the summer of 2007, only thirteen of New Orleans’ twenty-three pre-Katrina hospitals were open (Eaton, 2007; Brookings Institution, 2007). Doctors’ offices were rendered unusable, as were pharmacies. As part of the general layoffs of City workers, Health Department staff for its clinics went from 250 to twenty-seven. Health workers at all levels evacuated, and it is likely that a great many will not return, having found employment elsewhere. As of Spring 2006, there were virtually no dentists practicing in the city. The absence of former patient loads of course is a factor influencing health providers’ return plans, and physicians need hospitals, support facilities, labs, x-ray units and pharmacies to provide proper levels of health care. One major problem is the loss of health records—leading to strong recommendations for the development of a system of portable, electronic, transmittable records (Franklin, 2006). Housing The amount of housing destroyed or severely damaged by the Gulf hurricanes is unprecedented. HUD data showed that 932,944 homes were damaged in Louisiana, Alabama, Mississippi, Texas and Florida, 30 percent of which sustained severe or major damage (U.S. Department of Housing and Urban Development, 2006). Of the 103,019 occupied public or assisted units (including privately-owned units rented by Section 8 voucher holders) in the Katrina-affected areas of Louisiana, Mississippi and Alabama, 41,161 were damaged, 15,199 so severely damaged as to render them uninhabitable (Jackson, 2006). Governments—national, state and local—largely botched efforts at relocation and replacement housing (Fischer & Sard, 2006; Frank & Waters, 2005; Hsu & Connolly, 2005; Lipton, 2006; Steinhauer & Lipton, 2006; Torpy, 2005; Weisman, 2005). The Federal Emergency

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Management Agency (FEMA) ordered some 300,000 travel trailers and mobile homes, placed them for the most part in large trailer camps they created (“FEMAvilles”) isolated from schools, health care, transportation, shopping and jobs. These trailers produced severe health problems (alluded to in the above section) from high formaldehyde-emitting particle board and composite wood, causing serious eye, lung and nose irritation; the Gulf’s hot, humid climate increases the rate at which these toxic, carcinogenic vapors are released. Incredibly, FEMA knew since early 2006 of these hazards and suppressed warnings from its own health workers. The agency stopped testing occupied trailers after discovering formaldehyde levels seventy-five times higher than the US-recommended safety threshold for workplaces, and it is likely that more stringent standards are appropriate for tight living spaces where occupants spend more time than at their workplace (Hsu, 2007a, 2007b; Palank, 2007). Children are especially vulnerable to these toxins and are likely to spend more time in the trailers than adults, especially if they have no school to go to. FEMA’s other re-housing method was temporary rental of hotel/motel rooms. But it repeatedly announced arbitrary termination dates, which it then rescinded in response to public outrage and court rulings (“Kafkaesque,” in the words of one federal judge—Dewan, 2006d). The forced mobility and insecurity that FEMA imposed on tens of thousands of families undoubtedly increased vastly the stress felt by children and adults. The long-term impact of Post Traumatic Stress Disorder on persons of all ages remains to be seen. A review of the experience of long-term living in FEMA trailers can be found in Louisiana Justice Institute/Children’s Defense Fund (2008). Most serious of course for children is the rise of outright homelessness in New Orleans. Estimates are that the city’s homeless population has doubled since the storms—as of March 2008 the estimate is that 4 percent of the city’s population of 302,000 at that point (12,000 people in all) are without homes; and the homeless are said to be sicker and more severely disabled than in the past (“Helping the Katrina Homeless,” 2008; Dewan, 2008a; Jervis, 2008). Some Final Points Childcare—as important as the housing, schools and jobs issues—was of course adversely affected by the storms: the virtual elimination of family childcare and consequent shift of demand to institutional childcare

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centers—whose numbers declined from 275 pre-Katrina to eighty-six by Spring of 2007, with those that reopened struggling to find trained staff (Reckdahl, 2007). See also Wilson and Kershaw (2008) on the postKatrina reflections of childcare workers. But what may be the most central issue and problem for children in the post-Katrina years is recreating a sense of stability in one’s life. Children who relocated to other cities are unsure whether they are remaining or returning. As a New York Times headline put it regarding Katrina evacuees in Houston, “Children Find Idle Time Hard to Fill” (Dewan, 2008b); another story, more than three years after the hurricanes—about children who did not leave—was headlined “Many Children Lack Stability Long after Storm” (Dewan, 2008c). One of the more imaginative programs to help children deal with the trauma of the hurricane experience was “art as catharsis for hurricane-scarred children” (Dewan, 2007). A useful compendium of nearly four dozen short case histories of how a variety of people coped is Stories of Survival (and beyond) (n.d.) by the New Orleans-based Institute of Women and Ethnic Studies. A final, global point about impacts: the majority of those negatively impacted by the storms are people of color. There remains of course plenty of racism in all forms—both individual actions and what is known as structural or institutional racism (powell, Jeffries, Newhart & Stiens, 2006)—that exacerbates the longer-term impacts of Katrina on children as well as adults. And so to sum up: children—probably the majority of them living in New Orleans on August 29, 2005—were severely victimized and continue to be victimized (possibly with life-long detriment to their health and education) by the horrendous impacts of the storms, the immediate followup period and the long-range effects. Special care and attention need to be paid to them by government at all levels, as well as by the private sector. The many important lessons to be learned from this experience need dissemination and are applicable to a range of disaster situations of all types. Hopefully, the new National Commission, the basics of which are described below, will be a major force in preventing or at least ameliorating the damages detailed in this chapter.

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APPENDIX THE NATIONAL COMMISSION ON CHILDREN AND DISASTERS 1 The National Commission on Children and Disasters was signed into law by President Bush on December 26, 2007, authorized under the Consolidated Appropriations Act of 2008 (Public Law 110-161). It has ten members; all are designated for appointment by the President and Congress, under various legislatively-mandated stipulations regarding representation and qualifications. x Chair: Mark Shriver, Vice-President of Domestic Programs at Save the Children. x Vice-Chair: Michael Anderson, Vice-President and Associate Chief Medical Officer, University Hospitals Case Medical Center. The other members are: x Ernie Allen, President/CEO, National Center for Missing and Exploited Children. x Merry Carlson, Division of Homeland Security and Emergency Management, State of Alaska. x Sheila Leslie, Member of the Nevada General Assembly and Special Courts Coordinator for 2nd Judicial District Court. x Bruce Lockwood, Public Health Emergency Response Coordinator, Bristol-Burlington [CT] Health District. x Graydon Lord, Homeland Security Policy Institute, George Washington University. x Irwin Redlener, National Center for Disaster Preparedness, Columbia University Mailman School of Public Health: The Children’s Health Fund. x David Schonfeld, National Center for School Crisis and Bereavement, Cincinnati Children’s Hospital Medical Center. x Lawrence Tan, New Castle, PA, County Department of Public Safety. The Staff Director is Christopher Revere. There are seven staff members in total. Subcommittee structure: those appointed are Disaster Case Management and Human Recovery; Pediatric Medical Care and

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Mental Health; Evacuation, Transportation and Housing; Education and Juvenile Justice. The Commission has four basic purposes: 1) Preparing a comprehensive study that examines and assesses children’s needs as they relate to preparation for, response to, and recovery from all hazards, including major disasters and emergencies. 2) Identifying, reviewing and evaluating existing laws, regulations, policies and programs relevant to such needs. 3) Identifying, reviewing and evaluating the lessons learned from past disasters relevant to addressing such needs. 4) Reporting to the President and Congress on its findings and recommendations to address such needs, including regarding the need for a national resource center on children and disasters, coordination of resources and services, administrative actions, policies, regulations and legislative changes. The Commission plans to conduct research to carry out its four purposes, contacting professional associations, disaster relief organizations, government agencies, emergency responders, academic institutions and others. Recommendations will be culled from publications, public testimonies, Congressional research, Government Accountability Office reports, disaster after-action reports and other literature. Commission members and staff will meet with policy leaders and hold field briefings with state and local emergency management and public health agencies that have responded to recent disasters. The Commission’s first public meeting was held on October 14, 2008; subsequent meetings were held in November 2008 and February 2009. Quarterly meetings are planned; all are open to the public. Timeline: The Commission issued its Interim Report to the President and Congress in mid-September, 2009. Within two years of the Commission’s first public meeting, it is to issue its Final Report. One hundred and eighty days after that submission the Commission terminates. The Commission’s website is www.childrenanddisasters.acf.hhs.gov. Communications Director Vinnie Mascarenhas can be reached at (202) 401-9392 and [email protected].

NOTES 1

Commission Director Christopher Revere kindly furnished the information for this Appendix.

CHAPTER TWELVE THE ROLE OF SCHOOLS IN REBUILDING SUSTAINABLE COMMUNITIES AFTER DISASTER Rebuilding sustainable communities for children and their families after disaster should have two components directly involving schools. First, the community needs a useable, site-specific, child-led, preparedness plan, which could be developed by schools in cooperation with the wider community. Second, schools must plan how to help children and their families recover from the traumatic experiences that often accompany disaster. Let me say that the first part of this article, specifically related to preparedness, will focus on what we commonly call “natural disasters”— events of nature. Being prepared for human-instigated violence, be it community violence or wars, takes different actions and will not be covered here. The last part however, that related to recovery, is appropriate in response to both natural and human-caused disasters. The discussion about “natural” disasters is based on the assumption that natural disasters can be prevented. Actually, as Luis Romano, the Risk Management Specialist at the Humboldt Center, tells us, We cannot say that disasters are natural. Some physical events are natural, but the effects of the events are not natural; they are built on social practices. Disasters are socio-natural events…. We’re accustomed to thinking of…[natural disasters] as a dramatic event, where nature and humans collide in ways that are both unavoidable and unavoidably tragic. Yet a closer look at how events like earthquakes and volcanoes, droughts and floods and tsunamis become tragedies reveals that these events of nature, while powerful, only trigger disasters if vulnerable communities are exposed to their destructive force. (Romano, 2006:1).

For instance, several thousand earthquakes occur in Alaska in any given year, but we do not consider them disasters or tragedies, because no vulnerable communities are affected. They become a disaster when there is a conflict with human life and living. Furthermore, disasters may appear to affect rich and poor people alike, but that is not the case. For instance, earthquakes produce landslides

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on steep hillsides and the edges of rivers or ravines—areas that are frequently populated by the poorest people. Our own striking examples of the tragedies resulting from Katrina confirm this. Those people who lost the most, either in a material way, or loss of life, were the poorest people. They lived most directly in harm’s way. Whereas extreme acts of nature affect us all, it’s those with the fewest resources who suffer the most. Romano again reminds us that Those with the fewest resources can seldom afford to build earthquakeresistant features into their houses. And the poor lack insurance to provide for them if an earthquake [or flood] destroys their homes or their means of making a living. (Romano, 2006: 2)

In this article I will establish the critical need for disaster or emergency planning. Here I am not talking about the preparedness plans of the underground cities built in ancient times in central Turkey to hide from invading armies—although that might be an option! I am talking more about some things that we can do here and now that will be a little more practical for the twenty-first-century. I’ll also suggest how children could be involved in developing the plans and will discuss the role of schools in recovery. And now for a brief description of the four elements of disaster planning—or as some emergency management professionals say—disaster or emergency management planning. That term is used because we are not actually planning for disasters, but we are planning how to manage disasters or emergencies. The four elements of emergency management planning are: 1) Mitigation—actions that take place before an event occurs that are intended to limit the negative impact of a disaster/emergency; 2) Preparedness—pre-disaster planning that often includes mitigation and usually results in written information about what people will do before a disaster, during it, and what they will do in recovery; 3) Response—actions taken by the public during a disaster; and 4) Recovery—actions taken postdisaster that will assist individuals, organizations or communities to return to near-normal. I say near-normal because disasters change lives and communities so they are different, post-disaster. They will never be exactly the same again. Actually, near-normal can be just as dynamic, just as creative, but in a different way, as life was pre-disaster. I’ll use these four terms throughout this article. Let me also explain a couple of other terms that I’ll use. The international term “risk reduction” means reducing the risks of disaster; it can include both mitigation as well as a written preparedness plan. The

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other commonly used term throughout this article is “the Framework.” That term refers to the Hyogo Framework for Action developed at the United Nations, International Strategy for Disaster Reduction World Conference on Disaster Reduction, in January 2005, Hyogo, Japan. The agreements that resulted frequently are referred to as coming from “the Framework” or the “Hyogo Framework.” Why should there be preparedness plans or risk management strategies? Why should communities spend time, energy and money on risk reduction activities? Oxfam America, an NGO which has been involved in many emergency/disaster mitigation or preparedness plans throughout the world, reports that communities which had implemented risk reduction (or preparedness) plans sustain less damage during disaster than communities without such planning. Much of the negative impact of disasters, they contend, can be significantly reduced with proper planning and training. Residents recover more rapidly, fewer lives are lost, and children and the community are more resilient (Thompson, 2004). Cuba, as one of the sterling examples world-wide of risk reduction and preparedness, has experienced a dramatic reduction in human costs and physical devastation in the last few years since they made major efforts in reducing risks and developing a “culture of safety”. As a small, poor country located in the mouth of the Caribbean, Cuba experiences frequent destructive hurricanes. Because of the human and physical toll that storms have taken over the years, residents have developed comprehensive risk-reduction strategies and have had very positive results. Hundreds of deaths had been attributed to hurricanes in Cuba prior to 1996, but in the years between 1996 and 2002 six major hurricanes hit Cuba and a total of only sixteen people died. In contrast, when Hurricane Isabel hit the US in September 2003, it was directly responsible for twenty-two deaths and indirectly responsible for six more from that one storm (Thompson 2004). And we all remember Katrina in 2005, with over 1,800 deaths. The areas hit hardest by Katrina had inadequate or nonexistent preparedness plans and mitigation strategies. But there are more success stories because people knew what to do. Amanda Ripley, the award-winning Time Magazine reporter and author describes the fate of two cities in Southeast Asia during the 2004 tsunami. One suffered a high percentage of casualties and the other very minimal casualties—(some reports mention seven people who died; others report that there were no deaths). Both villages were located near the epicenter of the earthquake that set off the tsunami. Jantang was a coastal village on the northern coast of Sumatra. Residents felt the ground shake and about

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twenty minutes later a wall of water forty-five to sixty feet high engulfed the village. All of the village’s structures were destroyed and over 50 percent of the people were killed. Langi, on the island of Simeulue, was even closer to the epicenter. Residents had only eight minutes after they felt the shaking—the shortest interval between the earthquake and tsunami anywhere. Waves reached thirty to forty-five feet, slightly less high than Jantang, but still deadly and, as in Jantang, all the village’s buildings were destroyed. But unlike Jantang, where residents did not leave the village, the 800-person population in Langi fled to higher ground and stayed there. One hundred percent (or close to 100 percent) of the population survived. When asked why they all ran the answer was: that’s what they did in that village. In the early part of the 1900s the island had experienced a devastating tsunami that killed some 70 percent of the villagers. From that time on the culture of the village changed. Whenever an earthquake struck, everyone—the old, the young and the in-between—all ran to high ground. That was the tradition, no matter what (Ripley, 2008). They had a plan: they had developed a “culture of safety.” Other communities have had a plan—also with good results. Take the example of the village of San Jose Costa Rica, El Salvador. In January 2001 a powerful earthquake shook that village. Houses collapsed, many residents suffered broken bones and a four-year-old girl was killed. In addition, the main road—a vital link to the outside world—was destroyed, so for a time the community was cut off from outside help and village people had to rely on their own limited skills and resources. Determined not to let future earthquakes, hurricanes and other natural events become full-scale disasters again, the people of San Jose worked to develop a riskreduction plan. They developed emergency communications, trained community members in first aid and other skills essential for first responders and the community held drills to simulate emergencies. Four years later in October 2005, Hurricane Stan pounded El Salvador. San Jose Costa Rica’s preparations resulted in no deaths or serious injuries and vital links to main roadways were reopened in a short time. In the words of Claudia Dalila Sanchez, a resident of San Jose, …the difference with Stan was that we were organized. After the earthquake, people didn't have the consciousness to help each other, but after Stan the community was united…. (Stevens, 2006: 2).

What are the key factors in helping a community be ready for disaster? Oxfam America argues that strengthening community capacity, strong coordination of local actors and investing in social capital are factors that

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determine successful community risk reduction and preparedness (Thompson 2004). Not only must there be physical preparedness— something tangible—but the intangibles are very important also. In discussing a culture of safety and thinking of “intangibles”, Oxfam America describes the surprise of a foreigner living in Havana in 1996, when Hurricane Georges was about to hit Cuba. A steady stream of neighbors were going in and out of the foreigner's apartment helping them prepare, giving them advice on what they needed to do and answering any questions they might have. As the foreigner describes it: Everyone in the apartment building was out helping to tape up the windows in the entryway. The neighborhood representative from the Federation of Cuban Women was out checking on her “vulnerable population” to see how they were doing. The community doctor was checking on patients in the neighborhood, determining if anyone needed to be moved to a hospital as a precautionary measure….Everyone, even the children, knew what to do. (Thompson & Gaviria, 2004: 36)

In writing her book Amanda Ripley interviewed numerous people who had experienced disaster in many forms. Some of those survived because of good preplanning, and not only did they have a higher chance of survival, but in her analysis their recovery was made easier also. She states that People who knew where the stairwells were in the World Trade Center were less likely to get injured or have long-term health problems. That’s partly because they had the training they needed to take action under extreme stress and later they could take comfort in their own competence. The same is true with police officers or firefighters. If they have the skills they need, they not only have a higher chance of survival; they fare better psychologically after the crisis. They saved themselves once; they can do it again. (Ripley, 2008; 71)

Schools have a responsibility to keep children, staff, and visitors safe. But schools are also where children are the most vulnerable when disaster strikes. In announcing the “Disaster Risk Reduction Begins at School” Campaign, Salvano Briceno, Director of the United Nations’ International Strategy for Disaster Reduction, writes: When a natural hazard strikes, children are among the most vulnerable population group, especially those attending school in times of disaster. Disasters such as the October 2005, earthquake in Pakistan, where over 16,000 children died in schools that collapsed or the…mudslide on Leyte Island in the Philippines, where more than 200 school children

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Of the estimated 70,000 people killed in the May 2008 earthquake in China, more than 11,000 of those were teachers and pupils trapped inside some 7,000 schools that collapsed (O’Donnell, 2008). Schools don’t have to be traps for children, however. Whereas many countries do not have adequate construction regulations for schools, and others are missing adequate construction inspectors, there are examples of school directors taking the responsibility, themselves, to provide safer school structures. Principal Ye Zhiping of Sangzao Middle School in An County, Sichuan Province, China, took three years to renovate his school that had been built in 1983. An County was one of the hardest-hit areas of the earthquake. Toilets had been rebuilt in Sangzao Middle School; balconies and stairwells reinforced, and monthly emergency evacuation drills were introduced. None of the 2,323 children in the Middle School were injured during the earthquake, but a nearby school lost all of its children. Principal Ye Zhiping sadly informed reporters that in the 1980s some schools had been built with great speed, architectural standards were low and often flimsy materials were used for walls and windows. But, in a more hopeful tone, he said that in the 1990s, things changed. Among other things, standards were upgraded and it became a basic requirement to have two exits in schools (O’Donnell, 2008). Because children are among the most vulnerable population groups and are also the hope of any community, the UN International Strategy for Disaster Reduction (UN/ISDR) developed an international campaign in 2005: Disaster Risk Reduction Begins at School. The focus was on disaster risk-reduction education and safer school facilities. With this effort, they gathered together 168 governments, that adopted a ten-year plan to make the world safer from natural disasters. The Hyogo Framework accepted by all attendees at the meeting, specifies guiding principles, priorities for action and practical means for achieving disaster resilience in vulnerable communities. Each of the participating governments reported one year later on their achievements in meeting the goals of the Framework. Several countries concentrated on raising awareness within school communities. Cape Verde, for instance, “institutionalized” disaster risk-reduction in schools; Mozambique trained teachers to help mainstream disaster risk-reduction into school curricula; the UK implemented a project through the Internet to educate students about how to prepare for and respond to a number of hazards (Valency, 2007).

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Other countries concentrated on building a culture of prevention: Costa Rica developed a national education plan for disaster risk reduction; Iran instituted annual “Earthquake and Safety” drills in all schools across the country; France taught students prevention and protective measures against major risks; in the US the Red Cross Disaster Education Program was institutionalized into a nationwide curriculum (Ibid.). A third emphasis, that of making school buildings safer, was the focus for the last group of countries: Nepal implemented a community-based program where masons were trained in earthquake-resistant construction; Peru developed a simple practical way to reduce school buildings’ seismic vulnerability; India developed a project to help reduce vulnerability in schools in mountain areas; Japan developed national guidance on school retrofitting (Ibid.). Not only have individual governments worked toward disaster reduction, but other organizations also have. Save the Children Sweden, an NGO, has been a major actor in involving children in disaster reduction based on goals and objectives of the Framework. The intent of their work is to empower children and youth to become actively involved in their communities. Their organizational commitment to children as well as experience and history of international projects led them to develop a unique and effective Child-led Risk Reduction Project to meet the goals of the Hyogo Framework. They worked with children in several Asian countries that had histories of disaster devastation. In their excellent book, Child-led Disaster Risk Reduction: A Practical Guide, the authors give detailed examples that illustrate key components of the Framework and highlight methods to implement effective child-led disaster risk reduction. The descriptions of projects as well as the working examples and tools for implementation are graphic and very useful to a reader. The philosophy of Save the Children in directly involving children in risk-reduction activities is supported by the American Academy of Pediatrics: Disasters…are frightening for adults and can be equally, or even more, traumatic for children. Feelings of anxiety, sadness, confusion and fear are all normal reactions. However, if children are anxious, frightened, or confused for long periods of time, it can have devastating long-term emotional effects on their well-being…. In addition, their emotional responses are heightened by seeing their parents anxious or overwhelmed…… With the appropriate support and guidance, children can develop the skills and resiliency needed to deal with, overcome and possibly even grow from traumatic experiences. Children have the inherent potential for being wonderfully resilient, if given adequate support and counseling. Therefore, it is extremely important to

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Save the Children Sweden has found that children who participate in Child-led Disaster Risk Reduction projects have A greater capacity to cope with disasters; their sense of security is increased; their knowledge of the risks is developed; and their sense of control and survival potential is enhanced by knowing how to respond to disasters. (Benson & Bugge, 2007: 2)

Through examples of their work in six Asian countries, Save the Children, Sweden cites the following comments from children, after completing some of their projects in “Little Voices for Big Change”: Thailand – “At first we were worried that adults would not help us when we visited the community to gather information. But it turned out that they were very cooperative. Many of them say that the map is very helpful.” Sri Lanka – “Of course the risks were there before, but we did not have the knowledge to identify them.” Vietnam – “In school we learnt about disasters, and we participate in disaster risk reduction in our commune with the adults.” India – “We want to inform all the community members on knowledge and skills related to disaster preparedness.” Philippines – “I’m not scared of any disasters anymore, because I already know what to do.” Indonesia – “We can teach the community and government about the issues that children face during disasters—we must share our experiences with them.” (Ibid.: 3–4)

In each community, Save the Children Sweden developed community partners. Some of those partners were schools; others were non-school community organizations. Working together goals were accomplished. In all cases, however, children took the lead. Save the Children believes that children should be centrally engaged in reducing the risks of disaster in order that the negative impacts on communities are significantly reduced. Children have the capacity to contribute, bring a unique perspective to disaster risk reduction preparations and have the right to play a part in making themselves and their communities safer. (Ibid.: 2)

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Of course, children need the guidance and support of adults in the community. To make disaster risk-reduction a real community supported event and to assist children in their work, it is absolutely necessary for adults to be involved. But key to the integrity of child-led disaster riskreduction, children must be major players. The understanding, skills and experience of adults can be used in further developing children’s skills, but the knowledge, skills and experience of children as children are vital to the process as well as the outcome. How does the saying go: the outcome is only as good as the process? How can schools help in developing a preparedness plan? The work of the International Strategy for Disaster Reduction in response to the Hyogo Framework gives us some clues, as does Save the Children Sweden. Because children live for so many hours during the week at school and because schools are in such a unique position to provide children with structure and continuity, they are in a perfect position to give leadership in developing risk reduction/preparedness plans. In thinking about any disaster preparedness plan, one must consider several component parts. Planners must: x Find out what hazards are possible and most likely to occur in a particular area; x Mitigate as many structural and nonstructural hazards as possible to make the facilities/area as safe as possible prior to disaster; x Decide what response is needed and who will perform the key activities during that crucial time; x Gather together supplies for the seventy-two hours that emergency planners estimate might take first responders to give assistance; x Develop a training plan that will train everyone involved in the plan including parents; x Determine what will be needed for children, staff, volunteers and parents in recovery. Children of all ages can help, although adults will be ultimately responsible for the plan and take the leadership roles in its implementation. The following is not an exhaustive listing of possible activities, but it gives an idea of some of the things that children can do to become involved in developing a preparedness plan. Younger children (preschool, kindergarten, early elementary) can do things such as: x Learn where they will go in an emergency; decide what they will do while waiting to get back to their classrooms; help find

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hazards inside and outside the school that could be mitigated to improve safety; learn more about disasters that might strike their community as well as those that have happened in the past; and devise ways they can educate their friends, family and the community about what they’re learning. And—most important— practice disaster response plans so they become automatic. Middle-school children can do such things as: x Help decide where they could go in case of emergency; help decide what supplies they will need for the seventy-two-hour waiting time; find out about some of the disasters that might strike their community and what they should do when an event occurs; look around the community to find things or areas that are unsafe and report them to community or school officials; take a first aid course; develop various ways to educate friends, family and the community about what they’re learning. And—again, most important—practice response plans so they become automatic. Older children can do such things as: x Interview community experts on possible disasters and the probability of their occurring in the area; talk with community organizations to enroll them as partners with students and school personnel in developing a preparedness plan; talk with community and political leaders to get their approval and participation in developing a plan; discuss what actions would need to be taken in the response phase of a disaster; study and recommend who should be responsible and who should help in the different activities that need to take place during response; calculate the amount of supplies that will be needed for the seventy-two-hour anticipated waiting period; assist in actually writing the plan; help devise and implement periodic practice of the response that has been developed. And, again, practice the response plan so that it becomes automatic. In discussing preparedness for disaster I have mentioned the important elements of mitigation, preparedness and response, but recovery is equally important. Actually, the psychological effects of war, violence and natural disasters can be more damaging than the physical nature of an event. For children, such incidents can have a devastating impact, because the developing brain of the young child is especially vulnerable (Karr,

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1997). All experiences change the brain—good experiences as well as bad events. The brain is designed to respond to stimulation, and the stimulation associated with fear and trauma can be particularly devastating (Perry, 2001). Yes, children are resilient, but they need adult help to support their efforts and struggles. Schools are not only where children spend many of their waking hours, but equally important, schools have a socializing and normalizing influence on children’s lives. Schools, after the family, have the greatest capacity for providing children with a range of experiences which protect them and serve in a supportive capacity (Johnson, 1998). Schools can play key roles in recovery because, as Judith Herman makes so clear from her extensive work with traumatized people, disempowerment and disconnection from others are the core experiences in psychological trauma. She says that recovery is based on relationships, and those can’t occur in isolation (Herman, 1997). From the bus picking up the children in the morning, to inside and outside activities, nutrition, health and social services, children are together at school and can find strength and comfort in that setting. Relationships can be developed and staff have opportunities to be sensitive to children’s needs. James Garbarino with his extensive research with children in war zones, confirms Herman’s thesis with his discussion of the vital importance of the relationship teachers have with their children: the caring, the understanding, the ability to listen without judgment, the emotional availability for their students (Garbarino, 1992). Virginia Axiline, in her extensive work with play therapy, has also found that it is the relationship between the teacher and pupils that is established that develops sound mental health for all children—kindergarten through high school (Axiline, 1969). School staff need to help children learn to trust again, feel physically and emotionally safe, create a stable, predictable daily schedule. Children’s behaviors demonstrate how they are feeling and these behaviors may change after experiencing a traumatic event. Recognizing these changes gives adults opportunities to provide assistance. Disaster may cause children to be unusually quiet or unusually aggressive, appear detached, become easily upset, be angry, show fear of new situations, revert back to younger behaviors or have symptoms of illness. These are normal reactions to abnormal circumstances. In response, schools may want to provide special staffing patterns for a time. Limiting the number of adults to whom a child relates can assist in developing trust and attachment again. And schools may want to develop

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family groupings to assist this process. Good schools and programs for young children already provide many activities that are helpful for children who have survived disaster. But some things could be done with more intention. For instance in a preschool classroom, the sand or water table that is often placed against the back wall could be brought out into the room so children will notice it and be drawn to its soothing activities. The housekeeping corner could include more props that will enhance children’s playing out scenes from the event they have experienced and talk about them, if they are ready to do that (Cheal, 2002). Many opportunities should be available for children of all ages to tell their stories, express their fears, sadness, uncertainty and relief (Johnson, 1998). For young children this can be done through such things as talking, art activities, music, dramatic play, or the block corner. Because children may feel their lives are out of control, activities should be planned and materials made available that will help them feel in control again. Develop rituals—for they give something for children to hang onto and help them feel secure. Children want to be needed so giving them appropriate responsibilities can give them a sense of contribution. For older children teachers may want to give many opportunities for students to tell their stories through class discussions, role play, writing, music, drama productions, art activities, scientific research and sharing these with other students, family and the community. Good nutrition could be a challenge for children surviving a disaster. After a traumatic event children may not feel like eating, families may not be able to buy or prepare nutritious food or for some other reason children may come to school hungry. This is possible for older as well as younger children. School staff should be prepared by having extra quantities of nutritious food available that children especially enjoy. Make it available at many times during the day, fixed in attractive ways, in small enough pieces that children can eat it easily. Remember that children’s likes and dislikes may revert back to earlier tastes. Staff should also be particularly sensitive to children’s health needs. They may have been injured during the event and it might not have been noticed or families may not have had the opportunity to take children for their normal or needed health check-ups. Staff should be particularly aware of traumatic reminders for older as well as younger children, i.e. those things that happen that may remind the child of the disastrous event. If, for instance, a child has experienced the devastation of a flood, he or she may experience particular stress when it begins to rain. Children may be helped to see water as a resource rather

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than as a destructive force. Wind might trigger memories of a frightening hurricane. Secondary stressors can cause continuing trauma. If a child’s home has been lost and the family is required to find other housing, the child may adapt well to the first move. But by the time the family has moved several times from the emergency shelter to a relative’s home and then to a more permanent location, the child’s adapting capabilities may become strained. That becomes a secondary stressor. Some children appear to return to normal within a few days, while others take weeks or months. Even after a year or two, some children’s behavior may show that they are still dealing with the effects of the disaster. If a child’s fears, worries or behavior problems continue or increase, staff should suggest that parents consult a mental health counselor, social worker, religious person or community leader who can give assistance. Some of these resources might also be used at school to discuss with staff and/or parents on how to best work with their children. A plan on how to work with children after disaster is very important but equally important is the training of staff. Training on what to do and how to respond to children should include all staff and volunteers: bus drivers, cooks, janitors, administrators, health, social service personnel, as well as teaching staff—all who have interactions with children and their families. Staff must be prepared and trained so that they know how to apply their usual skills to trauma situations (Johnson, 1998). They may also want to develop additional skills in dealing with what they hear and see as well as being able to alert others to important observations. Parents frequently do not have the opportunity to defuse some of their own fear and anxiety through talking about the event with other adults. Schools could provide space for parents to relax and talk together. Parent meetings with outside experts in mental health or other topics of interest would allow them opportunities to see how other families are dealing with the crisis as well as to gather specific information that might help them in getting their own lives back together. They might want to know how to work with their children after the experiences of disaster and teachers could share with them some of the healing activities that take place in the classroom. Parents participating in organized projects for the community can be ways to contribute to someone else’s wellbeing, socialize with others and help them focus on something outside their own challenges. Family get-togethers for fun are also good opportunities for sharing experiences. Schools may want to organize “fun nights” or have a series of “creative nights” where families could get together at school and have opportunities for art activities, develop puppet shows, write and produce

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dramatic presentations, participate in creative dance events or in other ways find creative opportunities to express their emotions. Activities can continue for a short period of time after a disastrous event or can continue for longer times—depending on the needs and desires of participants. A community theater group organized in lower Manhattan immediately after September 11 continues seven-and-a-half years later, giving presentations in the immediate community and throughout the area (Theater Arts against Political Violence). Staff can work best with children if they have been given opportunities to do their own personal healing. They should have opportunity to talk about their experiences, share stories, cry and laugh, feel sad, frustrated and relieved. Opportunities and spaces for staff to talk together or be alone should be provided, if needed. Schools might also provide opportunities for staff to express themselves through discussions, art, music, writing, drama or other activities. Several specifically scheduled optional staff meetings can create occasions to work through some of these issues, formalize the healing process and let staff know they are being supported. Depending on the circumstances, an outside person may be brought in to conduct these sessions. Support for staff should continue for as long as it is needed. If staff need personal mental health assistance they should be encouraged to make those arrangements. The school may want to give special assistance for this to take place in the form of grants, loans, time off or other supportive actions. Children are some of the most vulnerable in times of disaster, but they can also play a major role in saving lives. On a beach in Thailand in December 2004, the 10-year-old British schoolgirl, Tilly Smith, showed the world that children are not “passive victims.” Enjoying the beach that sunny afternoon, she noticed the sea retreating and remembered recent classroom discussions back home in Britain. She quickly told her mother she thought a tsunami was coming and together they were instrumental in saving the lives of everyone on the beach (Ripley, 2008). Schools can help greatly in rebuilding sustainable communities for children and families after disaster. Using our creativity and imagination we can forge new alliances, develop new partners and find new ways to use available resources to save lives and make communities dynamic again.

CHAPTER THIRTEEN CHILD PARTICIPATION: A CONCEPT TO CONSIDER— LESSONS LEARNT FROM ECUADOR 1 Introduction Children 2 and youth aged below twenty-five years comprise more than half the world’s population; are a dynamic part of the world’s human resources; make tremendous contributions to society at all levels and their participation provides an important “window of opportunity” to promote well-being (Rajani, 2001: 134). The purpose of this paper is to present an example in which children played an important role in (re)building a sustainable community. It presents the key findings of a study that examined how child participation (CP) was understood and implemented and to what extent it influenced children’s well-being. Nueva Prosperina, an urban settlement in a disaster 3 -prone area in Guayaquil (Ecuador), has been chosen as an paradigmatic case for this paper, since it proved that, if implemented well, child participation can significantly enhance the process of (re)building sustainable communities. This paper begins by contextualizing the study and briefly explaining the rationale and the mixed-methodology employed to systematically analyze the process of adopting a child-centered participatory approach. This is followed by a description of the main actors in the community, their perceptions and understanding of what “child participation” comprises and the motive for employing a participatory approach. Subsequently the paper briefly analyzes how child participation was implemented and it portrays the nine key findings and related lessons learnt. The paper concludes by identifying to what extent child participation has impacted adolescents’ well-being.

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The Context and Rationale of the Study Ecuador 4 has an estimated population of 13.9 million (July 2008), of which 38.3 percent is living below the poverty line (WorldFactBook, 2008). Even by Latin American standards the low human development rate and relatively high levels of inequality (gini-index 46 5 ) form striking characteristics for a country with fertile soil and abundant natural resources. Politically the country has been unstable: there have been eight presidents since 1996 and it experienced one of the continent’s worst economic crises in 1999 which caused hyperinflation and the breakdown of its banking sector (ICG, 2007). The intra-societal socio-economic disparities have generated progressive social marginalization, which has an extremely negative impact on Ecuadorian children—that is, the population aged under 18—since 63 percent of these belong to families living under the poverty line (Rivera Velez, 2003). Ecuador’s geographic location and climatic conditions (largely a tropical climate) renders its vulnerable to many seasonal natural disasters. It is frequently struck by earthquakes and other natural hazards such as landslides; volcanic activity (1999); floods and periodic droughts (1975, 1983, 1995, 1998 and 2008). Many rural residents are forced to migrate to the cities in search of work and economic movement due to harsh living conditions and climate-related environmental changes etc. (Diario HOY, 2001). However, the lack of social networks, employment and basic services makes the rural migrants extremely vulnerable in the urban marginal suburbs 6 . From 2002 to 2007 approximately 535,000 Ecuadorians left the country, mainly to go to Spain, Italy and the US to find work and often remit portions of their salary back home (ICG, 2007; INEC, 2008). This study was carried out in Guayaquil, the most populous (estimated population: 2.5 to 3 million) and commercial city in Ecuador. The city has undergone progressive drastic space segmentation, which has resulted in more than 80 percent of the population residing in the so-called informal urban establishments 7 (Scoggin, Hurtado & Portaluppi, 2005). These areas are typically vulnerable to “natural” hazards (mainly floods, fires and landslides). They have limited or no access to public services and the poor income-earning capacity places households in situations of poverty and extreme poverty (Ibid.). Guayaquil’s informal urban settlements are struck by a multitude of life-threatening occurrences every year. One might question why the plight of this vulnerable population rarely features in national or international news: this can be explained by the regularity and frequency of these occurrences which have served to

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“normalize” the constant vulnerability of this marginalized population (Wisner, 2003:135). Waterborne, fire and social hazards trigger these (small) “on-going everyday disasters” which are local events and do not usually receive official external relief efforts. This finding is in line with some Latin American and African research such as Gellert (1999) and Holloway (2003) but is contrary to certain western literature and classifications which often refer to disasters as the formally recorded smaller number of “larger events” (CRED, EM-DAT database). Nevertheless the “on-going everyday disasters” are currently increasingly viewed as the expected consequences of poor risk management, which is the outcome of interconnected social and physical processes that can be either mitigated or reduced (UNISDR, 2004; DFID, 2005; UNISDR, 2006). The first dwellings of Nueva Prosperina, the urban settlement in which the research was performed, were created in 1985. It currently has a population of 38,000 inhabitants who were originally from different areas in the city of Guayaquil and from various counties and provinces throughout the country (PlanEcuador, 2007). According to an analysis done by the Municipality of Guayaquil, approximately half of the inhabitants (19,477) are under nineteen years of age; 2 percent of the population between the ages of fifteen and twenty-four are illiterate; and 8 percent of the children aged between twelve and seventeen work and are not in education or training (SiS, 2008). Since the late 1970s the involvement/participation and key role of community members has been emphasized when working towards reducing vulnerabilities and increasing levels of development 8 in disaster prone areas (Twigg et al., 2007; UNISDR, 2006; Ackermann et al., 2003). Through participation people are enabled to explain their vulnerabilities and it permits them to tackle challenges both individually and collectively. It can strengthen communities to work together and it builds confidence, skills, capacity to cooperate, awareness and critical appraisal (Twigg, 2004). The developmental approach (Rajani, 2001) for improving children’s wellbeing is increasingly being used, since this focuses on investing in young people’s assets (strengthening capacities and reducing vulnerabilities). This child-centered community development, with child participation as the key element, is seen as an effective approach for sustainable people-centered development (Plan, 2006). Child participation can be described as “a process in which children and youth engage with other people around issues that concern their individual and collective life conditions” (Chawla, 2001: 9). It has been

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promoted strongly through the United Nations Convention on the Rights of the Child (UNCRC, 1989) and can provide children with safe and supportive environments in which they are allowed to partake in and influence processes and activities which will permit them to increase their capacities, enlarge their access to opportunities and improve their wellbeing (Hart, 2004; Lansdown, 2005). This can be seen as a virtuous sequence since the more one participates meaningfully, the more experienced, competent and confident one becomes, which in turn— thanks to increased development—puts one in a position to participate more effectively (see Figure 13.1). improved development

development more effective participation participation

Figure 13.1. The Virtuous Sequence of Participation and Development. (Figure derived from Rajani 2001: 9)

Although children have always actively participated in the home, in school, in work and in communities, their ideas, opinions and actions have not always been recognized and respected. Traditionally organizations targeted their interventions at parents in the belief that benefits would trickle down to children; currently, however, they are more often targeting children directly through child participation (Van Beers, 2002). These formal processes of participation deliberately create structures for children’s engagement in constructing meaningful and shared decisionmaking with the aim of improving children’s well-being (Chawla, 2001; Rajani, 2001). Child-focused agencies are supporting child-participatory programming in building sustainable communities, since it is seen as a strategy to increase children’s personal and social capacities; 9 it has a positive influence on the outlooks and attitudes of children and adults in communities and it leads to more effective program results (Hart, 2004; Ackermann et al., 2003; Cussiánovic et al., 2002; Santos Pais, 1999). Nevertheless Naker stresses that “despite the rhetoric (however), many practitioners are not confident about how to practice these (child participatory) ideals….” He then identifies “the gap between what we would like to do (with child participation), and what we are able to do in practice” (2007: 147).

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To this end, the rationale for the study being presented in this paper was to learn from and reflect on different child participatory processes. Given that “child participation” is a relatively new concept, there can be no doubt about the need for further studies of this nature (Jabry, 2005; Mitchell & Haynes, 2007). The study was executed in an area where a network of eleven organizations are closely cooperating and are referred to as La RED de Desarrollo Comunitario Centrado en la Niñez y la Adolescencia 10 (the RED). The network consists of thirty field workers who on a weekly basis work with ten groups of approximately 800 children in total and reaching about 400 to 500 families. The philosophy of the network of organizations working in Nueva Prosperina is that child-centered community development (in which child participation forms the central element) supports children, their families, the community and social organizations in the community to guarantee their own protection, survival and quality of life. Based on this philosophy and rationale, the study was implemented in the community of Nueva Prosperina. Objectives and Methodology This qualitative research was performed in three phases in which mixed-methods of data collection were employed. The approach was chosen to capture the complexity of the concept (Flick, 2002). The objectives of the study were firstly to get an understanding of the meaning and concept of child participation in theory and in practice and secondly to evaluate strengths and challenges of such an approach. 11 The first objective was reached by collecting data from representatives of all the key actors of the community (the children, adolescents and adults). However, to be able to attain the second objective it was necessary to focus on a smaller and more specifically defined research population. Therefore the RED chose two groups of adolescents, 12 in total comprising sixty young people aged from twelve to eighteen years, as the representative research population. The case study allowed a more comprehensive understanding of how implementation took place and what the impact was of this participatory process. The first phase of research focused on a literature review, secondary data collection and observations. Throughout all phases (lasting for seven months) weekly participation (and observations) in the programs of the RED took place. This made it possible to familiarize with the context, to

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get to know the children, the community and the organizations and to build a relationship of trust. In the second phase of research the primary data were collected according to Yin’s method of multiple sources of evidence. The use of multiple sources of evidence allowed the investigator to address a broader range of historical, attitudinal and behavioral issues (Yin, 2003). In total thirty-seven cultural interviews were held which were divided in the following way: fifteen interviews with facilitators (field workers), ten with adolescents and twelve with adult community members. Furthermore, two focus groups took place with facilitators, two focus groups with adolescents and an afternoon of informal activities (e.g. theater and drawing) was done with a group of children aged between six and eleven. Two photo activities were organized with the groups of adolescents, which afforded them the opportunity to express their vision of their community and the changes that took place. Finally, forty-six questionnaires were completed by adolescents (a 77 percent response) concerning the impact of child participation on their lives and by sixteen facilitators working with the adolescents 13 (a 73 percent response) concerning the institutional motives for the project and the levels of CP. In phase three the data were processed, translated and analyzed. Defining Child Participation in a Disaster-Prone Urban Area Determining what is meant by “child participation” at a practical level is recognized to be crucial for implementing it meaningfully (Naker, 2007: 148). The following sub-sections describe how child participation was perceived, defined and described by the main actors involved in the process namely the children, the adolescents and the adults (parents, teachers, priests and community leaders). Children. Participation, as a concept, is an abstract term and was therefore difficult for the children, between six and ten years, to visualize or explain. Participation through their eyes relates to how they already participate in their daily lives and was directly linked to doing activities in the family, at school, in the neighborhood and in different programs the NGOs were running. These activities vary from doing different chores in and around the house, to taking care of their younger siblings, to reading novels and watching soaps on TV with their mother, to playing games with friends, to learning and having fun in the activities of the RED. It is interesting to note that, rather than taking an active role in all aspects of the decision-making process, children view their own participation as

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something akin to collaboration i.e. participating in activities that have been planned and designed for them. Adolescents. When describing child participation in a few words, adolescents mentioned the following: 14 to collaborate, get together, give your opinion, happiness, enthusiasm, ideas, thoughts, willpower, to share, to help, to act, to play, understanding, to transfer, comradeship, respect, to understand, a group, to take part, to intervene, goodness, esteem, consideration, responsibility, kindness, tenderness, confidence, entertainment, activity, close/joined, cooperate, distraction and to express oneself.

The adolescents explained that participation took place when they were meeting in groups, meeting with friends and making friends. This was only possible if they were in a space which was safe and in which daily experiences could be shared. In addition it was also strongly associated with doing any kind of activity such as being creative (drawing, painting, making jewelry) and expressing themselves on whatever they feel should be known. It also includes participating in the family, collaborating, helping their mothers, helping the neighbors, doing sports, chatting and finally participating in the activities of the RED. One adolescent described it in the following way: Child participation is that every child puts his or her dreams and ideas in an objective so that they can realize it in practice but always with faith and values and by being here to make happen what can be done. But to be able to do that the children need to lose their “embarrassment” and “fear” to express themselves to the outside world and to the public. Because expressing our ideas to the public is what we need. It means that we say our names, that we express what we feel and that we are not scared of doing that. (Sixteen-year-old male respondent)

Adolescents appear to respect that they participate in the sense that they do not only collaborate but are also consulted on many issues that directly affect their lives. However, in daily practice the range of issues that they are consulted on is often limited and there are some gaps between consultation and active participation in all components of the decisionmaking process. Adults. Most adults identified child participation as something very important for the development of the child, the family and the community. A male respondent described it as follows: “Child participation is to involve everybody and share our dreams together.” In addition adults identified child participation as “a tool to unlock the gifts and talents

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children and adolescents have,” which they felt was interlinked with paying attention to children’s specific needs and giving them ownership. Although adults respect the importance of child participation in theory, in daily practice, the vehicle to apply this rhetoric was not always evidenced or in place in reality. The network of NGOs—The RED. A dual understanding of child participation was identified when discussing the concept with “the RED” (see Figure 13.2).

I. An End

A Human Right

II. A Means to an end

A process of social change

Child Participation as:

Figure 13.2. The RED’s Dual Understanding of Child Participation.

The first understanding reflects child participation as “an end itself” (i.e. a human right), and implies that a child or adolescent has an inborn right to participate in all activities that impact on their well-being. In this approach child participation is aligned with receiving information and decision-making. Respondents explain that this approach requires four main components that allow a cycle of child participation to take place (see Figure 13.3). The components are first: receiving information, creating an opinion, expressing and negotiating it, implementing it and finally evaluating and redirecting the decision. Receive information

Evaluate and re-direct decisions

Create an opinion, express the opinion, listen and be listened to, negotiate and make a decision

Implement decisions

Figure 13.3. The Components of the Cycle of Child Participation

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The second understanding, highlighted by most respondents, explained child participation as a strategy/an instrument and as a way of acting which is part of and a contribution to a process of social change. More specifically these processes of social change can be divided in three main pillars, namely: human development, community development and political change. Child participation as a means to human development can be seen as an educative process for both the child and the adult. Childhood and adolescence are essential phases in life in which values, potential and capacities are developed. Respondents saw child participation as a tool to give children and adolescents the freedom and opportunity to be a children or adolescents: to propose, to communicate, to learn, to have fun, to collaborate, to make mistakes, to dream and to make dreams come true. Child participation as a means to community development starts by recognizing the child as an active community member. Respondents explained that it empowers the children to construct, implement and evaluate change in their area based on issues they feel are most urgent. It was seen as going hand in hand with human development since they both trigger children to be ‘child protagonists’ which allows them to take a leading role in their own development and that of their society. Finally, child participation as a means to political change is often referred to as “civic participation”, which can take place on an (inter-) institutional, local, municipal and governmental level. It was identified as one of the aims of the network but seen as a priority for a later phase of community development and essential to allow for sustainable change to take place. The Institutional Motive for a Participatory Approach In order to understand how child participation can be used as a concept in building sustainable communities, the institutional motive for using such an approach was assessed, by means of a survey filled in by the fieldworkers. Lansdown (2001: 11) identifies three main categories of meaningful approaches to working with children and adolescents in community development namely: 1) consultative processes which aim to collect information; 2) participative initiatives which aim to strengthen democratic processes; and finally 3) processes which promote selfadvocacy. These categories were included in the survey of which the outcome indicated that all the facilitators (100 percent) working in the area

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felt that the aim of using child participation in building sustainable communities was promoting self-advocacy and was rooted in the commitment to allow children to define their situation and to develop strategies for the changes they wished to pursue. In addition the survey measured Rocha’s ladder of empowerment, 15 to be able to identify the so-called focus and locus of the RED’s participatory approach. The majority of the respondents (69 percent) indicated that the focus of their approach in building a sustainable community was what Rocha identifies as socio-political empowerment. This means that the focus of their work is the individual and the community; their goal—the locus—is a collaborative struggle to provoke social, political and economic change. Thirteen percent of the respondents indicated that mediated empowerment was most applicable to the work they were doing in which the locus is the individual and community and the focus is to provide information and knowledge and let partnership between both take place. The Implementation of Child Participation When the NGOs that comprise the RED agreed to cooperate they also established a common social development tool and methodology to implement child participation in a meaningful way. This is referred to as “System of Sustainable Self-Development of Communities” (SAS/SASito) 16 or “Child-Centered Community Development” (PlanInternational, 2003). This methodology of planning, monitoring and evaluation of child-centered community development, is described as an inclusive, non-discriminatory approach that focuses on the child in his/her context, reflects good development practice and incorporates qualities that are important for effective and sustainable people-centered development (Plan, 2006). It aims to support children, their families, the community and social organizations to guarantee their own survival, quality of life, protection and participation of children and youth. The methodology has five phases in which the first phase prepares the community for change and aims to mobilize the community to design a “child-centered community development plan” (Scoggin, Hurtado & Portaluppi, 2005). Spaces were created in which children could communicate and be listened to; key activities were organized to provide and share knowledge; and agreements were made with all participants on the principles and contents of the Conventions on the Rights of the Child.

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The second phase seeks to understand the past and the present of the children and adolescents through a situation assessment 17 in which risks, vulnerabilities, community problems and solutions were identified. During this participatory assessment, the children and community identified environmental (waterborne and fire) and social hazards as the two main risks. The adolescents identified the unhealthy and polluted environment as one of the major issues which were worsened due to problems such as low quality of health services, little (if any) access to flora/fauna and few (if any) recreational areas. In addition they identified that the main social problem affection children in their community were child labor, family problems, low quality of education, high school drop-out rates, lack of public services and the many children and adolescents who are involved in deviant behavior (e.g. gangs, drugs, alcoholism and delinquency) (Scoggin, Hurtado & Portaluppi, 2005; Plan-Ecuador, 2007). The third phase of the process is to establish a vision of the future with the children and adolescents, to be used as the principal ingredient of the methodology since it is used as the conductive force of the planning, monitoring and evaluation process. The children and adolescents created the following vision of their future community: The situation we dream of is one in which boys, girls and adolescents from Nueva Prosperina are happy, play and attend schools that are in good condition, with trained teachers who teach well and treat children with care and affection; one in which there is love and respect within families where parents listen to their sons and daughters and are role models of good behavior; where our area is safe and clean with recreational, artistic, cultural and educative areas, with paved streets and good houses. We would also have high quality health services and preventable illnesses will not be present, while we will all exercise our rights and obligations. (Scoggin, Hurtado & Portaluppi, 2005: 19)

Stage four conducts the community, families and children towards converting their vision of the future and their dreams, into reality. During the two years the RED worked with the adolescents, numerous projects were conducted to address the problems which they identified in the second phase. In a number of projects the adolescents collaborated in activities related to facing the rubbish, health and the environmental problems of their community. In addition, weekends were organized educating the adolescents on for example disaster prevention and dealing with environmental problems. The adolescents identified “working brigades” through which a successful health campaign was organized. Doctors were present during the health campaign to give aid and health

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advice. Furthermore, with the help of military personnel, an environmental cleaning exercise was performed and community awareness was raised. Finally, stage five guides participants towards learning from actions taken in the previous stages in a process of evaluation. This compares the expected transformation in the rights of the child with the results of the projects and the benefits gained from executing the community development plan. All emphasis is put on evaluating what kind of impact has been made on the lives of the children and adolescents and how their rights have been respected and enhanced. Bringing Terms Together Bringing together all the terms and interpretations of how the majority of the respondents understood child participation in building a sustainable community, leads us to the following figure:

Main phases I. Creation of spaces & opportunities for participation; p II. Identification of main issues that concern children’s daily lives; p III. Provision of information p IV. Activities should be created by children (where needed guided by adults).

Main objectives I. To exercise Human Rights; II. Human development: a. expression of ideas & opinions b. development of capacities c. mutual communication, learning & understanding;

Main outcome: Ĺ Well-being on a - personal level - family level - community level

III. Community Development a. Unification, cooperation and joint participation; IV. Political change.

Figure 13.4. The Process of Child Participation in Building Sustainable Communities with Organizations. (Derived and transformed from de Milliano 2008, 40)

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Participation is perceived and understood as a process involving various main phases of action, main objectives and producing various outcomes. The seemingly mechanical steps are flexible and reciprocal and are based on a philosophical approach. In the first box, the four main phases of action (see Figure 13.4) the RED and the community create spaces and opportunities for child participation to take place. They then (step two) identify with the children and adolescents, their daily issues and concerns which should be based on what children like, do not like and wish/dream. On the basis of those issues (step three), children and adolescents receive information (from the organizations) to be able to create an opinion and make decisions and plans of action. Finally in step four they organize activities and where needed this is done in cooperation with the field workers. Steps two, three and four should be endogenous processes coming from the children themselves. The main objectives of those processes include: the children and adolescents are able to exercise their human rights (objective one); their capacities are developed through mutual communication which enables learning and understanding between children and adults to take place (objective two); and it encourages unification and cooperation within families and the community (objective three—community development). Political change (output four) is included as an intended objective but this is a longer-term impact that was not—and will not be—evidenced in the short or medium term. Ultimately these main phases of action and objectives lead to the main outcome which is and increased well-being on a community, family and personal level. Lessons Learnt The evaluation of the CP concept, as implemented by the RED in Nueva Prosperina towards (re)building a sustainable community for families and children, identified a number of important lessons. The evaluation was based on an analytical framework established from literature on the requisites for successful child participation including Chawla, 2001; Giertsen, 2001; Hart, 2004; Lansdown, 2001; and Rajani, 2001. The nine key findings were the result of the interviews, focus groups, surveys and weekly observations carried out over a period of seven months. The division of the following sub-sections is based on Chawla’s characteristics of effective projects for children’s participation (2001: 4).

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Entry and establishment of participatory programs. The first key finding of the study was the common approach and methodology chosen by the network of eleven organizations closely cooperating in the area. This stimulated working towards achieving common goals and supported the successful establishment and implementation of CP. All the NGO members in the network were convinced of the value of children’s participation and strongly supported and promoted the child-centered methodology they were implementing. In addition participation was taking place in the children’s own settings and based on their day-to-day lives, issues and interests. Fair and voluntary selection of participants took place since the NGOs used various recruitment strategies such house-to-house invitations, banners and local advertisements. They chose an accessible and central location (a school building) to have the weekly meetings and thereafter the adolescents jointly decided on the schedule of meetings which best suited their daily timetables. The joint approach/methodology, the common understanding and the accessibility for the community and children played an important role in the successful entry and establishment process. Secondly, throughout the different phases, enough time was allowed for that implementation to be meaningful. During the first two phases of the implementation process, freedom was given to the participants to decide and validate the decision-making process. For that reason the field workers spent almost a year implementing the first phase of the process, which prepares the community for change, for which they initially had only planned a few weeks. This period allowed the field workers to understand what children’s participation meant, how the children were already participating and how best to let children and adolescents participate. This finding is consistent with the literature (Chawla, 2001; Giertsen, 2001) that also identifies this as a crucial step in the CP process. Moreover, it gave the fieldworkers an opportunity to get to know the children, their ages and personalities and to build a relationship of friendship and trust. The group of field workers felt that they could not advance to the second phase as quickly as they had planned since the interests of the boys, girls and adolescents had been focused on friendship, personal development and the strengthening of the participant groups. This foundation was vital to establish coherence and jointly focus on the analysis of the communities’ risks, vulnerabilities, problems, their causes and their consequences. Moreover, it formed the basis for further projects and ensured that the projects were based on the children’s own issues and interests.

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Social support. The third key finding is the situation assessment and community development plan, jointly performed and created by the children, adolescents and adults of the community which is an important milestone reached in a country where children are often the first to be excluded as active members of civil society. The field workers felt it was very important that the situation assessment was based on open questions which made it easier to recognize the experiences and the knowledge the adolescents have about their reality. To be able to build upon existing cultural norms, it is crucial to get an understanding of how children already are participating in their everyday lives and settings and how they would like to contribute in community development. The vast majority of the team of field workers was from the country itself and this facilitated a strong foundation of cultural understanding. Child participation in all the phases of the process and the projects was voluntary, and during the assessment, the children’s desire to contribute and the satisfaction of participating in building a sustainable community emerged. Fourthly, a key finding—related to the success of the implementation—was the team of well-trained field workers having huge capacities to communicate and work with children. Participation closely links in with power relations and power sharing (West, 2007). One of the reasons for the valuable relationship between the adolescents and the field workers was that they were prepared to share power with the children and they empowered the children to express their views. They were strongly aware of their role as facilitators and knew when and how to intervene. New field workers were guided by a methodology book and trained by the other field workers on the job. However, to maintain meaningful participation and “do no harm”, it is essential that the (new) field workers are familiar with the child-participatory methodology and the history, dynamics and existing relationships within the groups they work with. The field workers identified that the most important characteristic of the first two phases of the situation analysis was that the adolescents strengthened their confidence/security in themselves and that they were able to build suitable levels of confidence with the field workers. The adolescents described the position of the facilitators as listeners who were open and sensitive to all issues and to all information that the adolescents wanted to share, without judging the profoundness of their expression, and they felt that their opinions and their interests were valued. The fifth key finding was related to one of the well-known challenges of child participation, namely, employing an inclusive approach to adolescent participation and therefore continuously working closely with the key (adult) actors within the adolescents’ social fabric (Childwatch,

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2006; Hart, 2004; Rajani, 2001). Throughout the whole process, parents and other adults in the community were taken on board through different activities such as the meetings, workshops, campaigns, family integration days, information pamphlets, etc. However, parents and teachers still indicated that they would like to follow the process more closely to understand and support the children in a better way. Due to the busy lives of parents (long working days) it was often difficult for the NGOs to involve them actively. In addition the promotion of child participation implies cultural change and that is often a slow process in which transformation also has to take place in the educational and political systems and institutions. Finally the high school teachers of the community indicated they would like to cooperate more closely with the NGOs, have regular meetings and receive more training on how to communicate better with the adolescents. This “technical knowledge” would benefit both the teachers and the adolescents, build more sustainable ways of communicating and encourage other adolescents to participate more actively. Competence. Key finding six was that the adolescents indicated that, through participation, they learnt how to convert their visions and ideas into reality by gaining practical skills on how to design and implement projects and realizing the importance of listening, expressing oneself and cooperating with others. In addition, the results of the survey confirmed that their participation in the RED activities led to increased levels of confidence, happiness, feelings of security and usefulness; motivation to learn, family integration and increased solidarity between adolescents themselves and adults. It motivated some of the respondents to go back to school, to become community workers and it decreased the number conflicts they had with their parents since they had acquired new forms of communicating with them. The concrete actions through which child participation was promoted by the NGOs aimed to create a culture in which children and adolescents are recognized as active community members who can contribute to transforming their surroundings with the help of adults and local authorities. Organizations should take care, however, that they do not only focus on transforming the surroundings but also specifically work on personal development. During the interviews one adolescent (a fifteenyear-old male) specifically indicated: “We are usually helping others first but sometimes I would like to help ‘ourselves’ first”. Children and adolescents have many capacities and talents but they also have many which should still be developed. It is essential to consider and plan carefully what information, directions and guidance should be given and to

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determine if there is a need for personal development strategies. Lansdown (2005) stresses that adolescents need to be helped—often in different forms—to be able to construct and express their views and they need to be provided with the information necessary to make informed decisions. Reflections and evaluations by participants on the strategy. The seventh key finding illustrated that although evaluations were done at all stages of the process, there was still some significant differences between the perception of the adolescents and the field workers concerning the levels of participation during the RED activities. A questionnaire was distributed to both the adolescents and the field workers requesting respondents to indicate the different levels of participation during the activities they were implementing (Figure 13.5 reflects one of the levels measured).

Figure 13.5. Indication of Differences in Perceptions between Field Workers (RED) and Adolescents (FA and AL).

A distinction was made to ascertain if certain forms of participation: “always occurred”, “sometimes occurred” or “never occurred”. Although both the adolescents and field workers (facilitators) indicated that high levels of participation were taking place, it was interesting to find that all the RED field workers (100 percent) felt that the adolescents’ activities were totally “self-driven” and they (the field workers) never made decisions for them (see Figure 13.5). The adolescents with whom the field workers worked on the other hand, indicated that these more “guided forms” of participation did occur. The group indicated in the graph as the “older group” are those adolescents with who the NGOs had been working for a number of years and those indicated as the “new group” had only

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been formed half a year before the research was performed. The fact that “the new group”, answered more frequently sometimes or always is probably because they had only been meeting as a group weekly for half a year and the fieldworkers were still taking the lead in facilitating the process. Institutional requirements. The eighth finding proves that implementing child participation in a meaningful way can be demanding and difficult. The respondents of the Network indicated that they felt that the advantages of working as a team were huge but that it was very important to get together at least weekly and preferably more often than that to plan, organize and evaluate the work they were doing. As a respondent (male fieldworker) explains: “We should keep on ‘reading’ the group, and our work is to be like a ‘mirror’ in which reflections can be seen”. Although a challenge at times, the respondents felt that it was vitally important to keep a continuous reflection on the process, on the dynamics of the group and to keep on developing the capacities of the adolescents. This demands high levels of coordination and technical support and it is also vital to keep the field workers highly skilled. The final key finding is that, while child participation is crucial and much can be achieved through participation, it is not a panacea—meaning that it does not solve everything (Rajani, 2001). Organizations need to keep on considering additional tools and strategies while working with adolescents. Conclusion The purpose of this paper was to present an example in which children played an important role in (re)building a sustainable community. It demonstrated that the participants in the context of Nueva Prosperina had varying understandings of the concept of child participation. In addition the aim was to present nine key findings, offering insights into the extent to which “desirable child participatory principles” can be applied and met in practice. The study was an example of the satisfaction of children contributing to building a sustainable community. The questionnaire proved that the adolescents felt that participating in child-centered community development was of significant positive influence in increasing their wellbeing. The main variables influencing a positive outcome were the duration of participation in the child-centered community development (CCCD) process (those participating a longer period in CCCD activities

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were more positive) and gender (girls were more positive than boys). 18 In addition it proved that understanding children, encouraging and helping them to take an active role as inherent participants in community development, increased their well-being on a personal, family and community level. On a personal level 19 the most important impact on the adolescents’ well-being was that they felt their self-esteem, confidence and knowledge/skills had increased significantly. They felt empowered to be able to express their feelings and visions. This goes hand-in-hand with giving and receiving critiques which at times was difficult for them to deal with. At a family level 20 their new communication skills allowed them to have more open dialogues within families and they felt it increased the confidence that parents had in them. For most adolescents this is of vital importance since they see family love as the most crucial ingredient in resolving their problems. The impact at the community level 21 was that the adolescents now perceived themselves as protagonists, contributing to their own development and community change and having ideas which were useful for everybody and not only for themselves. It increased the level of friendship with other adolescents; support and solidarity between children and adolescents and between adolescents and adults. Friendship with other adolescents was mentioned as one of the most important outcomes because it forms a platform to have fun, share concerns and work for change. However, achieving meaningful child participation entails a number of conditions of which well-trained field workers, time and strong integration of parental and community members within activities are key elements. Child participation allows for encouraging children, their families, the community and social organizations to build sustainable communities in which they, as an adolescent stated: “can realize their dreams and ideas in practice.”

NOTES 1

The study on which this paper is based was conducted by C. de Milliano in cooperation with the University “Casa Grande” (main supervisor J. Scoggin). It

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was performed for “La RED de Desarrollo Comunitario centrado en la Niñez y la Adolescencia”, Plan Ecuador and Plan Netherlands, and funded by the VSB foundation. I am grateful to all the actors, the community and children of Nueva Prosperina for their valuable contributions, participation, inspiration and support throughout the whole research process. Please note that all views and interpretations in this paper are those of the authors of this paper. 2 According to the Convention of the Rights of the Child (Article 1) a child means: “every human being below the age of eighteen years unless, under the law applicable to the child, majority is attained earlier” (UNCRC 1989). Adolescents in this paper refers to children from twelve to eighteen years of age. 3 In this context the term “disaster” refers to the “on-going every day disasters” which have great impact on a huge number of vulnerable people in urban settlements in Ecuador. 4 Ecuador is officially referred to as “Republica del Ecuador”. 5 According to the World Fact Book (2008) the gini-index measures the degree of inequality in the distribution of family income in a country. The index is calculated from the Lorenz curve, in which cumulative family income is plotted against the number of families arranged from the poorest to the richest. This means that if income were distributed with perfect equality, the Lorenz curve would coincide with the 45° line and the index would be zero; if income were distributed with perfect inequality, the Lorenz curve would coincide with the horizontal axis and the right vertical axis and the index would be 100 (see: www.cia.gov/library/ publications/the-world-factbook/docs/notesanddefs.html#2172). 6 According to INEC (in Diario HOY, 2001), in the first Ecuadorian census in 1950, the rural/urban divide of the population in Ecuador was that 28.5 percent of the inhabitants formed the urban population and 71.5 percent formed the rural. In the last census (in 2001) 61.1 percent of the inhabitants formed the urban population and 38.9 percent the rural population. It has been extremely challenging for the cities to deal with this process of urbanization resulting in huge marginal suburbs without basic services (Diario HOY, 2001). 7 Referred to in Spanish as “asentamientos urbanos populares.” 8 With development the author refers to the definition as used in the “Declaration on the Right to Development”: “Development is a comprehensive economic, social, cultural and political process, which aims at the constant improvement of the well-being of the entire population and of all individuals on the basis of their active, free and meaningful participation and in the fair distribution of benefits resulting therefrom” (UN General Assembly, Resolution 41/128, 1986). 9 Child participation is believed to let children create a greater ability to let them express their feelings and ideas and it develops greater levels of self-esteem and security (Hart 2004). 10 From now on “La RED de Desarrollo Comunitario centrado en la Niñez y la Adolescencia” (Translation: the Network of child and adolescent centred community development) shall be referred to as “the RED”.

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11 In which the focus of the study was on the implementation of the concept and the impact of child participation on the well-being of adolescents. 12 The first case study population was adolescents of the so-called “older group” (see graph 1) usually referred to as “Fuerza de Adolescentes”. This is a group of about thirty to thirty-five adolescents and with whom the RED had been meeting weekly since 2004. The “new group” (see Figure 13.5), usually referred to as “Adolescentes Luchadores” (AL), was the second research population which is a group of about thirty adolescents meeting weekly since July 2007. 13 Among the fieldworkers, only a certain share—twenty-two—worked with the adolescents. These fieldworkers also worked with children of other ages. 14 Information was also collected by different activities which Instituto Nacional del Niño y la Familia (INNFA – National Child and Family Institute) performed with the adolescents. INNFA is one of the partner organizations in the RED. 15 Rocha’s ladder of empowerment is a model (using a ladder as metaphor) which defines five steps of empowerment mainly based on who is empowered by the process (the locus) and what the goals are (focus) of the process (1997). 16 Translation from the Spanish: “Sistema de Auto-Desarrollo Sostenible” (Plan, 2003). 17 A situation assessment is a process that generates information and collective analysis, which creates strategic choices to design programs that will support collective action and it aims to link the community to outside support for their issues. Furthermore it encompasses the critical reflection by the community (children, adolescents, adult men and women) about their own circumstances, issues, causes, interests and responsibilities (Plan, 2006). 18 According to the data the fact that an adolescent is in “the older group” (“Fuerza de Adolescentes”—who have been participating longest in the CCCD projects) increases the overall average of a respondents with 0.38 in comparison with those in “the new group” (“Adolescentes Luchadores”—who, at the time of measurement, had only been participating in the CCCD process for half a year). This is significant on a 99 percent-level (Į=0.99). In addition, females scored 0.27 higher than males (Į=0.95). 19 To measure the impact of adolescent participation on a personal level, respondents were asked how participation had impacted their confidence, their knowledge, their happiness, their personal security and their emotional stability. 20 To be able to measure the impact of adolescent participation on a family level, four variables were chosen namely; communication with parents, confidence of the parents in the adolescents, family treatment and solidarity between parents and adolescents. 21 The impact of the adolescents’ participation on a community level was measured through 6 indicators namely: friendship with other adolescents; support and solidarity between children and adolescents; support and solidarity between adolescents and adults; and community concern for children’s issues.

CHAPTER FOURTEEN THE DILEMMA OF REINTEGRATING CHILD SOLDIERS IN NEPAL: AN ANALYSIS FROM CHILD RIGHTS NGO PERSPECTIVES Introduction War and armed conflict is not a new phenomenon and it has even declined in the post-cold war period (Eriksson & Wallensteen, 2004; MacGinty, 2006; Newman, 2004). However, because of the development of efficient means of communication and greater access to reporters to report the incidents, armed conflict has become more visible in recent years. The majority of casualties of armed conflict are civilians, and among them children and women are again in the majority (Fisher, 2002). The global problem of recruitment of children in war and armed conflict is not a new phenomenon, as we can trace back to early history the use of minors in warfare (Glazer, 2006; Hart, 2006; Singer, 2006; 2007; Wessells, 2002). However, because of the proliferation of lightweight weapons due to their cheap price and easy access, small children have become able to perform the role of efficient warriors. Hence, their supportive role in armed conflict has diversified to multiple roles ranging from combatant to supporter and porter or messenger. Therefore, the demand for children in armed conflict has increased, as they can also be easily manipulated and are more obedient than adult soldiers. Recent data from UNICEF estimates that there are around 250,000 child soldiers worldwide (UNICEF, 2007). Legal provision for the prevention of recruitment of child soldiers is developed along with the optional protocol of the Geneva Convention, 1949 and 1977. It is further reiterated by the provision in the Convention on the Rights of the Child (CRC) in 1989, the Rome Statute of International Criminal Court in 1998, considerably by optional protocol on CRC regarding armed conflict in 2000, and ILO conventions. During the armed conflict in Nepal from 1996 to 2006, thousands of children are estimated to have been involved in both government armed forces and non-state armed groups. Moreover, even after the initiation of a peace process in the country, child soldiers have not been able to be

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formally released and reintegrated into their families and communities: NGOs have not been able to use their full power to reintegrate them. Hence, this study analyzes the causes of conflict and the recruitment of child soldiers, analyzes the NGOs’ efforts to reintegrate the child soldiers, and also suggests recommendations. Literature Review Armed conflict and its impact on children. Fisher (2002) argues that civilian casualties are inevitable in any armed conflict: more than 90 percent of casualties in recent conflicts have been civilians and great majority are women and children. UNICEF, in its recent update, estimates that 80 percent of these civilian casualties have been women and children (UNICEF 2007). Machel (1996), Shakya (2003) and Wessells (2006) also argue that armed conflict creates more civilian than military casualties and violates every right of the child. Fisher (2002) lists some of the impact on children as they are at the center of the conflicts: they are targeted, displaced, violated and abducted; girls are sexually brutalized and enslaved; countless children are traumatized by the violence inflicted upon them or by witnessing the violent torture, wounding or death of parents, siblings, friends; young boys are recruited as combatants. He further argues that poor quality of leadership among parties to the conflict, lack of accountability and impunity further aggravate the impact on children. In her global report on Impact of Armed Conflict on Children (1996), Machel reports that between 1985 and 1995 around two million children were killed in armed conflict; three times this number were seriously injured or permanently disabled; thousands of children have been exploited as combatants, countless have been psychologically damaged. The children are slaughtered, raped, and maimed, exploited as soldiers, starved and exposed to extreme brutality. Furthermore, Save the Children Alliance (2006) claims that forty-three million school-age children are out of school in conflict affected countries around the globe. Hence, the armed conflict violates every right of the child—the right to life, the right to be with family and community, the right to health, the right to the development of the personality and the right to be nurtured and protected. Likewise, armed conflict in Nepal from 1996 until 2006 claimed more than 13,000 lives (HRW, 2007; INSEC, 2007). The armed conflict made its impact in every field (Bouckaert & HRW, 2004). The conflict had an impact on every walk of life: children or youth or adult, men or women, urban or rural, rich or poor. Children are the most vulnerable group as they

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cannot decide properly in their own what is right and what is wrong, and they cannot protect themselves during armed conflict. According to the data recorded on children by Child Workers in Nepal Concerned Center (CWIN-Nepal, 2007) from 1996 to 2006, 475 children (139 of them girls) lost their lives; 562 (156 girls) were physically injured, and 32,550 children along with their teachers were taken away by the Communist Party of Nepal-Maoist (CPN-M), while 254 children have been arrested by the state security forces. More than 8,000 children have been orphaned and around 40,000 children have been displaced due to the armed conflict. During this period, 3,840 schools were affected by armed conflict. It was recorded that 3,735 schools were closed from time to time. Bunkers were built in at least fifty-six schools; thirty-two schools were affected by bomb explosions; at least eight were destroyed by fire and three were affected by crossfire between conflicting parties. Moreover, unofficial data from Save the Children shows that schools were operated only for 129 and 150 days out of 220 days in 2004 and 2005 respectively in Nepal. The data further shows that 36 percent of students dropped out of schooling due to the conflict. Hence, the data shows that there has been a considerable amount of impact of armed conflict on every aspect of children’s life in Nepal. Causes of armed conflict in Nepal. The People’s movement in April 1990 brought an end to the autocratic Panchayat system in Nepal (Hart, n.d.; Karki & Seddon, 2003). However, the political change in 1990 was still unable to fulfill the people’s aspirations and Communist Party of Nepal (Maoist) (CPN-M) launched armed conflict against the State authority called the “People’s War” on February 13, 1996. The conflict between the CPN-M and the state (government of Nepal) formally ended in 2006 with the signing the Comprehensive Peace Accord between the two warring parties on November 22, 2006. MacGinty (2006) argues that the cause of armed conflict between the government of Nepal and CPN-M is very hard to define. However, Smith and Vivekananda (2008) identify a combination of endemic poverty, inequality, arbitrary authority and corruption at all levels, a widespread sense of injustice and frustration as the causes of the armed conflict in Nepal. The authors further argue that as the elected politicians were unable to solve the problems of development in Nepal and meet the people’s expectations, the CPN-M launched an insurgency operating in rural areas. In an interview, Prachanda (whose real name is Puspa Kamal Dahal), the supreme commander of CPN-M claimed that Nepal’s semi-feudal and semi-colonial history, with its centralized reactionary government for more than 200 years has created a historical tendency for the masses to resist throughout the country (Dahal, 1999).

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If we compare the nature of conflict in Nepal to the conflicts in the African continent, we find a huge difference. Armed conflicts in Africa are focused either on ethnic cleansing, for example in Rwanda and Burundi (Scherrer, 2002); in order to capture natural resources and ethnic tension, for example in the Democratic Republic of Congo and Sierra Leone (Richards, 2006; Vlassenroot, 2006); or for religious war, for example in Somalia (Johnson, 2006) and so on. However, the conflict in Nepal is focused on bringing about political and socio-economic changes in the country. Though there is some element of ethnicity, it is basically an ideology-based conflict. Child Soldier: Definition The Cape Town Principles and Best Practices (1997) developed the definition of “child soldier” for the first time. The broad definition of “child soldier” is any kind of involvement of children below the age of eighteen years in any capacity in any kind of regular or irregular armed forces or armed groups, and not only confined to combatant activities. Likewise, the definition of child soldier according to the Coalition to Stop the Use of Child Soldiers (2004) is also similar to the definition given by the Cape Town Principles. However, it explicitly added the role of children other than participation in combat such as laying mines, scouting, acting as decoys and drill or other preparations. The Working Group on Children Associated with Armed Forces and Armed Groups (CAAFAG Working Group) in Nepal has localized the international definition. It reads as follow: CAAFAG includes all children who have been involved in the armed forces and armed groups in any capacity, e.g., as a spy, messenger, porter, cook, soldier, fund collector, logistic supporter, artists in cultural groups, or those who have been arrested and detained on charges of being Maoist, etc. (CAAFAG WG, 2006: 1)

The definition given by CAAFAG Working Group has replaced the words “child soldier” with “children associated with armed forces and armed groups” (CAAFAG) and also included the specific roles of the child soldiers in Nepal such as fund collection and artist in cultural programs. Recently, the Paris Principles and Guidelines was endorsed by fifty-nine governments that have redefined the child soldiers as “children associated with armed force and armed groups” (2007: 7).

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Hence, the definition of child soldier has been refined over the time but there is no conceptual difference between the earlier definition and the recent one. The definitions given above are internationally recognized and have common concepts such as regarding eighteen as the age bar, the inclusion of diverse roles and including both the armed forces of the state party and armed groups of the non-state entity. We also found that the use of the term “child soldier” is being replaced by “children associated with armed forces and armed groups” in order to stress from the term itself that it includes the broader role of children in any parties to the conflict. International Safeguards The special rights of children related to armed conflict and child soldiers are safeguarded by different international, regional and national human rights standards. The Convention on the Rights of the Child (CRC) (1989) is the first document explicitly to safeguard the rights of the child during the armed conflict. Article 38 of CRC has recognized International Humanitarian Law in safeguarding the rights of children during the conflict. It has restricted the government security forces from recruiting children below the age of fifteen and placed an obligation on the government to protect children who have been affected by armed conflict. Hence, the Convention has covered only the state party and has excluded the non-state entity. Even the age bar is limited to children below the age of fifteen and this is contrary to the general definition of children given by the Convention itself. The Optional Protocol to the Convention on the Rights of the Child on the Involvement of Children in Armed Conflict (CRC OP-AC) (2000) is the first-ever standard restricting both state and non-state parties from recruiting children below the age of eighteen in armed forces/armed groups and making the state parties responsible for preventing such recruitment. However, the provisions in the CRC OP-AC, i.e. Articles 2 and 3 have still not fully restricted the state security forces from recruiting children below the age of eighteen. Only compulsory recruitment is restricted but voluntary recruitment can still be practiced by the state. The Rome Statute of the International Criminal Court (ICC) (1998) has defined the recruitment and use of children in armed conflict as a form of war crime. Article 8(2)(b)(xxvi) of the Statute has put the acts of conscripting or enlisting children under the age of fifteen years into the national armed forces or using them to participate actively in hostilities as a war crime. Article 8(2)(e)(vii) of the Statute has put the acts of

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conscripting or enlisting children under the age of fifteen years into armed forces or groups, or using them to participate actively in hostilities, as war crimes. International Labor Organization (ILO) Convention 182 (1999) has defined forced or compulsory recruitment of children to use in armed conflict as one of the worst forms of child labor and it has made the state parties responsible for taking all necessary measures to eliminate such practices. Likewise, Geneva Conventions 1949 and Additional Protocol I and Additional Protocol II of 1977 have set fifteen as the minimum age for recruitment or use in armed conflict. This minimum standard applies to all parties both governmental and non-governmental and applies to both international and internal armed conflict. Article 4(3)(c) of the Additional Protocol II applies to internal armed conflicts. It has prohibited the recruitment of children below the age of fifteen in the armed forces or groups and prohibits making them take part in hostilities. Moreover, various UN Security Council Resolutions such as 1261 (1999), 1314 (2000), 1379 (2001), 1460 (2003), 1539 (2004) and 1612 (2005) have strongly condemned the recruitment and use of children in armed conflict. The resolutions have urged the conflicting parties to stop using children in the conflict immediately and to abide by the international standards regarding the minimum age of recruitment and use in armed conflict and hostilities. Hence, from the above international instruments we can see that there is a progressive move towards the development of broader, strong and concrete provisions to stop the recruitment of child soldiers. Moreover, in recent days, apart from developing the new provisions, concepts and definitions are being developed so as to clarify and strengthen the existing legal provisions. However, still the provisions in different instruments vary in terms of age limit, scope of work and applicability. While analyzing the different instruments, the Rome Statute of the International Criminal Court has found the most practical international human rights instrument for making individual and group perpetrators responsible for the violation of child rights. At the same time, the CRC OP-AC is found the most advanced provision in terms of the age bar, but the provision for government forces to recruit children above the age of fifteen years on a voluntary basis is still one of the weak points of the CRC OP-AC. Based on the aforementioned international provisions and their analysis, we can say that the legal status in Nepal regarding child soldiers was very weak until 2007. The Children’s Act of Nepal (1992) is completely silent regarding the use of children in armed conflict. However, the new Interim Constitution of Nepal (2007) prohibits the use

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of children in the army, police or in conflicts. 1 Moreover, the Comprehensive Peace Agreement (2006) committed not to recruit children under eighteen years old in any armed forces. 2 Likewise, the Agreement on Monitoring of the Management of Arms and Armies (2006) has also reiterated the same agreement as in Comprehensive Peace Agreement, 2006. 3 Furthermore, Nepal had already ratified CRC in 1990 but ratified CRC OP-AC recently in 2007 and signed the Paris Principles and Guidelines in 2007. However, Nepal has not yet signed or ratified two very important instruments: the Geneva Convention Optional Protocol of 1977 and the Rome Statute of the International Criminal Court. Hence, Nepal is making progress in terms of signing international instruments and putting them in the national instruments, but still the national provisions are weak in a number of respects: responsibility of the non-state entity’s armed groups is not included; the age bar is not consistent among the legal documents; there have still not been any court cases against the recruitment of child soldiers, nor are any legal proceedings developed yet. Use of Children as Child Soldiers There is no exact figure for the number of child soldiers in the global arena. However, according to Child Soldier Global Report (2004), tens of thousands of children under the age of eighteen have been recruited in more than sixty countries, and between 2001 and 2004 rebel groups in twenty-two countries as well as forces and authorities informally in three other countries—including Nepal—have used child soldiers (Coalition to Stop the Use of Child Soldiers, 2004). Moreover, recent reports on children by UNICEF estimate that more than 250,000 children are currently serving as child soldiers (UNICEF, 2007). Glazer (2006), Hart (2006), Singer (2007) and Wessells (2002) say that the act of using children in conflict or war is not a new phenomenon and it can be traced back to as early as the seventeenth and eighteenth centuries. Singer (2007) and Wessells (2002) say that the development of small arms and the spread of armed groups in the twenty-first century have made the recruitment of children widespread. The pattern of the use of children has also changed over time, i.e. from a supportive role to an active fighting role in armed conflict or war. Analyzing various reports, Singer finds the average age of child soldier to be thirteen years old, with the youngest child soldier being five years old in Uganda. The Child Soldier Global Report (2008) has listed Nepal as one of the countries to use children as spies, informants or messengers in its

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government armed forces and as child soldiers in non-state armed groups (Coalition to Stop the Use of Child Soldiers, 2008). Different agencies estimate that about 30 percent of the CPN-M forces were children between the ages of fourteen and eighteen. A report of the UN Security Council on Nepal mentions that more than 31,000 Maoist personnel were cantoned in twenty-eight sites across the country after the peace deal between the government and the CPN-M (UN 2007). Hence, if we make an estimate by using the above two data, our estimate of child soldiers in Nepal may come to around 10,000. Methodology Institutions working on the issue of child soldiers in Nepal have been specifically selected to collect data on NGOs’ perspective on issues related to child soldiers in Nepal and to analyze the performance of the NGOs in the reintegration of the child soldiers. The samples for the study have been selected to conduct semi-structured interviews. A diverse range of institutions such as UN agencies, international NGOs and national-level NGOs which have been working in Nepal for a long time were selected in order to get reliable, valid and varied information. The process of data collection was started with the documentary study. During the documentary analysis, it was found that almost all the institutions working on the issue of child soldiers in Nepal are members of Working Group on Children Associated with Armed Forces and Armed Groups (CAAFAG Working Group). It was also found that the group members had similar program strategies and common intervention guidelines. Hence, among the nineteen CAAFAG Working Group members, six were selected specifically to cover varied types of agencies so that diverse approaches and different causal explanations could be included as well as to avoid the repetition of information in the research. Hence the six selected include one UN agency, namely UNICEF; three INGOs, namely Save the Children Norway in Nepal, Save the Children USA and Plan Nepal, and two NGOs, namely Child Workers in Nepal Concerned Center (CWIN Nepal) and Informal Sector Service Center (INSEC). The data gathered through the semi-structured interviews was then analyzed and interpreted. Findings and Discussion Causal explanations. In discussing causal explanations, each organization mentioned the need to consider the different causes and

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nature of conflict in Nepal. The organizations also stressed that as the nature of conflict is different—ideological and political in Nepal rather than ethnic and economic in African countries—so the pattern of recruitment and use of children as child soldiers is different in Nepal in comparison with the experience of sub-Saharan African countries. The major difference are the organizations identified related to the intensity of recruitment, the ratio of forced and “voluntary” recruitment, the extent of the use of child soldiers in atrocities, and so on. Here, the term “voluntary” recruitment simply means the recruitment of children without using force or pointing a gun at his/her head, and is not consistent with the ILO definition of voluntary recruitment mentioned by Brett and Specht: recruitment is genuinely voluntary, with informed consent of parents or legal guardian, fully informed about the duties, and reliable proof of age before the recruitment. (2004: 114)

They also said that the scale of “voluntary” recruitment is much higher than forced recruitment as the majority of children joined the armed groups as child soldiers because of the attraction of involvement in the cultural troops, i.e. performing song and dance or playing music. Describing the role of child soldiers, the organizations stated that the children are involved mostly in a supporting role including being a member of the cultural troop, helper, informant, porter or cook; few of them are involved as combatants and none of them are forced to perform heinous atrocities as is the case in African conflicts. The findings are also supported by other field study reports such as CAAFAG Working Group (2006) and an unpublished report on CAAFAG from a UNICEF consultant. The causes of recruitment identified by the organizations are found to be varied among the organizations. However, the variation is not according to the category of the organization but is random. Some of the causes identified by all organizations are similar, whereas others are identified only by one or two. Each of the organizations identified hope of better life/lack of opportunities for youth; the attraction of the cultural programs; the lack of services and other alternatives; economic reasons/ poverty and forcible recruitment either through abduction, indoctrination or threat. Least frequently mentioned causes are: child labor being taken as a normal phenomenon; lack of knowledge of the legal instruments/ consequences; a policy of recruitment of one member per family in guerrilla war. It is true that even in normal conditions, many of the children in remote areas cannot go to school or be involved in any kind of recreation or entertainment. They just sit idly looking for something to get

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involved in. Moreover, many children above the age of fifteen are used as labor in many ways in the country and in rural areas they are not regarded as children once they reach this age. 4 Boys are expected to support the family by earning a living. The male members—even if they are minors— are defined as means of protection for their families in Nepalese societies. Hence, children work extensively in agriculture in rural areas and as child labor such as porters, restaurant workers, vehicle workers, carpet factory workers and so on. The use of children around fifteen to eighteen years of age in the labor sector, including the armed forces and armed groups, is not perceived as a problem. The study also found that the NGOs working on the issue of child soldiers in Nepal have come together and formed a working group. Most of the organizations in the Working Group use a common definition of a child soldier. They adhere to basic operating guidelines and intervention strategies developed in common by the Working Group in order to maintain common understanding, common standards, to reduce duplication in the program and to develop synergy. The intervention program used by all the organizations is focused mainly on providing socio-economic support for the reintegration of child soldiers by providing support such as education, skills training, income generation and livelihood support at family and community level. Multidimensional causes. The organizations and scholars consider the socio-economic reality of the country as the major reason for children having become involved in armed forces/groups. However, analysis of the field data and data from other research shows that the causes of recruitment are multidimensional. It can be argued that one of the major causes of conflict in Nepal is socio-economic deprivation and discrimination. Hence, it is obvious that children in remote areas lacking proper means of livelihood, family and community support, proper education, opportunities and recreation are likely to become associated with the armed groups in order to fulfill their unmet needs for security, entertainment and livelihood. However, if we further analyze the data on recruitment reported in an unpublished report from a UNICEF consultant shared by INSEC, we find the remote areas across the country as major hotspots for recruitment of child soldiers and the same report also shows that the children who are joining the armed forces/groups are not only from the lower strata of the society either economically or socially, i.e. “lower caste” called Dalit, indigenous group called Janajati (60 percent in total) and girls but the children from “upper caste” (36 percent) have also joined. Moreover, CAAFAG Working Group reports that only 15 percent of child recruitment is because of poverty,

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discrimination or poor family/community environment (CAAFAG Working Group, 2006). Hence, it shows that socio-economy is not a sole cause but the causes are multidimensional. Other causes are ideological interest through self motivation or indoctrination, peer pressure, abduction or forcible recruitment. At the same time if we analyze the nature of the organizations approached for interview, we find that all except the INSEC has expertise in providing socio-economic intervention. Hence, one of the reasons for the organizations focusing on socio-economy as the major determinant for children becoming involved with armed forces/groups is this: it allows these organizations simply to carry on their usual intervention strategies using their existing expertise and resources. Cultural program as a main driving force. There is evidence that the cultural program is the most common way to attract the children to get involved in or recruit them to the armed groups. CPN-M organized cultural programs in schools and communities in order to indoctrinate them politically. The evidence is supported by two reports: the CAAFAG Working Group (2006) reports that 72 percent of its respondents claimed that the cultural and political activities of CPN-M were a main attraction for children; likewise, an unpublished report from a UNICEF consultant, shared by INSEC, also reports that 85 percent of total recruitment of children is done on a voluntary basis and 62 percent of this is the motivated by the CPN-M Cultural Program. The cultural program involves singing, dancing, playing weapons, drama, appeal to sacrifice for the greater good of the nation/community and so on. It also shows that the association in the groups gives children fun and entertainment, demonstrates the power of weapons to children and gives them the chance to become a wise person by sacrificing oneself for the nation. Hence, these aspects of the cultural program easily motivate children who lack such entertainment and recreation activities in their own community or in school or who are bored sitting idly, or because they lack the level of education needed to join the armed groups. CPN-M is also particularly interested in involving the children in their cultural troops because it is the easiest means to attract children into their armed groups. The performance of one child can easily attract others to join. It does not need any force or money to bring the children in, and if a child joins the group because of the attraction, CPN-M can claim that it is not a forced recruitment as the children themselves joined the group of their own volition. Moreover, CPN-M can also feel at ease in claiming that the children are not used in armed activities but, rather, they are in training to develop their skills by performing the arts.

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Less focus on legal advocacy. As the organizations have considered socio-economy as the major causes of recruitment, their intervention is also focused on providing socio-economic support to the victims. Because of this, legal advocacy or intervention is not the main focus for the organizations. The reasons for this are that there is no legal action taken against the perpetrators, legal precedent and the existence of legal loopholes both at national and international level. For example, hundreds of complaints regarding abduction and enforced disappearance registered in National Human Rights Commission of Nepal are yet to get legal remedy (NHRC 2007). Nepal has adopted the CRC OP-AC 2000 only in 2007, ratified ILO Convention 182 (1999) on the worst forms of child labor in 2002, written and signed the comprehensive peace agreement and agreement on the management of arms and armies in 2007, and developed the Interim Constitution of Nepal in 2007. But it has not yet executed any legal actions based on these documents. Hence, courts in Nepal have not ruled against the recruitment of child soldiers at a national level. At the same time, Nepal still has not ratified the Rome Statute on ICC (1998), and the Optional Protocol 1977 of the Geneva Convention 1949 that could have opened the way to make complaints against the perpetrators in the international courts. At the same time, if we analyze the effectiveness of legal provisions at international level, even the ICC has been inefficient in making timely judgments on the case of enlisting, conscription and use of children in hostilities, for example the case of Thomas Lubanga Dyilo of Democratic Republic of Congo has been postponed for an indefinite period (HRW 2008). Hence, there may also be other reasons for the organizations not having confidence in legal advocacy/intervention being successful and so they concentrate on providing direct support to the victims. Informal process. The Agreement on Monitoring of the Management of Arms and Armies (2006) has a clear provision for automatically discharging children below the age of eighteen if they are found during the verification process. Accordingly, UNMIN verified the PLA in the cantonments and found minors. However, before the completion of the final verification process, the child soldiers informally abandoned the cantonments and NGOs—also informally—supported them in reintegrating into their families and communities and the formal release and reintegration process of those child soldiers is still not yet started. The process of reintegration of child soldiers in Nepal has not followed the internationally recognized DDR (Disarmament, Demobilization and Reintegration) process because CPN-M did not accept the terms “Disarmament” and “Demobilization”, claiming that it had never

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surrendered to government forces but had made a mutual peace agreement. Therefore, a separate agreement for management of arms and armies was signed as guidelines for UNMIN to start the process. Hence, this is one of the reasons for CPN-M having the upper hand in manipulating the entire process to its own advantage and the UN, as well as other organizations, are developing their intervention accordingly. The main reason for not asking for the formal release of child soldiers from the cantonments and accepting the informal release and informal intervention is because of CPN-M’s unwillingness to disclose the association of children below the age of eighteen with their armed groups. UNMIN, which is monitoring the arms and armies in the cantonments, is also not challenging the CPN-M against the informal release so as to avoid possible conflict or to raise any complications in the ongoing peace process in the country (Nepali Perspectives, 2007). The CAAFAG Working Group has also planned only to provide reintegration support to the child soldiers and lacks an advocacy program to put pressure on the CPN-M. Moreover, donors and NGOs working on the issue of child soldiers are also not raising any questions but are silently shifting their intervention towards informal support to the victims and their communities. CPN-M has already come up as the largest political party in the country in the Constituent Assembly elections in 2008, and so the donors as well as the organizations do not want any kind of conflict with the government and trouble working in Nepal in the future. Because of the lack of pressure for the formal release of child soldiers, very few child soldiers are able to return to their homes either through the support of the organizations or on their own, and many of them have again joined other semi-political/paramilitary wings of CPN-M such as Young Communist League (YCL). This means that on the one hand those children continue to be at risk, and on the other the NGOs that had planned and prepared to provide reintegration support are simply waiting for the children to be released. Because of this, even those resources that are available have been rendered useless and the victims continue to be victimized. The formation of Working Group. The formation of CAAFAG Working Group in Nepal, consisting of all the NGOs working in the same field at national level—the issue of child soldiers—can be taken as one of the best examples for the NGO movement in the world. Through cooperation with the Working Group, the NGOs reproduced the definition of child soldier/Children Associated with Armed Forces and Armed Groups (CAAFAG) in the light of the Nepalese need; developed the common code of conduct, common working guidelines and intervention

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strategy to work on the issue of child soldiers. Some of the benefits of the Working Group are as follows: x Formation of the Working Group has helped to reduce the duplication of work; the concentration of all the NGOs in easily accessible geographic areas has reduced and so the NGOs are able to spread all over the country as need requires. x This has helped to avoid the stove-piping of knowledge and experience: they have got a common platform to share and learn from each other. x The NGOs are able to generate a common pool of funding to support the reintegration of the child soldiers, so helping to reduce the burden on each NGO to look for individual funding for intervention. However, the Working Group was established in 2005 but only became active after the initiation of the peace process in Nepal in 2006. During the time of conflict, very few organizations were working on the issue of child soldiers on an individual basis. The peace process brought favorable conditions for organizations to work on the issue, as many donor organizations were interested in supporting the peace process in Nepal and there was less risk working on the issue. Hence, many new organizations were established in Nepal and the Working Group also became active in coordinating among the organizations. Therefore, we can argue that the existence of the Working Group is related to the availability of funds as well as a risk-free environment. Conclusion and Recommendation As in the global arena, children are affected by the armed conflict in Nepal. Children below the age of eighteen are used in many capacities as child soldiers by both the parties to the conflict: the government of Nepal and CPN-M. However, the pattern of recruitment and intensity of use of children in atrocities is different and fewer in number compared to other conflicts. Many NGOs, including UN agencies, international NGOs and national NGOs closely observed the violation of the rights of children by their being used as child soldiers/CAAFAG and they have carried out their intervention individually as well as collectively. The field study has found that major NGOs working on the issue of child soldiers in Nepal have come together and formed a working group to develop a common understanding of the issue, common guidelines and

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common working practices. The NGOs are trying to generate a common pool of funding for the overall program needs. The initiative can be taken as one of the positive steps in Nepal because all the organizations have come together and have defined the problem as well as the causes of the recruitment of child soldiers in the local context. This has helped to reduce duplication of work among the organization and has built synergy in their intervention through their common efforts. However the NGOs are also seen to be focused more on socio-economic support rather than on advocacy, and the reintegration of the victims is not taking place effectively. Based on the research findings, the following general recommendations are drawn: x NGOs, social researchers and academia should initiate academic and theoretical research on child soldiers in Nepal so that the causes of recruitment can be critically analyzed based on sound theoretical foundations. This will further establish the locally developed definition, causal explanations and theories in the local context. x The CAAFAG Working Group as well as the individual NGOs should take into consideration the multidimensional causes of recruitment of child soldiers so that their intervention will not only focus on socio-economic support to the victim. x Informal processes, i.e. informal release, and informal reintegration should be addressed properly by the NGOs so that they can stop the informal shifting of the child soldiers from armed groups to the semi-political groups of CPN-M. The NGOs should pressure the government, political parties (including the CPN-M), donors and UN organizations to start the formal release and reintegration of child soldiers from the cantonment and also from the semi-political groups. x NGOs should also carry out research on the informal shift of children from CPN-M’s armed groups to semi-political/ paramilitary groups so that the ex-child soldiers can be traced and alternative interventions can be planned and implemented for their reintegration. x Comparative study of child soldiers in Nepal and other conflict affected countries should be carried out critically in order to understand the differences and similarities, so that learning experiences can be shared. x Civil society organizations should focus more on legal advocacy for the proper implementation of agreed/ratified legal instruments

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x

and should further advocate the ratification of the Rome Statute of the ICC and the Geneva Convention Optional Protocol (1977). CAAFAG Working Group should conduct an assessment of its performance and good practice should be shared globally so that NGOs in other conflict affected countries can have learning opportunities.



NOTES 1

Interim Constitution of Nepal, 2007, Part 3, Fundamental Rights, Right of Child 22(5). The definition of a child, according to the Government of Nepal, is a “person below the age of 16.” 2 Comprehensive Peace Agreement, 2006 between the Government of Nepal and CPN-M signed on November 21, 2006, agreement number 7.6.1. 3 Agreement on Monitoring of the Management of Arms and Armies, 2006, Principal Part, 1.1. The Agreement was reached between the Government of Nepal and CPN-M on November 28, 2006 and was witnessed by the Personal Representative of the UN Secretary General. 4 A report on the child labor situation in Nepal in 1997 has reported that 24.8 percent of children aged five to nine and 58.3 percent aged ten to fourteen are working as child laborers in Nepal. The percentage is higher in rural areas than in urban areas (Suwal, KC & Adhikari, 1997). Hence, the involvement of children as child labor in the age group fifteen to eighteen could be even higher.

CHAPTER FIFTEEN USING SONGS AS AN EFFECTIVE EDUCATIONAL TOOL FOR TEACHING DISASTERS TO PRESCHOOLERS Introduction It is proposed that children can act as key factors in the promotion of a safety culture, leading to disaster prevention and risk reduction. Therefore educating children, as the future of any community at risk, can be regarded as an effective strategy to communicate safety messages to the entire community and serves to disseminate vital information to most of the population via the knowledge, skills and enthusiastic motivation of children (Izadkhah, 2004b). The children convey messages throughout society, starting with their parents (Izadkhah & Hosseini, 2003). Therefore, using effective tools in teaching about disasters, especially earthquakes, can facilitate the process of children’s learning and sharing the information and experience with others. Obviously, there is no need to emphasize the role of education in disaster reduction. The high efficiency of educating preschool kids is also clear to those involved in educational programs for disaster mitigation. So far, various educational materials and tools, including books, booklets, pictures, animations, songs, puzzles, games and drills have been used by teachers as means for better education. Research has also been carried out on the effectiveness of these tools and media in order to find out those which prove more appropriate for any desired age group of children (Izadkhah, 2004a, 2004b; Izadkhah & Hosseini, 2003, 2006, Izadkhah & Heshmati, 2007). One of these tools is audio-visual tapes, which can be widely used at the preschool level. The use of children’s songs in the classroom is not a new concept. Many teachers have been practicing this method for many years. The benefits of using children’s songs in the classroom are numerous. Some adults can even remember tunes that they heard as children. This music stays in their minds for years. In addition, children’s songs can be used to present information in a rhythmic and repetitive manner that is conducive to learning. Usually, kindergarten kids tend to

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enjoy music and they are motivated to pay attention and learn through this valuable teaching tool. In Iran, audio tapes are used to disseminate safety messages to families including recommended preparatory measures such as sheltering during earthquakes and recovery activities after an earthquake (Izadkhah, 2004a, 2004b). An audiotape was produced in 1994 by the International Institute of Earthquake Engineering and Seismology (IIEES) and is in use widely in most kindergartens in Iran (Figure 1) (see Appendix I).

Figure 15.1. Audio Tape for Teaching Earthquake Safety in the Form of a Rhythmic Song.

The tape presents safety recommendations to be applied during an earthquake in the form of a song, “Earthquake and Safety”, accompanied by a lively music. Children are very receptive to the song which is simple and easily understood. The tape also incorporates a simply worded conversational explanation of some scientific principles relating to earthquakes in a manner which is appealing to children and welcoming to teachers and parents. More explanations about this song and its features are presented in the following sections. In this paper, firstly the characteristics of preschool kids are mentioned briefly. Then the use of earthquake songs and the advantages of these songs as a teaching tool or medium are explained. In addition, the features that a song should have in order to be appropriate for the education of kids—especially on a threatening natural hazard such as an earthquake—are discussed, and finally the “Earthquake Song”, which has been used widely in Iran, is introduced as an existing sample. Some other samples are also presented in the paper, which provide safety measures and messages on what to do during disasters with a particular focus on earthquakes.

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Earthquake Songs for Kindergarten Kids The five- to six-year-old children who enter the preschool level in kindergartens in Iran have certain common characteristics, some of which are (Parsizadeh et al., 2007): x These children are unable to concentrate on an activity for a long time, which means that activities need to be limited to approximately seven to fifteen minutes; x They enjoy activities in smaller groups rather than performing them in larger groups; x They like repeating songs; x They need to have physical activities in this age group; x Naturally, they respond to songs with rhymes. In this regard, children’s education needs to be considered as a crucial element in earthquake public awareness programs, playing a key role in increasing overall public knowledge and awareness of earthquakes (Izadkhah & Davis, 2006). This can be achieved through using various useful and appropriate tools. For example, the US Geological Survey (USGS) has produced earthquake tips for kids in various forms including puzzles, games, animations, earthquake ABC and other activities which seem amusing to the kids (USGS, 2008). Consequently, it is presumed that songs have proved to be an attractive medium for educating kids. However, based on available sources, few songs have been made for teaching disaster issues to children. The examples used relate to global warming, hurricanes and some other natural disasters (Jordan, 2008), but only a few songs exist which deal with earthquakes. As an example, the Federal Emergency Management Agency (FEMA, 2008) has produced a great song called “Shimmy-ShimmyShake” which is sung to the tune of “Old McDonald’s Farm” (Appendix II) as well as a rap song for kids written and performed by Scott J. Wolfson (Appendix III). Iran can be considered as one of the world pioneers in the teaching of earthquake issues in kindergartens. “Earthquake and Safety” drills are practiced annually on May 8 in all kindergartens across the whole country. The main objectives of holding the earthquake and safety drills are to increase children’s knowledge about earthquakes, to raise preparedness for the correct and quick performance during disasters, to expand the safety culture regarding earthquakes, and to reduce their consequences by using various tools and media such as singing songs, role playing, drawings and similar activities. Teaching about earthquakes to young children is not an

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easy job, and therefore very selective methods must be implemented in teaching disasters to children. It is assumed that practice, through the use of drills as well as singing songs, can provide a sense of control and confidence in children of this age group (Izadkhah & Hosseini, 2006). The first nursery schools’ Earthquake and Safety drill was held in October 2000 in one of the central parks in the capital city, Tehran. The aim of the drill was to demonstrate the safety procedures performed by nursery school children, which included singing the earthquake song. Photos of 2000 and 2004 drills in which kids sang the “Earthquake and Safety” song together in the park are shown in Figure 15.2.

Figure 15.2. Children Sing the “Earthquake and Safety” Song in the Annual Drills.

An “Earthquake and Safety” drill was also recently held by IIEES in 2008, with the cooperation of the Children’s Section of the Welfare Organization in three areas in Tehran as well as the Municipalities of districts 3, 6 and 16 in three central parks in the capital. Children performed safety measures including singing the “Earthquake Song”, as shown in Figure 15.3.

Figure 15.3. Children Singing the “Earthquake and Safety” Song while Marching to their Bus in the 2008 Annual Drill.

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It also seems that kids enjoy singing these songs while performing them and this helps them to learn and memorize it much more quickly (see Figure 15.4).

Figure 15.4. Children Singing the “Earthquake and Safety” Song in their Kindergarten. Photos: Izadkhah, IIEES.

A study undertaken with more than 200 children in ten kindergartens revealed that using songs can be considered as one of the favorite methods that little kids like to use. This was gathered from the results of interviews with children, teachers and parents as well as the first author’s observations (Izadkhah & Heshmati, 2007). It is worth mentioning that the contents and educational context of this song have been developed and used for children without having rhymes but, based on the results obtained, the song received more attention from kids when produced and used in a rhythmic form. It seems that children remember the song better when it is sung with a rhymed tune. The Advantage of Songs and Educational Tools In general, every song consists of three components: 1) lyrics or words (poem); 2) music or harmonics; and 3) the singer’s voice. Each of these three has some potential for attracting people’s attention, particularly kids, and can be used separately for educational purposes. However, when these three features are mixed together, their potential capabilities are combined and can have a more powerful effect in drawing the children’s attention. In fact, although the main idea of a song is included in the lyrics, the beauty of the music adds more attraction to the lyrics and the music itself, if composed artistically, can convey some ideas simultaneously. The music also can make kids become excited and perform, which in addition to the benefit for their health, can put them in a very happy mood for learning. Furthermore, when poems are included in the songs they can be memorized and remembered by kids much more easily. Finally, the voice

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of the vocalist and its features (intonations, slowness or quickness in the rhythm, etc.) can help convey the true meaning of the lyrics to kids and establish the materials more effectively in their minds for a long time. Compared with printed materials such as books, booklets, pamphlets and posters, songs are more attractive since they affect several senses and emotions simultaneously. They are also more exciting than plain recorded voices such as stories. In fact, if stories are expressed or presented in the form of songs, they tend to receive more attention from kids. Songs can be even more useful than animations or video clips on many occasions, since using animations and video clips needs specific equipment which is not always available to all kids and because these media engage the visual senses, children tend not to do anything else while watching them. In contrast, anybody can listen to a song while he/she is busy with other things: kids can listen to the song on their way to or from school, or while travelling. Another advantage of a song is that only simple equipment, such as a tape player, is needed. There are some issues with regard to making a song for kids of a specific age group, which talks about a threatening natural hazard such as an earthquake or tsunami. In fact, if the song is made without meeting these requirements and lacks appropriate features, not only it can be unsuccessful in attracting the kids’ interest and attention, but it may also be misleading and have other adverse consequences. In general, if the lyrics are taught using amusing methods, children do not feel any fear about the earthquake issue. In the next section of the paper, the requirements for a song to be firstly attractive, and secondly nonmisleading, are explained. The Features of an Appropriate Song for Kids An appropriate song should be able to: 1) attract kids of a specific age group; 2) transfer some necessary knowledge to them in a correct way; and 3) avoid creating any adverse effect on their minds. To achieve these, each of the song’s ingredients mentioned in the previous section should be taken into consideration to ensure that it has the following features: The first ingredient, lyric (poem), should have the following specifications: x It should be simple. The words used should be quite understandable for the kids of a given age group, and this makes the job very difficult. In fact, the poet is obliged to use a limited vocabulary in order to transfer the idea as well as the scientific,

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x x x

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technical, social or cultural materials, and this is not an easy job, particularly when the materials are complicated, such as in case of earthquake hazard definitions. It should not be very long, and at the same time it should be long enough to transfer all of the intended materials. Experience has shown that if the whole song is longer than five minutes, kids usually lose their concentration and get bored. Therefore, the poem should be as short as possible. Meanwhile, it should completely express the related idea and necessary materials. It should have a simple, lively and nice melody in order to be memorized by the kids easily. It should have simple and clear rather than complex explanations. It might have positive effects if it can be sung in a group rather than individually.

The second part, music, should have the following features: x It should have a happy or exciting start, so that every kid is attracted to listen to and chant it. Then, the melody can change gradually to express various states such as danger or horror contexts indirectly. x It should be simple, both in rhythm and melody, so that kids can learn it easily and be able to play it (or imitate it) by themselves, as well as to re-play the music, or at least its main melodies on simple instruments at home or school. x It should have a happy and cheerful ending in a lively mood, so that kids can gain a positive impression of the song and be encouraged to communicate their learning to others, particularly peers/classmates, friends and parents. The third element is the singer’s voice, which should include the following features: x It should be kind and friendly in order to create a nice and pleasant feeling in kids. x It should possibly remind the kids of a familiar, amusing and attractive voice such as one of the well-known and favorite cartoon characters. x Its intonation should change to reflect the concepts expressed in the lyrics, so that kids can clearly understand the differences. The producers of the song used and delivered by the IIEES have tried to meet these requirements as described below.

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IIEES’ “Earthquake and Safety” Song As noted earlier, a Persian song was composed by the second author of this paper for familiarizing preschool kids with earthquake and the safety measures (Appendix I). This song has been used in most of Tehran kindergartens. Teachers teach this song while performing the actions that are indicated in the song. With regard to the lyrics’ features, effort was made to include the following four parts in this “Earthquake and Safety” song: Part 1—What is an earthquake? The first part explains the earthquakes which can happen suddenly and cause a part of the earth’s surface to shake. It tells the children that they can be safe if they know what appropriate measures to take in an earthquake. Part 2—What to do during an earthquake? This part includes safety measures, correct sheltering and safe evacuation from home. Part 3—Transference of messages to families. This part advises the kids to sing the song to their parents and friends in order to communicate the safety measures. Part 4—Sending a direct message to parents through children. A message is sent to the parents not to be scared of earthquakes and to learn the safety measures, so that they can survive the tremors as well as to know what to do in case of an earthquake occurring. For the music to have the aforementioned features, the producer has tried to compose cheerful music to make the kids happy and excited. The length of the song is five minutes, which does not bore children, cause them to lose their concentration or be distracted from the main message. With regard to the singer’s voice, the person who dubbed the famous and favorite cartoon character, Pinocchio, has been chosen. This familiar voice also helps to reduce the probable fear that might be created in kids while listening to the messages of the song. The song ends in a happy way, encouraging children to clap and jump around. This creates a good memory for children and persuades them to return to the song again later and to repeat or tell it to others many times. It should be noted that in addition to the above mentioned features, the method of teaching and the role of teachers is of great importance and this will be discussed in the next section.

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The Teacher’s Role in Teaching Earthquake Songs The teacher’s role is very important in teaching earthquake songs to children. The kids can be asked to repeat what they have learned with a jolly song. For example, in the case of earthquakes, the teacher can play the “Earthquake and Safety” song to children. When they have all listened to it, the song should be played again. Then the teacher should tell the kids that “we need to learn it all together.” The teacher can repeat this song a few times and sing it with the children. In order to motivate all of the children and to hold their attention, the teacher may use some favorite tools such as glove puppets. For example, the children can be asked to use the puppet and to sing the song and repeat it. This motivates them even more and increases their interest to learn better and more quickly. The teacher can also divide the song into shorter sections and teach them one by one in order to make sure that the kids have learned it. The teacher has to schedule his/her time in such a way so as to play the taught section once in the morning and once in the afternoon in every session. In the next session, as in the previous ones, the teacher can review what has been taught so far. Then the next part of the song should be practiced with the children. An attempt should be made to make the environment very attractive to children along with using a variety of teaching methods. If the teacher has used rag dolls or glove puppets in the previous sessions, she/he should use another device in this session for practicing the song. For example in this part of the song: “If you are near a wall, cover your head with both hands”, the teacher can ask one of the children or all of them to play this, to go near an interior wall, kneel and protect their heads and necks with their hands. In the next few sessions, the song should be taught to children by using different methods for teaching each section of the song. After they have learned the song completely, a short time can be allocated in every session for them to listen to the song and to repeat and sing it together in order to keep the materials fresh in their minds. The teachers can also accompany kids in singing, acting and clapping while practicing the song (Parsizadeh et al., 2007). The teacher can ask the children to write a poem about preparations for an earthquake (or another type of disaster) or a poem about what happens during an earthquake. Additionally, the teacher can invite a group of children to create a song about any type of disaster. The teacher can provide children with existing chants and songs which they can use in the classroom. A teacher can also use the music to organize events in the classroom. For example, she can play the same song when the students are

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expected to sit in a circle and ask them to read it together. The teacher can also make the class in two groups and ask each to sing a part of the song while role-playing or performing related gestures. In interviews with teachers of ten nursery schools in Tehran, almost all regarded using songs as an appropriate and effective tool for teaching disasters to children. They mentioned that children repeat this earthquake song even when they are busy with other activities such as drawing or playing in the classroom. They also sing them for their parents as they watch them. This can convey the song’s message to the children’s families as well. Conclusions There are a number of different types of learning for children, such as learning through practice, working in groups, dialogues between children and teachers, role-playing, singing songs, playing games and practical demonstrations, which can all be effective depending on the context in which they are used. Again, it is argued that still there might be some media that are more popular with children of a certain age group. In this study, one of these media, the song, is employed as one of the favorite tools. It is evident that due to the rhythmic nature of the earthquake song, it remains in the children’s minds for a long time and with its repetition, the main message (earthquakes and safety) will be communicated to the families as a small part of the whole community. Using a wide range of possible methods and tools can help to prevent children from becoming bored. For example, the basic teaching can be done with a specific method such as using puppet gloves singing an earthquake song for kids. Then at the stage of repetition and practice, singing songs by the kids themselves can be used in order to stimulate the interest of children in other classes or outside among their families. Based on the results of this study, it is therefore recommended that producing disaster songs and using them can be expanded in kindergartens. The songs should be taught by trained teachers in order to teach the safety measures to children without creating any fear in them about disasters. Obviously this tool can be very effective in teaching disasters to children with very useful outcomes which will be revealed in the future generation. Finally, due to the novelty of the topic, more practical studies and research is needed in order to support this work.

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APPENDICES: SAMPLES OF DISASTER SONGS FOR KIDS Appendix I: IIEES’ “Earthquake and Safety” Song This song was translated to the tune of an English nursery rhyme in 2007 (by Heather Bliss). It should be noted that the work of making this song into rhyme was difficult due to the need to produce simple rhymes and get the rhythm right as well as the sense. The rhymed poem was originally produced in Persian by Mahmood Hosseini, and the adaptation is due to the limitation in using certain words based on the first version. The song can fit to a simple nursery rhyme tune, such as “Humpty Dumpty sat on the wall, Humpty Dumpty had a great fall...” 1) Hi kids, hi kids 3) I’ll tell you ’bout ’quakes

2) Kids sitting patiently, 4) If you’ll sit quietly.

Quakes come sudden, People are scared

The earth starts to shake, And windows may break,

If we’re wise Quakes won’t harm you –

And know what to do, Or only a few!

So what’s safe? Listen carefully

What’s best to do? And you’ll hear it too.

If you’re home When the earth shakes

Or if you’re at school, What to do? What to do?

Don’t panic and push Do what you’re told and

You must be quite calm, You’ll come to no harm.

If you’re near a door If you’re near a wall

In the doorway you’ll stand, Cover your head with both hands.

If you’re near a table Grasp the legs tight and wait

Go quickly below, For the earthquake to go.

If you’re indoors Crouch down and put

Strong corners are best, Your hands on your heads.

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Don’t go in the lift Keep away from the windows

Don’t jump outside, Cupboards and lights.

If you’re outside Keep away from houses

Keep away from the trees, And power lines like these! [point to picture]

Move to a space Cover your head

Stay there crouched down, Till the quake leaves town.

Learn this song, children Sing to your parents

Learn it all through, And they’ll be wise too.

Sing to your brothers And they’ll all learn

And sisters and friends, How this story ends.

You adults, you adults There is no point in being scared about earthquakes The best solutions is to learn the safety measures Mother, fathers, adults, uncles and friends Listen to our song about safety in quakes! Don’t get scared, don’t panic and scream Be prepared and you’ll survive the shakes. [Everyone jumps around and claps].

Appendix II: FEMA Song about Earthquakes This song about earthquake safety is from a FEMA resource pack called “Shimmy- Shimmy- Shake” sung to the tune of Old McDonald’s Farm (lyrics adapted by Sylvia Herndon). Verse 1 Rumble, rockin, shakin’ ground Shimmy-shimmy-shake! Whoops! it’s hard not to fall down Shimmy-shimmy-shake!

Verse 3 Get under something near and safe Shimmy-shimmy-shake! You must be fast, now don’t you wait... Shimmy-shimmy-shake!

With a rattle rattle here And a rumble tumble there

With a rattle rattle here And a rumble tumble there

Here a rattle—there a rumble Everywhere a rumble tumble Rumble, rockin, shakin’ ground... Shimmy-shimmy-shake!

Here a rattle—there a rumble ... Everywhere a rumble tumble Rumble, rockin, shakin’ ground ... Shimmy-shimmy-shake!

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Verse 2 Someone says it’s an earthquake! Shimmy-shimmy-shake! Best to hurry, don’t you wait. Shimmy-shimmy-shake!

Verse 4 Hold on tight and ‘fore you know Shimmy-shimmy-shake! Rockin’s over, you can go... No more shimmy-shake!

With a rattle rattle here And a rumble tumble there

No rattle rattle here No rumble tumble there

Here a rattle—there a rumble Everywhere a rumble tumble Rumble, rockin! shakin’ ground... Shimmy-shimmy-shake!

Here no rattle—there no rumble... Gone is all the rumble tumble. Rumble, rockin’, shakin’ ground... No more shimmy-shake!

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Appendix III: FEMA Rap Song about Disaster This rap song for kids was written and performed by Scott J. Wolfson (FEMA 2008). Disaster...it can happen anywhere, But we’ve got a few tips, so you can be prepared For floods, tornadoes, or even a ’quake, You’ve got to be ready—so your heart don’t break. Disaster prep is your responsibility And mitigation is important to our agency. People helping people is what we do And FEMA is there to help see you through When disaster strikes, we are at our best But we’re ready all the time, ’cause disasters don’t rest (FEMA 2008).

PART III REBUILDING SUSTAINABLE COMMUNITIES AFTER WARS

CHAPTER SIXTEEN THE LEBANESE IN POST-CONFLICT LIBERIA 1 Introduction Since former Liberian President Charles Taylor left office in August 2003, effectively ending his country’s war, the Lebanese have played both a constructive and destructive role in the rebuilding of Liberia. To understand this role best, we must examine the relationship between the current government and the Lebanese community, as this has important implications for reconstruction. If the government implements draconian policies that result in substantial wealth re-distribution, or expels the Lebanese, foreigners would be deterred from investing in Liberia. If the government coddles the Lebanese or shows the community favoritism, Liberian business owners could be hurt. To fully understand the relationship between the current government and the Lebanese, we need to understand the relationship between previous governments and the Lebanese. I have divided this paper into three sections. In the first section I will present a framework for understanding Liberian government policies toward the powerful Lebanese community in the country from 1980 to 2005. In the second section I will describe and explain the relationship between current President Ellen Johnson Sirleaf’s administration and the Lebanese community. I will make the case that the government is managing a constructive relationship with the Lebanese, while at the same time gradually developing and implementing policies to promote Liberian entrepreneurship, some of which might hurt Lebanese businesses. In the third section I will discuss the role the Lebanese have played in rebuilding Liberia since the war ended. I will describe the complicated impact of their businesses and investments and argue that they are both promoting reconstruction and further investment, while simultaneously hurting Liberian businesses and decelerating development.

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Explaining Government Policies toward the Lebanese in Liberia Introduction. Ethnic minority trading groups, defined for this paper as ethnic minority groups that utilize intra-group mutual trust and mutual aid from tight kinship ties to reduce the transaction costs of trade, 2 can be found around the world. The East Indians in East Africa, the Chinese in Southeast Asia, and the Japanese in the US are all examples of ethnic minority trading groups. These groups are frequently scapegoated for the economic malaise of a country. They are accused of plundering natural resources and illicitly conspiring with government officials to repress the ethnic majority population. They are charged with showing favoritism toward members of their own ethnic group and raping the host country of huge sums of money, sending profits to overseas bank accounts. What little money remains in the country, according to such allegations, is handed over to corrupt government ministers to secure monopolies and trade preferences that further the minority group’s economic dominance. A number of political factors have been shown to increase the likelihood of repression of an ethnic minority group. Because many of these factors are present in Liberia, violent or non-violent repression of the Lebanese would not be unexpected. Yet government policies affecting the Lebanese community living in Liberia have been remarkably restrained. Successive governments over the past three decades have actively resisted calls for the Lebanese to be expelled from Liberia. In fact, some governments have taken actions explicitly to protect the community. What factors determine how a government will treat an ethnic minority trading group? Why have government policies that have affected the Lebanese community in Liberia been relatively moderate? Although poor institutional quality may exacerbate ethnic tensions in some cases, I will disprove theories proposed by William Easterly (2001) by showing that in Liberia, weak institutions accompanied remarkably moderate policies toward the Lebanese. Some theories arguing for the importance of informal institutional quality in affecting inter-ethnic relations seem equipped to partially explain Liberian government policies toward the Lebanese. I will show that the Lebanese efficiently, intelligently and effectively regulate the behavior of members of their community, supporting Fearon and Laitin’s (1996) contention that strong in-group policing can mitigate the potential for ethnic conflict. I will show that sustained and substantive inter-ethnic associational forms of engagement between Lebanese and Liberians are rare, suggesting that the Lebanese have not used broad inter-ethnic interactions as a way of reducing information failures. Although this does not disprove Varshney’s

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(2001) theories, it does not support them either. Finally, I will show that the Lebanese have used their economic dominance, trade networks, and contacts to influence decisions taken by Liberian policymakers that affect the Lebanese community. Despite the many limitations of my research, my conclusions may have some implications for broader discussions about ethnic conflict and repression. Though the relationship between Lebanese and Liberians is by no means ideal, the lack of violence between these two groups is certainly something that countries like the Philippines, the Sudan and Thailand could learn from. The case of the Lebanese seems to show that by minimizing cleavages within a minority group so that effective in-group policing is possible, the group can more easily improve its standard of living. By fostering good will (or at least reducing animosity) among the ethnic majority population, less popular pressure will be put on the government to enact vindictive economic policies toward the minority group. In-group policing also allows a group to reduce more effectively the potential for conflict or targeted violence. Background: The Lebanese in Liberia. Although there is debate about the exact year that Lebanese first arrived in West Africa, it is generally believed that they immigrated to the region during the 1860s and 1870s (Boumedouha, 1993; Leighton, 1993). During these years large numbers of Lebanese attempted to travel to the US or South America, yet many ultimately immigrated to West Africa. While there have been no comprehensive studies of migration to West Africa, a study specifically on Sierra Leone indicates that most Lebanese there came directly from Lebanon (Van der Laan, 1993). All of the Lebanese I interviewed who were not born in Liberia had come directly from Lebanon. Of the Lebanese I interviewed who were born in Liberia, all indicated that their parents or grandparents had come directly from Lebanon. As of 2006, the 4,000-strong Lebanese community comprised 0.13 percent of the population in Liberia (CIA, 2006; Paye-Layleh, 2005). Although this list is not comprehensive, the Lebanese in Liberia are involved in real estate, hotels, grocery and electronics stores, and importing cars, rice and petroleum. There have been allegations, supported by several interviews I conducted, that the Lebanese are also involved in the diamond and timber trade: UN sanctions currently prohibit the export of diamonds and timber from Liberia. While statistics on Lebanese average wealth compared to Liberians are not available, my impression is that there is great variation in the socio-economic status within the

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Lebanese community. That being said, every Lebanese whom I interviewed was markedly better off than the average Liberian. Variation in Government Policies that Affect Ethnic Minority Trading Groups Theories explaining ethnic conflict: Formal institutional quality. Easterly (2001) emphasizes the important role of institutional quality on violent ethnic conflict and economic growth. Interactions between institutional quality and ethnic diversity lead him to believe that “[e]thnic diversity has a more adverse effect on economic policy and growth when institutions are poor” (2001: 703). He also argues that “[g]ood institutions…lower the risk of wars and genocides that might otherwise result from ethnic fractionalization” (Ibid.) and that it is probably “institutions rather than democracy that contain ethnic conflict” (Ibid.: 691). The intervening variable in both of these statements is the power of institutions. Good institutions offer minorities legal protections like freedom from expropriation and contract protection; they can manage the distribution of public services in a way that lessens potential tension. These legal provisions and institutional attributes delimit the destructive effects one ethnic group can have on another. Informal institutional quality. James D. Fearon and David D. Laitin support the significance of social variables (1996). Other theories explaining ethnic violence such as the rational-coalition theory and the psychological theory, however, can be complementary to their logic (1996: 717). Lake and Rothchild (1996) also argue for the importance of both social variables and institutional quality. While their points are closely related to those of Fearon, Laitin, and Easterly, and the authors’ points are certainly not mutually exclusive, Lake and Rothchild emphasize different variables, deeming that collective fears for the future are most often the cause of ethnic conflict and the reason that negotiations can fail. These fears stem from “information failures, problems of credible commitment, and the security dilemma” (1996: 41). Varshney argues for the importance of a certain type of civic network—what he calls inter-ethnic associational forms of engagement— in explaining the presence or absence of ethnic violence (2001, 362–363). Associational forms of engagement are more formal forms of engagement, including trade unions and business associations. Varshney argues that

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[v]igorous associational life, if interethnic, acts as a serious constraint on politicians, even when ethnic polarization is in their political interest. (2001: 363)

and even asserts that [t]he preexisting local networks of civic engagement between two communities stand out as the single most important proximate explanation for the difference between peace and violence. (2001: 374)

Additionally, Varshney believes that the usefulness of in-group policing mechanisms, as proposed by Fearon and Laitin, may perform a function similar to inter-ethnic associational civic networks (2001: 395). In “The Lebanese Communities of Cote d’Ivoire” Chris Bierwirth provides a detailed description of Lebanese demographics in the country, cleavages among the Lebanese-Ivoirians, and the economic, political, and social situation of the Lebanese-Ivoirians in 1999 (1999). Bierwirth provides useful insights that account for, albeit sometimes only partially, the situation of the Lebanese in Cote d’Ivoire. I will test some of these explanations in the case of the Lebanese in Liberia. Bierwirth describes a significant cleavage within the LebaneseIvoirians. He defines the familles durables as those Lebanese families that have been in Cote d’Ivoire for two or three generations, and the nouveaux as those Lebanese who arrived in the country after 1975, the year generally accepted as the start of the Lebanese civil war (1999: 79, 88). Before explaining government policies toward the Lebanese-Liberians in my research, I will describe any divisions permeating the minority and what (if any) visible effects these cleavages may have. Bierwirth’s description of intra-ethnic cleavages is closely related to Fearon and Laitin’s discussion of the importance of intra-ethnic access to information. As previously discussed, Fearon and Laitin made the case that in-group policing mechanisms within an ethnic group can mitigate inter-ethnic violence: after Bierwirth’s description of cleavages within the Lebanese-Ivoirian community, it follows that these mechanisms are probably more likely to be present and effective in ethnic groups without significant cleavages. Intra-ethnic cleavages would also complicate Varhsney’s contentions. Synthesizing theories. While many of the scholars previously noted make extensive efforts to show how their proposed theories of ethnic violence are distinct from the others, several theories are quite similar. Many of the variables can be grouped together. As shown by the above categories, I have grouped them into the following categories: 1) formal

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institutional quality (including institutions such as the judiciary along with constitutional provisions guaranteeing minorities certain rights); and 2) informal institutional quality (including in-group policing mechanisms and associational forms of engagement). I will also examine the importance of two other variables. First, I will look at the economic importance of each ethnic minority trading group for the country of residence. Second, I will try to determine if the degree to which a minority group supports government officials affects government policies toward the minority group. I hypothesize that poor formal institutional quality or poor informal institutional quality is necessary but not sufficient to bring about violent ethnic conflict. I also believe that strong informal institutions are more likely to be present and effective when intra-ethnic cleavages are minimized. I hypothesize that when an ethnic minority trading group directly or indirectly provides financial aid to government officials, that minority group is more likely to be affected favorably by government policies. 3 Government Policies that Affect the Lebanese in Liberia Data from secondary sources on government policies—both older and more recent—that have affected the Lebanese in Liberia is limited. What follows is an overview of policies I have been able to identify through my literature review and interviews with Lebanese and Liberians. With a few exceptions, these policies are moderate, and fiery rhetoric noticeably absent. In fact, governments in the past two decades seem to have courted, cooperated and collaborated with the Lebanese. In 2004 the vice chairman of the National Transitional Government of Liberia told the Lebanese community that he was “grateful to the continuous interest and presence of the Lebanese Community [sic] in the country” (“We Appreciate….”, 2004). Constitutional citizenship provision. The policy that has had the most significant impact on the Lebanese community in Liberia is the country’s citizenship requirements. Liberia’s constitution states: In order to preserve, foster and maintain the positive Liberian culture, values and character, only persons who are Negroes or of Negro descent shall qualify by birth or by naturalization to be citizens of Liberia. (Constitution of the Republic of Liberia, 4.27.b). 4

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The implications of this provision go beyond the obvious effect of disenfranchising Lebanese. Article 22 of the constitution says: Every person shall have the right to own property alone as well as in association with others; provided that only Liberian citizens shall have the right to own real property within the Republic. (Ibid., 3.22.a).

Therefore, many foreigners, including Lebanese, cannot own property. Only one Lebanese businessman I interviewed said that the property issue had affected his investment. He said if he could own the property that his restaurant was located on, he would invest a little more in its aesthetics. Several Lebanese referred to a practice where Lebanese register property in the names of their Liberian wives or Liberian friends. 5 De facto expulsion. On February 11, 1928 the government of Charles King issued a decree forbidding “many foreigners, including the Lebanese, from trading in the interior” of the country (Van der Laan, 1993: 536). Van der Laan argues that this decree “amounted to an expulsion order, as the concentration of foreigners in the coastal town was already high” (Ibid.). Following the decree, many Lebanese left for other West African countries. There have been no collective evictions since 1928, although individual expulsions have been common (Ibid.). “Open door policy”. In the late 1950s Tubman’s government began to publicize the “Open Door Policy.” This policy was an effort to encourage foreign investment, yet its provisions were largely ineffective because of the constitutional provision forbidding foreigners from owning land (RAFREDOM Wants…., 2006). Liberianization policy. In January 1983 the Liberian government, under Samuel K. Doe expanded the Liberianization Policy to forbid foreigners from becoming involved in any of thirty-three businesses. 6 Under the policy, only Liberians can become involved in businesses such as petrol stations, cement and rice distributions, woodwork shops, beauty salons, gold, black and silver smith shops, bakeries, hprinting press [sic], video cassettes, butcheries, accounting firms, commercial vehicles, [and] poultry farms…. (Restrictions Imposed…., 1983)

Foreigners are also prohibited from driving taxis and selling ice, ice cream and water in plastic bags, according to several Lebanese and Liberians I spoke with. Although this may seem like a drastic measure, several factors watered down its impact. First, the policy has been poorly enforced; second, the government rhetoric surrounding the policy at the time was

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notably moderate. For example, an assistant commerce minister was keen to point out that our restrictions of these business areas to Liberians doey [sic] not mean that we are discouraging foreigners from doing business in Liberia…Foreign businessmen should engage in industrial ventures that will create more employment and develop the nation’s economy. (Ibid.)

More than two decades later, Liberian President Ellen Johnson Sirleaf has used similar restrained rhetoric. In the run-up to the October 2005 presidential elections, she said that to [her], Liberianization means “[giving] equal opportunity and where necessary and appropriate preference to Liberian business entities to enable them [to] compete more effectively with domestic or foreign entities.” (“Liberianization has Prospects”, 2005) 7

Individual expulsions. At least for the past fourteen years successive Liberian governments have zealously expelled individual Lebanese who visibly violate laws or are widely accused of violating laws. To give one example, in June of 1987 two Lebanese businessmen were accused of falsifying import documents for shoes and other goods, apparently in an effort to avoid paying certain taxes. The men were deported and all airport customs staff fired for allegedly collaborating with the Lebanese. A few days later this policy was somewhat institutionalized, as the government announced that all defrauders would be dealt with similarly (“Liberia to Deport….”, 1987). Protection. In June 2004 the national security minister of the National Transitional Government of Liberia “assured the Lebanese community in the country of full security protection,” saying that “it was the responsibility of his Ministry to protect both Liberians and foreign nationals alike” (“Security Minister.…”, 2004). Also, in 1972 a Liberian Minister of Information was dismissed from his post immediately after he suggested expelling the Lebanese from the country (Clapham, 1976). Absence of draconian policies. Equally notable as the above policies that have affected the Lebanese is the lack of truly draconian policies, such as mass expulsions or large-scale nationalization of businesses. Less than a month after Doe acquired power through a military coup he addressed the Lebanese business community and told them he did not aim to nationalize businesses. The new government, Doe said, would attempt to

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build a new society where the business community would have greater opportunity to expand and improve their enterprises. (“Liberian Leader’s Meeting….”, 1980)

Testing Ethnic Conflict Theories on the Lebanese in Liberia Formal institutional quality. As discussed previously, several scholars argue that the strength of formal institutional quality can help mitigate inter-ethnic violence. Given the very limited violence between the Liberians and Lebanese in Liberia, for this theory to explain adequately inter-ethnic relations one would expect formal institutional quality to be strong. Data collected during interviews with elite and non-elite Lebanese and non-elite Liberians, along with data from secondary sources suggest that formal institutions are in fact quite weak. Because of space constraints, and because the data I collected for this section is widely accepted, I will not spend time justifying this conclusion. Suffice it to say that overwhelmingly, Lebanese and Liberians expressed virtually no confidence in the strength of Liberian courts, law enforcement personnel, and the judicial system generally. A 2005 World Bank report supports my findings about trust in state-oriented institutions. Theories arguing that strong institutions help mitigate ethnic violence may be helpful in explaining the presence or absence of ethnic violence, but the case of the Lebanese in Liberia seems to show that weak institutions do not necessarily lead to ethnic violence. Informal institutional quality. Fearon and Laitin, among others, argued that variables such as access to information, the costs of conflict, and in-group policing mechanisms significantly affect the degree to which inter-ethnic conflict is present. I have put these variables under the umbrella phrase “informal institutional quality.” Certain components of informal institutional quality—specifically efficient in-group policing mechanisms—seem to play a large role in mitigating conflict between the Lebanese and Liberians. In-group policing mechanisms. I chose to measure the value of ingroup policing mechanisms by looking at Lebanese community associations. 8 The Cultural Union is easily the most influential Lebanese association in Liberia and a highly effective in-group policing mechanism. The World Lebanese Cultural Union is an international nongovernmental organization. Officially, the Cultural Union strives to unite descendants of Lebanese origin and friends of Lebanon into one worldwide organization or union with the aim to promote and

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According to Lebanese Ambassador to Liberia, Mansour Abdallah, the Cultural Union in Liberia serves two purposes. First, it regulates the Lebanese community and helps to solve internal problems, speaks out about administrative problems in the country that affect the Lebanese, and coordinates intra-community communications. Second, it coordinates charitable activities for Liberians. In 2005 the events following a fight between two Lebanese men highlighted the strength of the Cultural Union and the importance of ingroup policing mechanisms in mitigating inter-ethnic conflict involving Lebanese in Liberia. Naji, 9 a young Lebanese businessman who was born in Liberia, was working at a restaurant he managed. He was preparing to close the restaurant for the night, when Edward, a Lebanese man who had recently moved to Liberia from Sierra Leone, entered the restaurant. Naji repeatedly told Edward that he would have to leave for the night because the restaurant was closing: Edward, who was possibly under the influence of drugs, refused to leave. Naji ultimately put a hand on Edward’s shirt, motioning to the door. Edward in turn punched Naji in the face. Naji proceeded to beat up Edward severely, almost killing him. The police came and took both men to the police station. Because the police were friends with Naji, and trusted him, they released Naji but detained Edward. Naji—who was not a member of the Cultural Union—went to Tony Hage and explained what had happened. By this time, the incident had attracted considerable publicity. Hage called a special meeting and the Cultural Union decided to deport Edward from Liberia. “It looked really bad,” Naji said, referring to the fact that there was a rift between two Lebanese. Because of time constraints I was unable to verify this story, which I heard from Naji. Even if the details of the fight are skewed, however, the story still speaks volumes about the importance of the Lebanese’s public image and the powerful role the Cultural Union plays. The Lebanese—or at least the wealthier Lebanese who comprise the Cultural Union—were so concerned with projecting an image of a peaceful and/or unified community and ensuring that the Lebanese remained a cohesive unit decided it was in their best interest to deport Edward. Although it is likely that Edward was deported through actions taken by the Lebanese embassy, the fact that the Cultural Union initiated dealing with this issue illustrates its influence. Ambassador Abdallah, notably, is a member of the Cultural Union and friends with Tony Hage. Coordinating charitable activities, the Cultural Union’s second function, attracts more attention from Liberian media. Every month the

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Cultural Union spends between US$3,000 and $6,000 to implement a charitable project. In the past, the Cultural Union has sponsored the construction of hospital rooms at clinics and the headquarters of the International Committee of the Red Cross, refurbished schools, provided food for a convent and funded scholarships for students. These projects seem aimed at generating goodwill among Liberians for the Lebanese. Cultural Union constituents and staff expertly generate publicity for these projects. For example, a Liberian man responsible for the Cultural Union’s public relations simultaneously serves as a reporter for a news radio station. Inter-ethnic associational forms of engagement; cleavages within the lebanese community in Liberia. Inter-ethnic associational forms of engagement are another way of measuring informal institutional quality. I measured inter-ethnic associational forms of engagement by looking for business associations, trade associations, or religious institutions that comprised a substantial number of both Liberians and Lebanese. Cleavages within the Lebanese community in Liberia. Although in general the Lebanese community is in fact a relatively cohesive group, there may be some divisions. Overwhelmingly, no matter how I phrased the question, Lebanese respondents told me that divisions within the community are minimal, if present at all. “[Our] differences are kept overseas,” a Lebanese businessman in his forties said, referring to recent conflicts in Lebanon. Another Lebanese businessman told me that even during the worst times in Lebanon, divisions among the Lebanese in Liberia never escalated above business competition. I am reluctant to make any generalizations about divisions among the Lebanese because of the contradictory opinions I heard about this issue. Several Lebanese respondents said that the most notable divisions are related to competition among businesses. There are “no major splits within the Lebanese community in general,” a businessman said. “With business there is always competition, but they try to solve most problems through the Cultural Union, if that fails then they go to a court.” Additionally, one Lebanese respondent told me there are sometimes minor divisions between those that are very wealthy and the less well-off. “But when there are problems,” he added, “[the Lebanese] all unite, like a village.” There are probably not substantial cleavages within the Lebanese community in Liberia along religious lines. If there are tensions among Muslims, Christians or Druze, they have not caused any notable conflict or affected the ability of the Lebanese to portray themselves as a unified group. One Lebanese man in his twenties told me that the older generation is divided along religious lines, but the younger generation is less divided.

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Another Lebanese man, however, explicitly said that the Lebanese do not divide themselves, “especially not by religion.” I am more inclined to support the latter view for two reasons: first, I personally saw many interactions between Muslim Lebanese and Christian Lebanese, and second, a young Lebanese businessman told me that when there are ceremonies at a church or mosque both Muslims and Christians will attend. There are several reasons why the Lebanese in Liberia are a relatively unified group and have taken so many steps to remain unified, especially in comparison to Lebanese communities in other West African countries. First, the size of the Lebanese community in Liberia—currently numbering around 4,000—is significantly smaller than the size of the Lebanese community in countries like Nigeria, Senegal and Cote d’Ivoire. Second, as one Lebanese put it, “if one [Lebanese] breaks a law, we all pay for it…it only takes one rotten apple.” It is in the interest of all Lebanese to minimize opportunistic acts that would reflect badly on the community as a whole. Third, the recent deadly and prolonged conflict in Liberia has necessitated intra-group reliance. For example, during the conflict in 2003 the vast majority of Lebanese fled the country. Most, if not all of those who stayed hoped to protect their shops from being looted. For days at a time all of the Lebanese who owned shops on a busy Monrovia street slept in one house on the street. They would alternate sleeping so that one person was always alert for the sound of breaking glass, the telltale sound that a shop was about to be looted. After identifying the source of the sound they would use their cellular phones to utilize all of the connections they had with government officials and beg for someone to come down the street and fire shots in the air to scare off the looters. This is one example of a way that the conflict effectively consolidated the Lebanese community. Because cleavages within the Lebanese community are minimal, it is possible that the presence of inter-ethnic associational forms of engagement may help prevent ethnic conflict. I will now discuss the presence, and in some cases notable absence, of inter-ethnic associational forms of engagement between Lebanese and Liberians. Based on interviews with Liberians and Lebanese, inter-ethnic associational forms of engagement do not appear to be frequent or substantive. Although there are some places where inter-ethnic interactions occur regularly, such as religious institutions, because participation by Lebanese is limited I doubt that these interactions could sufficiently explain the surprising lack of violence between Lebanese and Liberians.

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No individual that I interviewed—Liberian or Lebanese—was a member of a trade or business association that comprised Lebanese and Liberians. A Lebanese businessman said that the “Cultural Union and the Lebanese Embassy are the cultural/business organizations” for the Lebanese community. A Liberian man in his thirties alluded to a club that comprised Lebanese and Liberians, but the club collapsed during the war. Churches appear to be the most significant arena for systematic interethnic associational forms of engagement. If the responses I heard from the Lebanese I interviewed are representative of the Lebanese community, however, most Lebanese are not very religious, and few attend a church or mosque more than a couple of times a year. The majority of Lebanese I interviewed do not appear to have integrated into Liberian society. Marriages between Lebanese men and Liberian women seem to be rare, although not unheard of; marriages between Lebanese women and Liberian men seem to be non-existent. Despite this indicator of integration, however, of the nine Lebanese that I interviewed, two of them have assimilated substantially into Liberian society. One of them, a Lebanese restaurant owner who was born in Liberia, speaks Liberian English and has mostly Liberian friends— something of a rarity. “My contacts are with Liberians, not Lebanese,” he said. This restaurant owner, however, may have been exaggerating the degree of his assimilation. The other Lebanese man who has assimilated considerably into Liberian society worked at a Lebanese-owned hotel. “I am not too friendly with Lebanese,” he said, “I am more friendly with Liberians.” Although many Lebanese I interviewed tried to convince me that they were the exception to the norm of non-integration, my impression is that Lebanese interactions with Liberians are generally limited to employer-employee relationships. Political economic elements. There are at least two specific ways that the economic role of the Lebanese could affect government policies. First, if Lebanese capital and skills are vital—or perceived as being vital—to Liberia’s economy I would hypothesize that the government would be more inclined to treat the community better. Second, if the Lebanese have been financially or otherwise supporting government officials I would suspect that government policies toward them would be more positive. Economic importance. To determine if the Lebanese are considered economically vital I asked Liberians what effect an expulsion or mass voluntary exodus of the Lebanese from Liberia would have on Liberians. Responses to this question varied considerably. A Liberian security guard said that if the Lebanese left the country Liberians would not suffer. “We can take care of our own economy,” he added. A Liberian farmer,

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however, said that it would be a disaster if the Lebanese were expelled. He judged that because the Lebanese have been in the country for so long they have acquired management skills appropriate for Liberian industries. He argued that a flight of this skilled labor would detrimentally affect Liberians. Because of the few Liberian respondents in this study and because there was not an identifiable trend in responses to this question, I am unable to evaluate adequately the importance of this variable. Financing government officials. Before discussing the degree to which the Lebanese supported Liberian government officials—one of my independent variables—it is worth acknowledging that Lebanese contributions could potentially be the result of a government policy—my dependent variable. Put differently, it is possible that bribes demanded of the Lebanese are higher than bribes demanded from Liberians or other foreigners. Also, even though I will show that Lebanese support for Liberian government officials was multi-faceted and highly valued, this variable cannot completely explain the puzzle of surprisingly moderate government policies that have affected the Lebanese. That is to say, if the Lebanese channeled so much of their wealth through bribes, why were they not expelled from the country so that government officials could confiscate all of their wealth at once? I will show that the Lebanese supported government officials in ways that went beyond simply providing them with financial resources. The Lebanese’s international contacts and their knowledge of regional trade networks were intangible benefits that many successive governments took advantage of. These contacts would be lost rather than “captured” if the Lebanese were expelled. Stories gathered from news articles and literature on the Samuel Doe, Charles Taylor, and Gyude Bryant governments suggest that Lebanese support of government officials has been varied, sustained and valuable. For example, there are allegations that Lebanese businessman George Haddad held a monopoly on the import of rice under Taylor because of an arrangement between Mr. Haddad and Taylor [that] was reached as a result of Mr. Haddad’s financial support to Mr. Taylor’s National Patriotic Force of Liberia in the 1990s. (“Liberia Press the New Broom”, 2003)

Moreover, before the National Transitional Government of Liberia took over in August 2003, the Taylor government had fixed retail prices for rice and petroleum (two goods that the Lebanese had a monopoly on importing) at a level that greatly surpassed the costs of importing the goods (Tahari & Fisher, 2004). It is unlikely that Taylor would risk the

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political ramifications of an unnecessarily elevated price of a commodity as essential to the survival of Liberians as rice unless he was receiving something in return from those who benefited from the elevated price. Charles Taylor efficiently utilized the Lebanese to consolidate his power (Reno, 1997, 1995). Taylor’s brother owned a bank through which Taylor was able to direct funds raised through the Forestry Development Authority (FDA). The bank collect[ed] cash for timber license and to tax rough log exports. This trade attracts French firms and Lebanese-owned enterprises in neighboring Cote d’Ivoire. (Reno, 1995: 114)

Taylor regularly traded timber for weapons, helping to fuel his insurgency (Ibid.). Additionally, Cote d’Ivoire allowed an arms trade to continue with Liberia. Ivoirian government officials may have profited from this trade because Taylor had “ties to Lebanese families with business between Buchanan [a port south of Monrovia] and Cote d’Ivoire” (Ibid.: 115). The purchase of arms was funded partly by looting local resources. Taylor found a more sustainable source of income, however, by partnering with regional trade networks, including the Lebanese (Reno, 1997). Additionally, for economic purposes the Lebanese often made deals and cultivated alliances with local strongmen. For Taylor, allying himself with the Lebanese sometimes meant that rival groups were denied resources because of exclusive deals that the Lebanese had struck (Ibid.). Finally, a Lebanese trade network is believed to have directly facilitated the arms trade between Taylor’s forces and Cote d’Ivoire (Ibid.). Conclusions In this paper I have shown that Easterly’s theories (2001) about the importance of strong institutions in mitigating ethnic violence are inadequate in explaining government policies toward the Lebanese in Liberia. Some theories about informal institutional quality, however, appear to partly explain the case of the Lebanese. By utilizing in-group policing mechanisms to reduce opportunism among members of the Lebanese community and at the same time promote charitable giving toward Liberians, the Lebanese appear to have thwarted more acute ethnic conflict. This evidence provides strong support for some of Fearon and Latin’s contentions. Although I have not disproved Varshney’s theories, my research does not appear to support his theories either. Inter-ethnic forms of engagement between Lebanese and Liberians are not sustained or

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substantive, and yet government policies are still restrained. Finally, I have shown that the Lebanese have provided valuable forms of support to successive Liberian government officials. Because this assistance has often taken non-monetary forms, it is not easily transferable. Liberian government policies may have been less ruthless than expected because government officials may have hoped to maintain the different types of support being provided by the Lebanese. The importance of understanding factors that affect government policies toward ethnic minority trading groups should not be underestimated. Ellen Johnson Sirleaf, the recently elected president of Liberia, has taken steps indicating that she will be reevaluating the legality of contracts struck between previous governments and various businesses (Special Executive Rice Committee, 2005). For a redistributive policy to reduce Lebanese dominance successfully in the Liberian economy, empower Liberian entrepreneurs and promote further investment in the country it is necessary to understand how a trading group as economically powerful as the Lebanese operates, perceives institutions and engages with other ethnic groups. There are several opportunities for further research that would lead to a better understanding of factors that affect government policies toward ethnic minority trading groups. Future researchers could test a hypothesis that governments are willing—even eager—to provide generous trade deals and otherwise economically aid groups that are disenfranchised, because these groups are not seen as politically threatening. This seems like a promising explanation to help explain the government policies toward Lebanese that I did not adequately consider in my research. The Relationship between the Current Liberian Government and the Lebanese in Liberia Since Sirleaf’s inauguration in January 2005, her government has managed a constructive relationship with the Lebanese, while at the same time gradually developing and implementing policies to promote Liberian entrepreneurship, some of which might hurt Lebanese businesses. Perhaps the best example of this is found when looking at rice imports. Historically Lebanese have monopolized the import of rice to Liberia. 10 At the end of 2006 the government reviewed applications for import permits and denied a permit to Bridgeway Corporation, a major player in this sector, which is owned by Haddad, the Lebanese national mentioned earlier in this paper. In characteristic fashion, then Minister of

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Commerce Olubanke King-Akerele said Bridgeway was denied the permit because a competing bid was willing to sell rice to Liberians more cheaply, but that Bridgeway was welcome to import rice in the future when their rates were more competitive (Butting, 2006). Today the Liberian-owned Fouta Corporation imports 45 percent of Liberia’s rice imports (“Surge in Basic…”, 2008). I suspect this is the largest role a Liberian company has played in the import of rice in decades. The government’s approach of constructive engagement also can be seen by looking at a workshop held in September 2008 aimed partly at “developing a national roadmap for export development” (Cassell, 2008). The workshop brought together a number of companies and business associations, including the Liberian Business Association and the World Lebanese Cultural Union 11 (Ibid.). While previous administrations have been keen to enter quid–pro-quo relationships with the Lebanese, Sirleaf’s government appears to be bucking this trend. An unconfirmed story circulated in 2005 during the run-up to the presidential elections that some Lebanese businessmen had offered Sirleaf’s campaign a Land Rover to assist with her campaigning in the interior of the country. Sirleaf did not accept the vehicle. In similar vein, in September 2008 Supreme Court Chief Justice Johnnie Lewis had three men arrested—one of Lebanese descent—for offering him gifts including whisky, cognac and—according to one news report—Cheese Curls (Seboe, 2008). A Liberian who wishes to remain anonymous says there is a rift between the president and senior government officials on the citizenship issue. It is broadly accepted in government that the provision in the constitution prohibiting individuals who are not of Negro descent from becoming citizens is discriminatory and discourages investment. There is less agreement about when the government should tackle this issue. Some say the constitution should be amended sooner rather than later, so as to demonstrate the government’s commitment to equality and encourage wary investors to come to Liberia. Others say the government should wait until the unemployment rate drops and the security situation is more stable. Antipathy toward the Lebanese remains palpable, and measures that are perceived as helping Lebanese and hurting Liberians would not be good for the government’s popularity. A referendum on a number of constitutional amendments has been slated for 2009 but from information I have gathered the citizenship provision will not be included in the referendum. While this issue is important, as highlighted earlier in this paper, its relevance to the Lebanese is limited. The Lebanese use their

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disenfranchisement for economic gain and citizenship is not a priority for their community. The Role of the Lebanese in Liberia’s Reconstruction and Rebuilding Through their businesses and investments, the Lebanese in Liberia are both promoting reconstruction and further investment while simultaneously hurting Liberian businesses and decelerating development. Lebanese-run electronics stores, construction companies, supermarkets and other businesses provide much-needed jobs for Liberians. A common criticism, however, is that the vast majority of these are low-skilled jobs, and on-the-job training is minimal. The Lebanese have effectively cornered the market for high-end products purchased by wealthy Liberians and expatriate NGO and UN staff. During my time in Liberia working with an NGO, I remember looking over my monthly expense reports to see how many of my purchases that were more than $20 went to Liberian-owned businesses rather than Lebanese-owned businesses. Usually there were two or three items. The vast majority of my large purchases were made at Lebaneseowned shops. I strongly believe other NGOs would notice a similar trend. It is difficult to find a Liberian-owned business, for example, that sells printers or generators. While I have not conducted any official studies, I strongly suspect that more than 75 percent of expatriates rent their apartments or houses from Lebanese landlords or stay in Lebanese-run hotels. The Lebanese have a reputation for aggressively cutting prices when someone who is not of Lebanese descent enters a market to put them out of business, and then raises prices. The implications of this on reconstruction are significant. Compared to other African countries, Liberia receives one of the highest levels of aid per capita. Yet the indirect impact of the presence of foreigners does not benefit Liberians as much as it could because the Lebanese profit most from foreigners’ discretionary spending. Of course the Lebanese can impact rebuilding in ways apart from their normal business activity. In December 2007 the government’s National Security Agency investigated Jacob Karen, a Lebanese man living in Nimba County, in a case involving an alleged coup attempt by Charles Julu and Andrew Dorbor, former officers in the Armed Forces of Liberia. Karen was suspected of making funds available to facilitate the transport of weapons and ammunition for the coup plotters. Karen denied

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knowledge of the plot, although he admitted to providing transportation support to Dorbor (Borteh, 2007). One of the most crucial questions that needs to be asked when examining the role the Lebanese are playing Liberia’s rebuilding is whether the Lebanese invest their profits back in Liberia or send the money back home. My impression is that some Lebanese—especially those who have been in Liberia for longer—invest their money in building large homes and expanding their businesses in Liberia. I know of others, however, who keep their money overseas and invest in projects in Canada, Brazil, other African countries and Lebanon. I am unable to estimate the net impact of these two trends; this is a good area for future research.

NOTES 1

Thank you to current and former Emory University professors Eric Reinhardt, Richard Doner, and Jean-Herve Jezequel for serving on my undergraduate thesis committee. This chapter stems from my undergraduate thesis titled “Explaining Government Policies toward the Lebanese in Liberia.” Thanks also to Karen Colvard and Joel Wallman for their valuable feedback. Of course all errors remain my own. 2 This definition has been adapted from Janet T. Landa’s definition of an “ethnically homogenous middleman group” (1981: 350). I use the phrase “ethnic minority trading group” because many Lebanese in Liberia and other similar ethnic trading groups do not exclusively serve the function of a middleman. 3 Because of space limitations, I will not outline my research design and possible methodological flaws here: I will simply note that this was a small-scale research project. I conducted interviews over a period of one month during the end of 2006 and beginning of 2007, and all of my interviews took place in Monrovia. For a copy of my research design and discussion of methodological issues, please contact me at [email protected]. 4 The Aliens and Nationality Law elaborates on this provision, stating that [a] person born outside Liberia whose father (i) was born a citizen of Liberia; (ii) was a citizen of Liberia at the time of the birth of such child, and (iii) had resided in Liberia prior to the birth of such child…. (Republic of Liberia, 1973: 3.20.1b)

is a Liberian citizen at birth. Therefore a child with a Liberian father and a Lebanese mother could be a Liberian citizen. My interviews suggest, however, that this is very rare.

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One Lebanese man I spoke with had illegally acquired a Liberian diplomatic passport through a friend he had at the Immigration Bureau. He estimated that 100 other Lebanese have similar diplomatic passports, which allow them to own property. 6 Although secondary sources refer to thirty-three businesses, several Lebanese businessmen that I interviewed, including the head of the Cultural Union, said there were only twenty-six businesses that foreigners are prohibited from participating in. I am unable to reconcile these two numbers because I have been unable to acquire the text of the Liberianization policy. Additionally, according to Tony Hage, the law states that if investment in a good is less than US$250,000 foreigners are prohibited from entering the industry. I have been unable to verify this. 7 One Lebanese respondent told me that in the 1990s legislation was passed that requires foreigners to pay higher taxes than Liberians. This policy may be related to the Liberianization Policy, but I have been unable to find more information about it. 8 Originally I also planned on looking at the presence of Liberian-only community associations. I do not feel, however, that I interviewed enough Liberians to make any generalizations about the importance or even presence of Liberian-only community associations. 9 With the exception of the Lebanese Ambassador to Liberia and the president of the World Lebanese Cultural Union, all names have been changed to secure anonymity. 10 While there is ample land suitable for growing rice in Liberia, “two thirds of the annual consumption is met through imports” (“Surge in Basic…”, 2008: 4). 11 As mentioned earlier in this paper, the World Lebanese Cultural Union functions as a Lebanese business association in Liberia.

CHAPTER SEVENTEEN FEMALE EX-CHILD SOLDIERS: A CASE STUDY OF EAST AND WEST AFRICA Introduction World attention and sympathy tends to be directed more at natural disasters than at human-made disasters. Both have long-lasting—even lifelong—negative impacts on children, their families and the communities as a whole. Therefore the theme of this book is very timely and appropriate. It is actually very relevant to Africa. During the latter years of the twentieth century, adolescents have become “principal” participants in most of Africa’s wars. Whether their participation was through armed conflict—as in most civil wars in West, Central and East Africa—or through sustained civil unrest—as in Southern Africa—these combatants have become increasingly youthful over the years. 1 Pre-adolescents as combatants are no longer the exception, but have joined their older comrades in becoming the norm. In the past, however, children were usually enrolled in the armed forces when the reserve of adult soldiers ran short, whereas the youngest are today often the first to be recruited. As they are easier to mould into fierce and ruthless fighters whose knowledge of their needs and rights are minimal. In Africa’s remaining wars, many “rebel” militias or movements comprise almost entirely adolescents and pre-adolescents—sometimes as young as eight years old. 2 There is more to this than purely the need for conscription. In some cases, life in the army often offers the only alternative to subsistence or survival. The promise of training and a sustained livelihood is a powerful lure in regions where poverty and population pressures overwhelm education and jobs. Nevertheless, the move to recruit younger combatants, either voluntarily or through force, reflects the age-old discovery that children who are dislocated from family and social networks are easily transformed to fearsome and uncompromising soldiers. When they cannot be enticed into the ranks voluntarily, children are more easily coerced or conscripted than adults. Once enlisted, they can be easily molded into unquestioning fighters. Within the military ranks, young adolescents often

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develop the sort of loyalty towards their “superiors” that they would have, in a “normal society” towards older family members. Confusing war with play, child combatants naturally underplay the dangerous environment within which they survive, often becoming oblivious to the boundaries that separate fantasy from reality. Isolated for lengthy periods at a time and left to their own initiative in spatial and social surroundings that are alien to those they have left behind, socialization skills break down and a new abstract sense of “reality” emerges. When transformed into military codes of conduct, these rules are invariably more violent and therefore more effective than those of their older predecessors. Without fully developing and comprehending fear as an emotion, they are frequently less terrified of death than adults. Child soldiers are also easily co-opted into undertaking extremely dangerous tasks associated with combat that their older companions often avoid, such as infiltrating villages that have been targeted for attack, serving as spies or messengers, acting as decoys or being suicide bombers. With no dependants of their own to consider, they are not burdened by the liability of obligation, and because they consume less food and have yet to comprehend fully the value of waged labor, children are an economic addition to whatever force they serve even although this is an abuse of human rights and child abuse. For many abducted children, violence is seen as an acceptable and even necessary way of life, and the only means to solve problems and conflict that arise among the ranks of the rebel forces. The gun is regarded as a means to get everything that is necessary including personal enrichment. This lack of conflict resolution skills and the institutionalization of violence become visible when the child is under pressure or stress, and surfaces with explosive results. If the responses are too severe or last too long, professional intervention becomes imperative. Communities and educational institutions are often hesitant to accept returning child soldiers. They worry that the ex-child soldier will bring moral degradation into their society and thus are wary of welcoming back such children as their morals would have been compromised during war. In addition, the manners of the ex-child soldier also breach the adult notions of what is acceptable childhood behavior. In most societies, war is viewed as part of the adult sphere and when children enter it, they disrupt the distribution of power among the generations. Many fear that once children have tasted the power and freedom of the gun, they will be reluctant to respect the authority of adults in the community. Communities may reject former child soldiers or accept them only slowly because

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community members have often witnessed the atrocities that these children have committed in the past. The Lord’s Resistance Army commanders often forced children to conduct horrible acts in an attempt to break their bond with the community, to ensure that they would not be able to return home if they did escape (Hill & Langholtz, 2003). Those who lose out the most are girls. The presence of girls in fighting forces, in combat and non-combat roles and as victims of sexual slavery, rape and other forms of sexual violence, is well known. The introduction of girls alongside boys as soldiers has become more prevalent and for females, abduction involves an even graver picture—that of sexual slavery. Evidence suggests conclusively that sexual slavery is imposed on all abducted girls, with the possible exception of some pre-pubescent girls. There is increasing awareness about the variety of roles played by girls in fighting forces. They are abducted and forced to be not just sexual slaves but to cook, clean, act as porters, loot, spy and perform the roles of “wives” to combatants. The majority of girls and women in rebel camps are known to have syphilis, HIV/AIDS or other sexually transmitted diseases as they have been infected during their period in captivity. People who work with former child members of the rebel movements verify that female “helpers” inevitably become victims of rape, either by the head of the “family” to whom they are allocated or by senior soldiers. At the point of demobilization and reintegration, these girls/women find that the values, socialization experiences and expectations they had inculcated during their fighter years as women, were at odds with the traditional feminine values of their former societies. They are forced to make some difficult internal adjustments in order to reduce the level of conflict they experience within that society. Although female ex-soldiers feel frustrated personally, their ongoing resistance and challenges to the social and political system means that the host society has been “pushed” by them, as they have been pushed by it. At an individual level, it is an unequal battle, and the female ex-child soldier struggles economically and personally within this system. This paper is therefore written to bring international attention to gender issues in the demobilization and reintegration of females in postconflict situations. It is often not possible for these young women to return to their communities of origin, particularly if they have been repeatedly sexually abused and stigmatized. They often come back from the war with pregnancies or even babies whose fathers cannot be identified or held responsible because of the war/disaster situation. Women also face

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different challenges to men in economic reintegration because of their lack of education, training, skills and lack of access to credit and childcare facilities. They also suffer institutionalized discrimination because of the lack of rights to inherit houses or property, thus leaving them socially and economically vulnerable. Many female ex-child soldiers prefer to resettle in cities rather than to return to rural communities of their origin as the socialization they have experienced as part of a military unit makes it difficult for them to be accepted and to return to traditional gender roles in a rural community. The report offers recommendations to key actors. The recommendations are aimed towards ameliorating the socio-economic conditions of female former child soldiers and improving the lot of those still suffering the effects of wars. We hope the information provided will help develop a deeper understanding of the issues faced by these young women and will strengthen the efforts of those working to deal with the problems. Outline of Data and Methodology This report is based on two sets of data—field research carried out through questionnaires in Sierra Leone and Uganda and desk research that gathered evidence on experiences in Sierra Leone, Liberia and Uganda. In Sierra Leone questionnaires were issued to twenty-one female “exchild soldiers”. By this we mean any girl under eighteen years of age who was part of any kind of regular or irregular armed force or armed group in any capacity, including but not limited to cooks, porters, messengers and anyone accompanying such groups other than family members. It includes girls and boys recruited for sexual purposes and/or forced marriage. Eighteen is the universally recognized age for engaging in “adult” activities—voting, smoking, driving and taking alcohol. Besides, the African Charter on the Rights and Welfare of the Child (1990) is totally unequivocal in the definition of child—every person below the age of eighteen. In a less formal approach, we spoke with five female ex-child soldiers in Uganda. We asked respondents in both countries questions to describe their motivation for joining the war; how long they remained in the war and why; what their experiences were on the war front and what life has been like since the war.

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Within this small sample, we traced the movement of a group of women from a time when they were children, through their entry to fighting forces and the impact that the militarization and politicization they experienced in that setting have had on their lives. Their identity and experiences as fighters have become central to their current identity and it is through this lens that they view and experience the civilian world. Limitations The majority of the field work was done in Sierra Leone for several reasons—its proximity to Nigeria (where the author of this report is based) and the limited availability of funds for travel to further parts of the continent for field work. The interviews conducted in Kitgum, Uganda were few and not as detailed. The journey to Western Uganda was not a success as people there were not hospitable and were not willing to give any information, as we were suspected to be government agents; it was thus a waste of time and money. With the time and resources available, it was not possible to interview any female ex-child soldiers who fought on the side of the government. It was also hard to interview representatives of the agencies involved in the reintegration process because of the lack of funds. Thus, we have had to rely on desk research to get an understanding of work done so far. Findings/Observations Motivation. From our sample in Sierra Leone, all twenty-one fought against the government for the Revolutionary United Front. That is not to say the government does not recruit under-aged persons to fight in wartime. In his autobiography, A Long Way Gone: Memoirs of a Boy Soldier (2007), Ishmael Baer reported fighting as a thirteen-year-old in the Sierra Leonean War on the side of the government. These respondents joined the fighting forces in many different ways—two for revenge on the opposition, four joined because of pressure from family/other children, thirteen were forced and for one it was for access to food. One person joined at the age of seven. Within this group, the most common age for joining the war was fifteen, with two joining at the age of seventeen.

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In Uganda, the rebels abducted children as young as eight to ten years old. None of the women we managed to talk to joined the warring factions willingly. They were all abducted from various parts of northern Uganda and were dragged into the war. They were assigned to different duties while in the army. Sustenance. Within the sample from Sierra Leone, fourteen admitted they were afraid when fighting. Seven were made to kill/fight other children. Of these, ten admitted they enjoyed it, three hated it. Nineteen out of the twenty-one were sexually active as child soldiers. Of the two who were not, one, who started to fight at the age of nine, is currently eighteen. The other, who started to fight at the age of seven, is currently fifteen. Fifteen of the twenty-one in Sierra Leone used drugs (cannabis and cocaine) when they were part of the warring faction. Smoking was the principal method of administration, though there were cases of injecting and inhaling the drugs. Of these, four still use drugs; those who have quit using the drugs did so for health reasons. In Uganda, the girls say they were given drugs in the form of herbs. They were told that once they used these drugs, they would be able to survive the bullets. Most of them say that female abductees were “distributed” among male rebels with whom they had to have sex in order to survive. Whoever refused was either raped or killed in public. Rehabilitation. In Sierra Leone, nineteen stopped fighting because they were disarmed. Five of these were disarmed by the UN Forces. Most of the women in Uganda escaped from the fighting forces. Some of the women ex-soldiers, however, refused to compromise their convictions/ beliefs about their competence, ability and rights to participate in an equal society. Analysis in Sierra Leone shows that the majority of the women, nine of the sample, have gone back to school: four have gone to learn a trade/skill, three have begun some form or enterprise and four out of the twenty-one admitted to engaging in prostitution. In Uganda, one said she cannot rejoin her family as they believe she would be re-abducted. Another cannot find the members of her nowscattered family. One went back to her family having forgotten her mother tongue, and one reported that she is now back with her family, but finding it difficult to get admitted into the university.

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Conclusion The concept of child soldiering is a very good example of institutional humiliation that must and should be discontinued nationally and globally, particularly in Africa and other developing countries. Every human being is born with equal dignity which should not be humiliated. This will enable us to create a better future for our world, for our children and grandchildren; thus creating effective platforms for building bridges in situations of disagreement and conflict. The rehabilitation and reintegration process for child soldiers is a sensitive issue, which must be handled with care to make sure that the needs of both the children and the community are adequately addressed. Re-establishing contact with the family and the community is important for former child soldiers who have grown up away from their families and who have been deprived of many of the normal opportunities for physical, emotional and intellectual development. From the foregoing, humanitarian aid agencies have certainly established programs with positive results to show for the steps taken. However, gender inequality remains an issue. The attention to the special needs and vulnerabilities of girls affected by armed conflict has been inadequate. An overwhelming majority of girls associated with fighting forces do not participate in official reintegration programs and are not catered for in post-demobilization support. In Liberia, where the DDR program ended in late 2004, just over a quarter of the 11,000 girls known to have been associated with fighting forces registered in the official DDR program. Issues important to women such as reproductive health programs are generally not on the medical priority list for attention in combat zones. Specialized medical care for injuries resulting from rape and sexually transmitted diseases is rarely available. Girl mothers and their children, often born as the result of rape, are known to be particularly vulnerable and continue to suffer stigmatization and rejection by their families and communities. In addition to the risk of sexually transmitted diseases, especially HIV, some accounts report that many adolescent girls’ menstruation ceases because of malnutrition and trauma. Forced sex can result in abdominal pain, cervical tearing and infection. Complications during child-bearing can have long-term repercussions on women and their infants’ health. 3

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Efforts towards demobilization and reintegration should stress the physical and sexual vulnerability of females, particularly girls, in conflict zones. The inclusion of specialized culturally appropriate programs for girls and the building into donor planning of long-term financial and social support for their reintegration is a must. All humanitarian responses in conflict situations must emphasize the special reproductive needs of women and girls, including access to family planning services, care during pregnancy as a result of rape, sexual mutilation, childbirth at an early age or infection with sexually transmitted diseases, including HIV/AIDS. Equally important are the psychosocial needs of mothers who have been subjected to gender-based violence and who need help in order to foster the conditions necessary for the healthy development of their children. Furthermore, the loss of education is and will continue to have a tremendous negative impact on the value of their labor in future years that will in turn limit the income earning options and the role in the development of society of these females. We must remember that the opportunities for female education in Africa are narrower than in other parts of the world, so turning our daughters into soldiers lowers the ceiling for much-needed gender equality. Ensuring opportunities for female children to return to school or receive skills training is a major factor in successful reintegration. This will not only help the children to establish a new identity, it will also increase their acceptance by family, community members and peers. In addition, it is likely that it will prevent them from rejoining military units and, at the same time, improve the economic security of their families and communities. For a former child soldier, an education is more than a route to employment: it can also help to normalize life and to develop an identity separate from that of the soldier. In this way the female is enabled to grow and participate in the traditional feminine roles, for example, preservation of the community through childbearing and rearing. On the preventive side, good education (prior to conscription) would eliminate such ridiculous beliefs as child soldiers do not kill people, but that the gods (spirits) are the ones who use them, believers in the spirits, to punish those who disobey the commands of the gods. 4

Reintegration programs should do more to include elements of community preparedness to accept the return of children from armed groups if these children are to be successfully reintegrated. Community preparation and involvement in reintegration programs would go a long

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way in stemming the widespread stigmatization, bullying and rejection that returning ex-soldiers are often subjected to. Repentant child-soldiers should be granted opportunities to discuss their experiences at community meetings and thereafter receive counseling to enable them to handle hostility and rejection and to deal with their aggressive behavioral difficulties. They should be included in community recreation projects where they could interact with children in their community. The community being made aware of the negative physical and psychological effects of their abduction and captivity should bring positive changes in community acceptance, attitudes and behavior and overall enhance their reintegration. It is a mistake to treat reintegration as a process beneficial to only the ex-child soldier. Reintegration programs should not only work on how a war environment affects the development of the child but should also place emphasis on how the developing returning child interacts over time with the totality of the new environment. This is a basic tenet of social work—the person-in-environment framework—which observes individual activity within the context of social realities, recognizing how each operates on the other. Thus, whilst acknowledging that children are influenced by their environment, it is emphasized that they also have the capacity to influence that environment. From this perspective, programs should seek to empower children rather than leave them as passive recipients of donor largesse. Children need to be recognized as valued partners in community healing, future leaders and potential peace-builders. Programs should capitalize on their strengths, in developmentally appropriate ways, in addition to recognizing their needs. The goal should be to put the power in the hands of the children, to have them go through a process wherein they organize themselves, define what reintegration means to them and to the community and then participate in actions and steps that protect both individual and societal interests. These efforts have to be part of a much wider movement toward the achievement of social and economic freedom for all human beings—male and female. If over the coming years the international community is to make good its promise to protect children from military exploitation, then the level of political will, the volume of human and financial resources, the adherence to established best practice and the quantity as well as the quality of collaborative effort and imaginative endeavor must all be multiplied. There is need for an African Policy on Child Soldiers that seeks to adopt a curative and preventive approach to the issue of child soldiers. The

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architects of this policy must mobilize the political will and commitment to put child survival issues on national agendas and in development programs. The responsibility for developing an African Policy on Child Soldiers should be given to the relevant department in the African Union Commission in Addis Ababa, Ethiopia. Internationally, nations need to have a “hard interest” in stopping the use of child soldiers, because doing so provides the mechanisms to shrink the pool of failed states and areas that terrorists can exploit. The best approach would be to clear ambiguities on the age of conscription—rebel or anti-government forces are not alone in their use of child soldiers. Government forces are also prone to recruit young adolescents into their ranks. At least sixty-three governments—including the UK and the US— allow voluntary recruitment of under-eighteens, despite the age of adulthood being set at eighteen in many countries. Moreover, under international law, it is not illegal to recruit children aged fifteen or younger for training as soldiers for active combat duty. Although forbidding the death penalty for all children under eighteen, as well as setting a host of other standards for their protection, the UN sanctions the right of a fifteen-year old to kill or be killed “in the line of duty.” Young recruits considered too young to vote or buy alcohol are subjected to military discipline, hazardous activity and are vulnerable to abuse. There must be progress towards the systematic investigation and prosecution by national and international courts of individuals suspected of recruiting and using children in armed forces and groups. Where relevant this crime would also be addressed by other transitional justice processes, including truth commissions, reparations and vetting. There is also a rising concern over the recruitment of child soldiers in the peddling of narcotics and other psychoactive substances. In conflict situations, it is a well-known fact that child soldiers were fed drugs in order that they would be bold in carrying out their nefarious activities. In post-conflict situations, there has been no evidence of detoxification programs for these children during rehabilitation, and so they would still have cravings to continue the use and abuse of these drugs. In this situation, these children would easily fall into the welcoming hands of the Colombian traffickers who have now invaded the West African coastal countries. Sierra Leone has a large population of ex-child combatants experimenting with drugs. 5 Increasingly, Africa is seen as an ideal place for drug trafficking and drug producers are ready to exploit this opportunity. 6 It is therefore urgent that ex-child soldiers are reabsorbed

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into society and put on the path to decent, crime-free livelihoods. The UNODC’s Antonio Maria Costa raised an alarm that Africa is under attack, targeted by cocaine traffickers from the West (Colombia) and heroin smugglers in the East (Afghanistan). This threat needs to be addressed quickly to stamp out organized crime, moneylaundering and corruption, and to prevent the spread of drug use that could cause havoc across a continent already plagued by many other tragedies. (UNODC, 2007: para. 10)

In conclusion, just as dealing with natural disasters calls for effective strategies to be multi-faceted and context-specific, so does dealing with ex-child soldiers. Above all, the root causes must be addressed. We need a complex range of coordinated responses by multiple actors to achieve the goal of preventing children’s involvement in armed conflict, obtaining their release and supporting successful reintegration. This will involve a more explicit recognition of child soldiers on the agendas of those involved in a whole range of initiatives, from Conflict Prevention, Peacemaking/Mediation, HIV Prevention and Rehabilitation, Drug and Human Trafficking through to peace-building and longer-term development. There is a need to boost the life expectancy of the continent’s adult population: over half of Africa’s population is under the age of eighteen, so it is not surprising that there has been a proliferation of children in the various armies. Poor governance and its effects, including impoverishment, inequality, discrimination and human rights abuses, are all known to contribute to the risk that children will be recruited by armed groups. While such conditions persist, children will remain vulnerable to involvement in armed forces and groups.

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APPENDIX QUESTIONNAIRE FOR FEMALE EX-CHILD SOLDIERS It is well known that women and children suffer most during wars, conflicts and disasters. These same women rear the children, keep the homes and also contribute to the stability and development of the community. The issue of child soldiers threatens these positive roles of women in the rebuilding and reconstruction of their communities after the devastating and dehumanizing consequences of conflicts, wars or disasters. The purpose of this exercise is to reverse the damage done to communities through thousands of children who have been used as agents in carrying out wartime atrocities, so that such children can be useful in reconstruction and rebuilding of the community. The questions have been drawn up to fall under four main themes: Motivation, Sustenance, Rehabilitation, and Inferences or Lessons Learnt. Supporting each question/set of questions are explanations (in italics) of the thoughts behind them and what we hope to achieve by asking the particular question/set of questions. 1. BACKGROUND INFORMATION i. How old are you? (Give an estimated or registered date of birth) _____ a. How many children do your parents have? _____ b. How many were boys? _____ c. How many were girls? _____ d. How many of your sisters and brothers were affected by the war/conflict? _____ e. In what way or circumstances? _______________________________ f. Or were they killed/wounded? _______________________________ g. Abducted/displaced/lost? ___________________________________ ii. Where did you live before you joined the warring faction? a. In a rural area b. In a town or city

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c. with my parents d. with my relations e. on the streets/no fixed address iii. In what way did the war affect your parents? a. Displaced b. Wounded c. Killed d. Cannot tell, lost contact e. Disowned me iv. On which warring faction side did you fight? ____________________ v. How old were you when you joined the warring faction? a. _____ Years b. No Idea vi. Had you started menstruation before you joined? YES/NO vii. What was your main duty within the warring group? a. Fighting b. Cooking with general household chores c. Other duties (Please list them) _________________________________ ____________________________________________________________ ____________________________________________________________ 2. MOTIVATION i. Why did you join the armed group/war? a. Pressure from - government fighters, - family members, or other children b. Forced or lured c. For revenge d. I had no other thing to do e. For access to food f. I wanted to be a soldier ii. Were you promised anything? _________________________________ iii. Were you given the things promised? __________________________

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iv. Did you join for protection/social belonging? __________________ v. Did you feel a sense of national duty? ___________________________ vi. How much military training were you given? ____________________ vii. How many years did you serve as a soldier? a. Less than one year b. Between one and two years c. Between two to five years d. More than five years e. When did you leave the army or the fighters? f. Why did you leave? 3. EXPERIENCES DURING THE WAR/CONFLICT i. Did fighting take place in your village? Yes No ii. Were you ill-treated by your warring factions? Yes No iii. Did you see children of your age being ill-treated or killed? Yes No iv. Did you have to kill anyone of your family members or your community members? Yes No v. If yes, Why? vi. Did you carry out any atrocities on your community/village? Yes No vii. Are you afraid of war? Yes No

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viii. Do you feel guilty because you have taken part in the war? Yes No ix. Do you feel proud of your role in the war? Yes No x. Have you had a sleeping problem since the war? Yes No 4. WARTIME ACTIVITIES i. Were you under a superior officer? Male/Female a. If yes, how long? _____ b. How many of you were under the superior officer? _____ c. Were you all children? _____ d. How many were females? _____ e. Did you command or head a group of child soldiers? _____ f. If yes, how many? _____ ii. Did you have sexual relationship with anybody? Yes No Male Female iii. As a female part of the army, did you have other chores/duties? __________________________________________________________ iv. Did you have sex while you were in the army? Yes No v. If yes, was it a protected sexual act? Yes No vi. By who __________________________________________________ vii. Were you raped? Yes No viii. Were you made to kill/fight other children? Yes No

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ix. How many? __________ x.

What was your first fighting/shooting experience like?__________ ________________________________________________________

xi. Were you afraid? Or did you find in the experience disgust or pleasure?________________________________________________ xii. If disgust, why did you not stop? ____________________________ ________________________________________________________ xiii. At what point did you stop being afraid?_____________________ ________________________________________________________ xiv. Did you come across any drug while in the army? Yes No xv. If yes, name or describe them_______________________________ ________________________________________________________ xvi. Did you use any? Yes No If yes, why and what for? ___________________________________ xvii. What types? (Please list all the drugs that you came across) ______ ________________________________________________________ ________________________________________________________ xviii How were the drugs administered?__________________________ a. oral b. smoking c. by injection d. inhalation e. drinking in alcoholic drinks f. others, please specify xiv Do you still use the drug(s)? Yes No If yes, list them __________________________________________

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_______________________________________________________ _______________________________________________________ xv

If No, why did you stop?___________________________________ ________________________________________________________

xvi Who defined the opponent?________________________________ xvii Why did you pick those opponents? _________________________ xviii How much training did you receive? _______________________ 5. REHABILITATION AND REINTEGRATION i. When did you leave the army? _________________________________ ii. What do you do now? _______________________________________ iii. Are you reconciled with your family and relatives? Yes No iv. Where do you live now? a. With my parents b. With my relatives c. Somewhere else v. Did you have problems in coming back to your family and village/ part of the town? Yes No vi. Are there any purification rites you have to go through? Yes No vii. Have you gone through purification rites? Yes No viii. Did your parents or other people take you to: a. healers? b. church? c. other place?

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ix. What are you doing now? a. Attending school or have finished school/learning trade. Yes No b. If yes, who paid for your school? ___________________________ c. Are you employed? Yes No x. Did you have problem in getting a job, school or other benefits? Yes No 6. GENERAL VIEWS ABOUT WAR What is your attitude now to the issue of Child Soldiering? ____________ ____________________________________________________________ ____________________________________________________________

NOTES 1

“The Reintegration of Child Soldiers and Abducted Children: A Case Study of Palaro and Pabbo Gulu District, Northern Uganda.” (Stavrou, Stewart & Stavrou, 2000). 2 Ibid. 3 From Child Soldier to Ex-Fighter, Female Fighters, Demobilisation and Reintegration in Ethiopia (Veale, 2003). 4 The Mental Needs of Child Soldiers in Uganda: A Case Study of Structural Violence (Troyer, 2005). 5 Cullen McGraw, n.d. 6 “Strategic Interests: The Security Challenge of West Africa’s New Drug Depots.” (Pham, 2007).

CHAPTER EIGHTEEN WAR AND MISUNDERSTANDING: ERRORS OF JUDGMENT IN COLOMBIAN JOB-TRAINING POLICIES

Introduction The child population demobilized from the irregular armed organizations is one of the many facets of the current Colombian conflict. This conflict started during the period of La Violencia, 1948 to 1958, which killed an estimated 200,000 to 300,000 people and displaced over 2 million. Since then Colombian society has been struggling with internal conflict. During the past six decades the conflict has just grown in complexity 1 and contemporary Colombian society is challenged not only to end this fratricidal war and find a national project that can really lead the country to its true potential but also to deal with peace and rehabilitation processes in an environment characterized by unresolved conflict. The motivation for this essay is the fact that all social laboratories, such as the one described here, which usually deal with all aspects of the difficult social realities of the modern Colombia, makes us realize the need to build a unified shared vision of the nation. As Russo (2001) states it, this vision has to be defined by a man and woman project, country project, State project, human development conception and scientific knowledge, which is able to integrate the pedagogic, the political and the social and not just to let the market allocate its resources based only on the criteria of efficiency and quality. (147)

Keeping the aforementioned in mind, this presentation describes one social re-insertion experience; it is one of those projects that certainly alleviates to some extent the affected population, but also one in which evidence is collected to support the case that further and stronger action is needed in order truly to impact the reality in a structural way. We realize that for structural conditions to change much more must be done, but those

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tasks lie beyond the scope of this project. However, we reach conclusions and make proposals not just to correct the weaknesses discovered during this particular rehabilitation process but also to provoke reflection on the central issues which still need to be addressed in the longer term structural development agenda. The Intervention Model In 1997 the Colombian Institute of Family Welfare (ICBF) set up a program to address the rehabilitation of child ex-soldiers and their reintegration into society. Special centers for de-mobilized children were established in 1999 all over the country. In December 2002 new legislation made all ex-combatant children eligible for care by the government: health, education, documentation and re-integration into society. Ninety percent of the children had no documentation to prove who they were, or where they had come from. Without an identity card, they would not have been able to access education or health services and therefore face continued social exclusion. The specific project this presentation discusses is called “Productive and Social Insertion of Boys, Girls, Adolescents, Young Adults and Families who have been demobilized from Irregular Armed Forces” (PSIAR). This project was designed to be a complementary step to previous work done by the ICBF in Bogotá, Manizales and Villavicencio, with experiments called Tutor Home, Specialized Attention Centers and Transitory Homes. The re-integration process has to deal with the current economic, social and political structures. It means these projects advance in a scenario of an ongoing peace process and continued conflict. It is also important to remember that Colombian social assistance is experiencing changes in the labor market and its social policy is characterized by the social risk management approach; these types of policies are illustrated in Holzman and Jorguensen (2000). Particularly, the PSIAR project pursues the re-integration of the affected population using mechanisms that guarantee access to educational and formative experience, as well as the production of income through employment and productive projects that promote the children’s selfactualization in society. The inputs for the intervention model were the characterization of the population with respect to the state of their formation processes; the characterization of the regions where the ICBF programs were previously working and the educational supply that supports the competencies

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development. The coordinating strategy was the formation of basic educational competencies, as well as labor and citizenship competencies. The purpose was to endow the young people with tools for their social and productive insertion back into society. At the same time, two tasks were being developed with the relevant community: the first element was to look for ways to involve economic and political actors in the social coresponsibility for the insertion of children and teenagers demobilized from irregular armed organizations; the other aspect was to publicize the children’s experiences and the policy recommendations within the community. As a result of the characterization and diagnostic phase, two special needs were detected. The first was the need to implement a competencies formation model according to the participating population, which was done by the mechanism of leveling and deepening academic classrooms (called Tierractiva). The other was the enrollment of the relevant participants in co-responsibility workshops to make viable the potential capabilities formed in the classrooms. Despite the relatively high rotation of the young people involved, several improvements were observed in different aspects of the process. Those are reported in detail by the IBF (2007). We emphasize here the problems experienced in the classroom itself and in the institutional framework. The main problem in the classroom was the lack of continuity. For example, different external factors made Bogota’s base group fluctuate from an average of forty members in some months to twenty in others. The changing populations as well as the continuous entries and exits made it difficult to track the group’s performance. In most cases different simultaneous activities offered by the ICBF made it difficult or impossible for the students to assist on a regular basis. In other cases, they returned to their families or reached the age of majority, which stopped the process before the minimum competencies were acquired. On the institutional front, the problems were related to the lack of enforceable commitments. These would be public policy constraints and was evident in the absence of plans and resources in the local development plans of the cities of Manizales and Villavicencio. Frequently, the policy for the demobilized populations is fragmented and linked to the local administration agendas, which unfortunately are too variable over time. Lack of entrepreneurial co-responsibility made it difficult to find an adequate institutional framework.

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Competencies’ Formation and its Relation to Social Inequality The intervention model sketched above had to be implemented using the framework of the competencies approach currently operating in Colombia. This approach is not entirely flawed but it has many characteristics that are important to highlight. Different studies based on empirical analysis of the Colombian education system, show how evaluations based on the competencies approach reveal important differences between social classes and also between public and private education. This pattern is even recognized by the Ministry of Education (MEN, 2006). Our idea is to show how the unquestioned implementation of the current competencies approach leads to the reproduction of the contemporary social relationships, characterized by marginalization and social exclusion. The most delicate constraint these policies generate is that they do not permit social mobility; instead, they preserve and deepen the current unequal conditions. Let’s briefly review the main arguments and weaknesses about the competencies approach. The primary motivation for changing the previous approach was the gap observed between what was taught to students in the classroom and what society demanded. Based mainly on that justification, the official field policymakers, namely the Colombian Ministry of Education, proposed and implemented the competencies approach. Reviews of the underlying theoretical structures expose many inconsistencies between the theoretical basis of the basic competencies and those of job competencies. So, the final product proposed and implemented by the Colombian policymakers seems to conform to market logic more than to theoreticalbased arguments. With respect to the basic competencies, using Bustamante’s (2003) analysis, the ICBF (Instituto Colombiano de Biesnestar Familiar [ICBF] 2007) explains how the justification for these competencies is built on ideas whose authors actually have completely contradictory views. Even if it were possible to reconcile the authors’ theoretical positions—such as those of Chomsky, Veron and Hymes—it would be almost impossible to extract from their ideas the policies implemented in Colombia. For example, the application of standard competency tests goes against the logic of Veron’s ideological apparatus as well as Hymes’ linguistic communities. The general idea is that tests should be administered by taking into account the specific contexts of the students. Despite the announced context-based state tests, what happens at the end of the day is the application of massive universal tests. For a detailed explanation of the

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theoretical contradictions of the competencies theory and the competencies policies, see Bustamente (2003). The consequences for the flawed educational policies applied in the Colombian case are not explained by the competencies approach itself, but arise because this policy design outcome is not consistent with the central ideas of the competencies approach. In the evaluation dimension, De Zubiría (2004) states that evaluations in Colombia are not made based on differentiated contexts; students are not evaluated on the basis of what is pertinent from their social context, but according to an ideal parameter. Finally, the fact that the competencies approach designed in the Colombian case does not conform to coherent theoretical foundations suggests that the defense of this approach by the policymakers depends on other sources and follows different logic (ICBF, 2007). The theoretical roots of the job competencies are based on McCelland’s ideas about job psychology. One of the main findings is that, more important than knowledge itself, are a series of attitudes and skills that later became known as competencies (Alexim, 2002). In fact, studies show that work success is not always correlated to an intellectual coefficient. In Colombia job competencies are proposed to be implemented at the high-school level. This proposal has lead to the creation of general working competencies. These are appealing because they respond to the current economic model and because they allow for the preparation of rapidly adaptable workers, who engage in constant learning processes. This is consistent with a labor world characterized more and more by less stable jobs. The context in which the competencies approach is implemented is one in which market logic is invading even traditional state spheres such as education, health and public services, all of which have been considered social rights. These have been converted into private businesses with the argument that the market framework is more efficient. So, not surprisingly, work is also considered barter. In the scenario described, people get a job if they fill the market requirements: therefore, competencies are not produced, they are demanded. So, the educational system prepares the Colombian labor force at most only for the general needs of the market, not for the wider labor world. But since technologies change constantly, this demand for specific competencies generates a constant instability in the labor force (ICBF. 2007). Workers are compelled to compete among their peers not only to get a job but also to keep it. With this state of affairs and in a society such as in Colombia with traditionally high unemployment and underemployment, job uncertainty is the rule.

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The reason for not promoting social mobility through the competencies model is its focus on individual competencies, without any chance of affecting the economic structure. If economic structures are intact, the competencies approach to education, as implemented in the Colombian case, just reproduces inequality (ICBF, 2007). In what follows, based on the intervention model experience and on reflections about policies based on the competencies approach, we propose some corrections to the process and suggest possible paths for this research agenda. Some Sustainability Proposals Given the aforementioned findings during the implementation of the intervention model, the research group from the National University of Colombia formulated a number of recommendations to adjust future processes and correct some of the main flaws found in this initial experiment. The philosophy that guides these suggestions is based on the idea that job preparation does not only have to give potential job seekers the skills to do a good job, or participate in the labor market. It is also necessary to complement this goal with a broader perspective on the labor world. This change has to incorporate other aspects that allow job development in a proper socially cohesive environment, what we call the labor world. It is argued that the fight against exclusion processes is not just about recognizing those in the worst conditions: it is also, and primarily, about transforming the labor world and life conditions through education, among other variables. From this perspective, it is important not just to prepare people to look for and get a job, but to give them ways, through the job, to enjoy different spheres in social life (ICBF, 2007). With this philosophical concern in mind, the proposal is sketched below. This proposal has two major stages, the first has two phases. We show the main strategies for this proposal in Table 18.1 (Overleaf). The institutional support from the Ministry of Education goes beyond the endorsement of these re-insertion programs. It also needs to revise the pre-requisites for the labor insertion of this population, because most of those pre-requisites do not take into account the background and real potentials of these ex-combatants. This proposal also requires a higher awareness of members of civil society as well as entrepreneurial and business associations, in order to generate solid agreements that offer job alternatives or self-employment opportunities in worthwhile conditions.

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Government offices and members of civil society have to enforce these agreements too. Table 18.1. Basic Elements of a Sustainability Proposal.

1. Formation

Phase 1: Basic competencies formation, community work, general labor competencies and job profile. Phase 2: Specific competencies formation and instruction on productive projects

2. Institutional Articulation

x High Counseling Office x International cooperation x Government x Civil society x Entrepreneurs and business associations x National Training Service (SENA) x Productive projects or formal employment

Responsible Actors

Ministry of Education (MEN) support

Stages

This is the bridge between the formation processes and the labor world

Source: (ICBF, 2007)

In a more ambitious sense, and recalling the social immobility argument sketched in the previous section, we propose a twofold political intervention: one part is egalitarian in nature and the other promotes political participation. The egalitarian proposal does not mean equal income redistribution or similar interventions. We propose to re-direct the competencies approach in a way that encourages workers to live in society not just motivated by employment opportunities but also by social development. Colombian society not only needs education that serves the market but that also—and more importantly—promotes social cohesion. We propose two strategies to make this possible. First, we need an Educational Policy based on equal opportunity. It is not enough to focus on the most disadvantaged. In a society with multiple scarcities, this equal opportunity idea ends up in the discussion of how much to level and where to do it. This last question only can be resolved in a true political process. So, educational processes should not only instruct

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about techniques for succeeding in the market but also show how to manage political processes, so that the welfare of citizens can be maximized. The second part is to make people stop thinking just about their own particular interests. For this to happen, they should get involved in participation processes, but this is more feasible in a stable social reality because otherwise people tend to worry solely about their own economic survival. It is not that individual self-realization must be discouraged; the point is to compensate for the excessive focus on individualism as the only logic that matters in the citizen-state relations. If this is not changed, only partial success could be achieved in very critical areas of social policy. Consequences of the Current Framework for the Intervention Model The stress in the competencies approach to education as currently designed forms, at best, individualistic and atomized individuals without group consciousness, who will compete in the future for jobs with their peers. This leads to greater gaps between those with the necessary competencies and those who, like the group under study, enter the market in very disadvantaged conditions. The educational system, in this competency framework, maintains and even deepens the unequal social structure. Education conceived in this way plays an instrumental role in perpetuating social inequalities. Ultimately, despite the good intentions of the kind of programs supported by the ICBF, the results are new groups of people with low-wage or informal job prospects who stand a great chance of perpetuating and even reinforcing the troubled conditions of the labor work force in Colombian society. Poor Perspectives for the Current Intervention Models and Final Comments At least four critical constraints limit insertion at the end of the education formation process. The first is stigma: it is not at all easy to overcome the negative perception that businesspeople and others in society have of the demobilized population. Adaptability is the second problem. This group of people used to live in rural areas, even in the jungle, and they are faced with urban life without much preparation. A third constraint is the difficulty with working cooperatively, given that these people are used to relating to military authority. The fourth factor is

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the lack of support from a social network. This reinforces the problem that the demobilization process occurs in an environment of ongoing conflict, so, if they fail to integrate into society, they cannot return to their previous social network (ICBF, 2007). Added to these constraints is the fact that roughly half of the population in Colombia lives below the poverty line. Even being clear that plans for the demobilized population must go beyond an economic solution, guaranteeing only this economic solution is a difficult enough task. Economic insertion is an important task for this population. If policy fails to fulfill this goal, then the project becomes unsustainable. Furthermore, it is important to highlight one more time the need for members of the wider Colombian society to anticipate the re-entry of young people into their communities and take steps to ease the economic and social transition. However, based on the observed outcomes, the ability to get productive insertion basically means self-employment through productive projects. These projects unfortunately fail most of the time, given the fact that they are market-oriented. After all, these inexperienced people enter a competitive world. This failure in self-managed business is especially critical for this population. They can perceive this as continued evidence of their exclusion from the productive circle, which in many cases justified their membership in irregular armies. The failure could make institutional channels seem to offer no real alternative (ICBF, 2007). As a consequence of this market hazard, the whole process seems to lose legitimacy. What can be done? One alternative is not to trust only market forces. A greater commitment is required, meaning a really quantifiable and enforceable commitment on the part of the agencies involved. If long-term stable employment or productive projects are not offered to the disadvantaged population, the project could become unfeasible. If social actors commit to serious plans, workers of course have to assume responsibilities in a proper way. The idea of the universal policies is to generate an environment of co-responsibility in which the actors involved adhere to both rights and duties.

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NOTES 1

Throughout the last six decades, the former “La Violencia” has been fueled with further party assassinations, guerrilla political and non-political wars, illegal drugs trafficking, political corruption, systematic elimination of the leftist leaders and human rights violations from the government and illegal armed groups, among other social evils, which make the current social conditions of Colombian society a particularly complex scenario for new generations.

PART IV REBUILDING SUSTAINABLE ENERGY INFRASTRUCTURE

CHAPTER NINETEEN REBUILDING CRITICAL ENERGY ASSETS IN TIMES OF DISASTER: STRATEGIES FOR A RESILIENT SYSTEM Introduction The nearly back-to-back disasters that captivated and horrified the American public—the September 11, 2001 attacks, the Northeast power blackout of 2003, and Hurricanes Katrina (2005) and Ike (2008)— bombarded America with images of sacrifice and survival. The everpresent emergency worker arguably emerged as the hero of the early twenty-first century. Despite these iconic images, little thought is given to the primary backbone of the support network that springs into action after a large-scale disaster: energy. Without energy in the form of electricity and fuel, there are no first responders, little or no sanitation and for all intents and purposes, the survivors are stranded. The dependence of the natural gas and oil sector on electricity is little understood. Until very recently, the integrity of the energy grid and its ability to withstand disruption had not been closely scrutinized. Electricity is needed at almost every stage of energy production and supply, to pump gasoline and to move oil and natural gas through pipelines. Further highlighting our dependence on electricity, homeowners often have furnaces and natural gas water heaters equipped with electric ignition. The wide publicity of the aforementioned disasters and the highlighting of governmental relief failures have ushered in a new awareness of the need to protect critical infrastructure and energy assets, without which no recovery would be possible. Rapid setup of energy systems in the immediate aftermath of a disaster is now understood to determine the trajectory of recovery. This chapter argues that large-scale energy disruptions can be prevented and made well-nigh impossible by the incorporation of a resilient and flexible energy network. Although there is focus and awareness of energy security in relation to our oil imports, this has— somewhat myopically—misdirected the public into thinking that

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diversification of oil imports is the key to energy security: we are then “safe” from energy disruptions. Reliance on externally focused, petroleum-based energy security has shifted our weaknesses closer to home, and has left our eyes closed to the enormous threat of domestic energy disruption. The US energy infrastructure is vulnerable to its very core. In fact, the following weaknesses characterize the many of the chokepoints of our national energy grid (Lovins, 2001): x An increased system complexity that compounds the total vulnerability of the energy grid. x An over-reliance on telecommunication and information technology to regulate the network. x An interdependence of the entire system—when one portion of the system shuts down, problems cascade throughout the system. x Highly specialized equipment requirements x A need for highly specialized personnel to repair the system, and a persistent lack of advanced spare parts. Section 1 makes the case as to why a decentralized energy network is needed in the US. Section 2 describes the history of the national energy grid and explains how it developed into its current form. Section 2 delineates the path of deregulation that began in the 1970s and the subsequent return to regulation in many states. Section 3 analyzes decentralized energy assets and discusses how their incorporation into the energy network will add much-needed flexibility to the national energy grid. Section 4 considers the role of decentralized energy assets in a disaster area, and shows how their practical use may increase the speed at which a devastated community returns to normal. Section 5 concludes by illustrating how the incorporation of a decentralized energy matrix in the national energy policy will serve to protect the country from the brunt of large-scale man-made and natural disasters. 1. The Case for a Decentralized Energy System The nation’s power network is made up of a large centralized network that operates relatively efficiently in times of ease; however, in times of distress, a problem rapidly cascades throughout the system, as happened during the Northeast blackout of 2003. 1 The US energy grid, of which electricity generation is only one portion, can quite accurately be characterized as “brittle” and “fragile.” Because it is highly centralized, it

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is extremely vulnerable to system disruption from failure of even one of its constituent parts. Three-fourths of the oil produced in the US comes from just four states: Texas, Alaska, Louisiana and California. 2 In addition, half of the nation’s refinery capacity is concentrated in three states, Texas, Louisiana, and California; and three-fifths of the nation’s petrochemical base is located in just one state, Texas (Lovins & Lovins, 1982). A disaster centered in this critical region would have nation-wide consequences. To illustrate, in August of 2003, three tree branches became entangled with electrical transmission lines in Cleveland, and nine seconds later 80 gigawatts—the equivalent of the wattage produced by 80 nuclear power plants—went offline across the Northeastern US, affecting millions of people. The design of this dysfunctional system was not through malice, but the result of a myopic perspective in constructing an energy system to deliver cheap energy in a utopia, where periodic hurricanes, terrorist attacks and other disruptions are nonexistent. The US energy grid was constructed part-by-part, without consideration that as the system gains in complexity, it likewise gains in fragility. It is notoriously intricate, consisting of an interdependent system of aerial wires, shallowly buried pipelines, oil refineries, fuel-storage facilities and enormous power plant systems (Lovins & Lovins, 1983: 119). The primary problem of the energy grid is the lack of flexibility to respond rapidly to disruption in the form of disaster, man-made or otherwise. And yet, even with the focus on terrorism striking the heartland, our energy system remains vulnerable to disruption. Essentially, even though the Department of Energy has been given an antiterrorism mandate, to ferret out and reform weaknesses in the energy network, the very design of the nation’s energy arteries hinders true disaster preparedness. The energy grid’s vulnerabilities were illustrated in startling relief when Hurricane Ike struck in September 2008. Ike caused fuel shortages throughout the Southern US for several weeks. Moreover, Hurricane Katrina aptly illustrated that without energy, life in the US can quickly resemble the poorest of developing nations (Clay, 2006). The modern energy infrastructure is so complex that it may be impossible to foresee the ways which it may collapse. Almost every significant energy disruption has come as a surprise to power system administrators and designers. Engineers tend to be quite proficient when designing a system to deal with predictable failures; however, a system that deals well with predictable failures tends to fail spectacularly with unforeseen ones. 3 The

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key to a dependable energy infrastructure is a flexible and resilient system that incorporates independent, discrete units. Renewable energy can also play a very important role in fostering reliability. A variety of energy sources that serve a smaller population, closer to end-users, would actively insulate an area from an enveloping blackout. When renewable energy sources fail, they generally fail for less time than larger power plants (Lovins & Lovins, 1983: 124). Renewable sources of energy tend to fail because of predictable effects, such as cloud cover, lack of wind, drought and the Earth’s rotation (Ibid.). 4 Disruption of traditional energy sources generally has an air of uncertainty, such as devastating hurricanes, labor strikes, terrorism and reactor problems (Ibid.). The placement of power-generation systems near the end-user would increase energy efficiency by mitigating the energy lost with a long-distance transmission. 2. The Origins of the Grid: the Birth of a Monopoly The national energy grid was developed in the era of heavy industrialization, not the era of the microprocessor. An added complication was the market deregulation that occurred within the past few decades, transitioning from a regulated monopoly to an industry aligned more closely to a free-market/liberal competitive model. One of the original regulatory laws to set the mold of the regulatory legal structure was the Public Utility Holding Company Act (PUHCA) promulgated in 1935. Under PUHCA, every aspect of electricity, from generation to transmission was regulated by authorities. When the electrical grid was first developed, and up until the beginning of market deregulation in the 1970s, electric utilities were primarily local operations. During the Progressive Era prior to World War I, electricity consumption was designated a public good, a basic necessity of modern life. In many areas, electrical generation and transmission facilities were for all purposes public property, usually managed by municipal officials. In other areas, privately owned utilities were granted monopoly status, but regulatory frameworks ensured that excessive rates were not charged to consumers. Each utility was vertically integrated, encompassing the entire supply chain from electricity supply to distribution. The utility controlled the three main components of electricity: power generation, power transmission and power distribution. During the monopoly age, the transmission line was constructed to serve the local community, with some flexibility incorporated to assist

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nearby utilities during emergencies. The electrical utilities that supported the transmission system were allowed to pass costs on to customers, and as the transmission lines were necessary for reliable operation, they tended to be kept in good repair. The monopoly system did have additional benefits as well. Monopoly status enabled the utility to predict with reasonable accuracy the future growth in power demand and to plan capital upgrade investment. Thus, monopoly status engendered a predictable return on long-term investment, which was necessary for constructing large-scale, expensive generating systems. But the disadvantages of such a system are clear as well. Because of a guaranteed rate of return by the regulator, utilities had little incentive to rein in costs or to encourage energy conservation. A guaranteed, set return on investment gave utilities reason to spend enormous sums on huge facilities, particularly on nuclear plants, but not to internalize environmental costs. The path to deregulation. During the 1970s, industry and government touted deregulation as the solution to energy sector ills. From trucking, airlines, natural gas, banking, health care and telecommunications, the governmental focus was on how best to liberalize these markets to deliver benefits to the consumer. In the electricity sector, the law that precipitated partial deregulation of the energy sector was the Public Utilities Regulatory Policy act of 1978 (PURPA). PURPA mandated that a market be created for non-utility electric power producers by forcing the major utilities to buy power from these producers at the “avoided cost” rate, which is the cost the electric utility would incur were it to generate or purchase the power from another source (Beecher, 1996: 28). PURPA created a new class of energy producer designated a “qualifying facility,” which is a small-scale commercial energy producer that normally self-generates electricity for its own needs, but may occasionally have surplus energy. The core of this new system is known as retail wheeling, which creates an open market for electric power, and theoretically enables any consumer to purchase electricity from any supplier. The “wheel” aspect of it means that an independent power producer can produce electricity to flow directly onward to the buyer (Costello, 1995). The flowering of the tree and the fruits of deregulation. A widely maligned deficiency of deregulation is that at least monopoly frameworks engendered a strong desire to take care of the utilities’ own consumers, and to make certain that the transmission and distribution system were in good repair. However, the transformation from large centrally located

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power plants, to fractured, small power entities which lack ownership of the transmission system, changed the system significantly. Under such a deregulated system, power companies have few incentives to maintain the transmission lines because the power provider generally does not own the lines that transport its electricity. Furthermore, the interconnecting transmission lines between utilities tend to be overused. Prior to the deregulatory phase, the interconnecting lines were primarily designed for emergency use; however, with deregulation, the transmission lines between the utilities strained the system from overuse. Deregulation also brought more rapid on-and-off cycling of power plants that increased the rate of the physical deterioration of the electricity infrastructure. This rapid cycling caused the metal parts to become heated and cooled more often than they otherwise would (Tverberg, 2008). And finally, deregulation wrought more transmission-line congestion and increased long-distance electricity trading, which had to be served by additional long-distance transmission lines. But the power companies’ profound lack of incentive to invest in these lines and organized community opposition against the placement of the transmission lines in local communities caused a great deal of conflict, which resulted in many transmission lines not being placed. In the last decade, US power demand surged by 30 percent, but the transmission capacity grew by only 15 percent—therefore during normal conditions the transmission lines are running close to capacity. When an extreme disaster strikes, there is not enough slack in the system to accommodate the demand for increased power. 5 It is perhaps not deregulatation itself, but the method in which it was conducted that left the national grid vulnerable. Bill Richardson, former Energy Secretary during the Clinton administration, characterized the US as being “a superpower with a third-world [power transmission] grid” (“What Caused the Blackouts?”, 2003: para. 7). And former President Bush echoed that statement by calling for increased investment in the “antiquated” electrical grid system (Bush Urges US Grid Upgrade”, 2003). The return of regulation. Some states are now attempting to reverse deregulation, due in part to a fear of public backlash over its failures. For example, in September 2008, the Illinois legislature approved an $11 billion rate relief framework that will lower the rate increases that deregulation triggered by almost 50 percent (Davidson, 2008). The framework will also eliminate a very controversial wholesale-power auction system, and create a new agency to purchase electricity and build generators. Other states have followed the deregulatory trend: Virginia

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reregulated its electricity sector in July, 2008, while other states are in the process. Electricity rate freezes in Ohio were officially scheduled to end in December, 2008, but state officials instead considered a possible rate freeze extension (Ibid.). Reflective of the public feeling that the market has failed to deliver promised benefits of deregulation, Ohio Governor Ted Strickland openly declared that [S]ome feel you should let the market take over, but based on what I’ve seen happen in other states, it’s just not something I’m willing to tolerate. (Ibid.)

The public revolt that Governor Strickland referenced arose from rates that increased, on average, by 21 percent in regulated states from 2002 to 2006, but surged to 36 percent in deregulated areas, while the utilities faced little or no competition (Niskanen, 1996: 16–17). Although as a caveat, it must be noted that one of the reasons for the extreme price increases may have been the almost vertical fossil fuel price increase over the past several years, especially natural gas, which exerted a distinct upward pressure on utilities’ costs. 6 A wave of public opposition to coal-burning plants for both aesthetic reasons and global warming concerns led some utilities to rely more heavily on natural gas, and correspondingly caused electricity prices to increase in tandem with natural gas prices. 7 However, there is suspicion that the primary factor behind the electricity rate increases lies not with the natural gas price increase (Davidson, 2008). The misgiving is that most big utilities and their powergeneration affiliates have not built transmission lines to import out-of-state electricity because they have vested financial interests in tight electricity supplies (Ibid.). However, a portion of the blame for the lack of competition results paradoxically from the states’ efforts to protect the consumer through a freeze on residential rates for the five to ten periods while deregulation proceeded. Thus, while 60 percent or more of commercial customers switched to new entrants, less than 10 percent of residential customers did so (Ibid.). The state regulators, by shielding consumers with low, regulated prices, may have inadvertently prevented competition (Ibid.). Texas provides a good example of a state in which 60 percent of the consumers chose an alternative supplier after the removal of price ceilings allowed

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utilities to charge consumers prices that more accurately incorporated actual costs (Ibid.). Virginia joined the wave of states rolling back deregulation when it gave new incentives to construct power plants and ended retail choice for many residential users. The objective was to ensure a sustainable customer base to finance the building of new generators. 3. The Creation of Grid Flexibility: Decentralized Energy Assets Decentralized energy assets (DEA) are generally defined as “[E]electricity production at or near the point of use, irrespective of size, technology or fuel used—both off-grid and on-grid” (World Alliance for Decentralized Energy, n.d.). Further, DEA can be “grid-integrated, standalone, deployable, dispatch-able, and islandable.” 8 Examples of DEA range across a large variety of energy assets, such as electric generators, reciprocating engines, micro-turbines, turbines, fuel cells, solar panels, combined heat and power systems, amongst many others (“Protecting Critical Energy….”, 2005). Given its popularity, decentralized energy may now be used with increasing frequency, but the concept is not new. A miniature decentralized energy power plant was first established on September 4, 1882, with the construction of the Pearl Street Station, the first power station in the world that provided electricity and heat to neighboring buildings (Ibid.). What determines decentralized energy is not the fuel used in its production, but rather onsite energy production; therefore, even fossil-fuel generators can be categorized as decentralized energy. However, as will be discussed subsequently, renewable fuels are actually the crux of a decentralized strategy. The basic concept underlying decentralized energy is that energy is produced when and where it is needed. The small size of decentralized energy—usually less than twenty megawatts—enables it to power up or down quickly and accommodate the variability in utility loads. Decentralized energy also bolsters reliability because its transmission line is over shorter distances, as opposed to the long lines used by central power plants, which often fail during hurricanes and other natural disasters. The use of DEA will promote a stronger, more flexible and more reliable electrical grid than the current centralized grid system. The value of the system is not only restricted to disasters: during ordinary times, DEA produces clean energy that lessens the strain on the central grid and

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prevents a significant amount of the energy loss that occurs in long distance transmission. The true strength of DEA lies in the ability to “island” efficiently. 9 Because DEA is located close to the end users, a disaster that impacts an area will only be felt locally, with local effects. Further, if a disaster strikes a distant centralized power plant, DEAs will optimally shield local communities from the impact of a regional grid collapse. DEA is also quite cost-effective in the everyday management of the electrical grid, since it relieves demand burden during peak times. The inclusion of advanced electronics-based power controls—otherwise known as smart controls—can further assist in the management of the electricity flows. Through a mechanism known as FACTS (Flexible AC Transmission System), the system regulators may mitigate cascading system failures in the aftermath of a massive disruption (Asare et al., 1994). Nuts and bolts: How decentralized energy assets work. Decentralized energy has garnered the attention of the federal government and major power producers. North Carolina-based Duke Energy is pursuing a $100 million pilot program that places solar panels, initially, on 850 houses, schools, and buildings, to produce up to sixteen megawatts generation capability (Ling, 2008). Jon Wellinghoff, a member of the Federal Energy Regulatory Commission, observed, with regard to a decentralized energy system, that, “It is absolutely essential if we are going to have an intelligent grid operating at its optimal efficiency,” (Ibid.). He very astutely observed that decentralized energy must play a national role, because as electricity demand increases climate-control regulations will play a much larger role in domestic energy production. However, not all stakeholders support the development of decentralized energy. Some utilities and energy regulators think that the use of too many divergent energy sources will make it difficult to balance the load on the transmission lines (Morris, 2008). Further, critics state that utilities may find it difficult to account for these energy sources in their balance sheets, as state regulators almost uniformly require utility rates to be based on the amount of power that they sell, and on the company’s assets, which include power plants and the transmission and distribution system (Ling, 2008). Moreover, one of the largest obstacles to the development of a national energy grid, welded together by thousands or millions of small power generators, is the lack of a digitized “smart grid” to handle the necessary two-way communication between the utility and multiple power

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sources. The national electrical grid, which has its origins in the 1960s, was built to power a heavy industrial society, not the computer and microprocessing-reliant society we have today. To put it in perspective and proportion, our current grid was constructed well before cell phones, microprocessors and microwave ovens. System-wide modernization requires that the legal/regulatory structures that governed the national energy grid that solidified over eighty years ago become more flexible. 4. Disaster Recovery: The Role of Decentralized Energy Assets In the crucial period after a disaster, coordinated federal and local support is necessary to address the short-term, i.e., immediate aftermath of an accident. In the crucial days that follow, immediate action is needed to meet fundamental human needs and to preserve life and property. Energy emergency services can help the community return to normal as quickly as possible. Although while policy is generally mandated from the highest levels of government, local and municipal authorities are often the first responders, with access to vital information needed at the scene. In creating a power system which will rapidly come online, two basic DEA structures may be utilized: 1) independent power generation that can be rapidly transported to a disaster area to provide power, such as mobile generators; and 2) stationary on-site units that can come online when the national grid stalls. Independent power generation. A deployable DEA system is composed of independent power generation units conveyed to the disaster area in the aftermath of a disaster, to provide emergency services to the afflicted community. These units can be placed online at a structure to achieve peak power or drop to base load needs during the crisis (Hinrichs et al., 2005). Utilizing DEA units during normal conditions has the benefit of being cost-effective by allowing it to recoup the utilization cost by being in constant use. Any problem with the unit is likely to be discovered and repaired when everything is functioning normally, rather than in the middle of an emergency. Governmental authorities should place these units near critical areas (i.e., hurricane, flood, earthquake, or forest-fire-prone areas) to achieve rapid deployment with minimal post-event travel time. A typical deployable DEA would be a trailer-mounted natural gas-fired generator. Each unit has the capacity to deliver up to fifteen megawatts—a significant help in a disaster area.

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Stationary decentralized energy assets. Stationary DEA has the benefit of being able to meet a critical facility’s regular energy demand, and function as a reserve generation system when grid power is lost. 10 The more popular devices are the Combined Heat and Power (CHP) systems and Photovoltaic systems. The combined heat and power generation systems generally utilize three major categories of technology: combustion turbines, engines and fuel cells. 11 Stationary DEA equipment allows the system to function independently of the grid after a disruption, whether it is a terrorist attack, natural disaster, or a rolling blackout. The primary feature of this is that the energy structure is able to island (i.e. separate) itself from the grid to function independently in the immediate aftermath of a disruption. This equipment should be buttressed with energy storage, smart technology, and high speed switches that are tooled to cut off nonemergency applications rapidly and to preserve power demand for critical functions. A key to stationary DEA is that it promotes stability by providing continuous power. 5. Conclusion: Recovering from Disaster In the moments of alarm after a disaster, the most critical facilities (hospital, police stations, military installations, etc.) have only a short time window before they are irreparably damaged by the power loss. DEA, if constructed with foresight and the right mix of deployable and stationary assets, can protect vulnerable communities and assist in regular operations for critical facilities that help the community normalize quickly. However, power generators that run on diesel are not the best option. It is often quite difficult logistically to obtain fuel for these generators. Diesel-fired generators are dependent on access to fuel. Yet, as Hurricane Katrina showed—again, in stark relief, a disaster severely compromises the logistical network. Similarly, the aftermath of Hurricane Ike in 2008 saw persistent gas shortages in the South for three weeks. 12 Former House Speaker Newt Gingrich, who toured the affected regions, compared the conditions in Atlanta, Charlotte and Chattanooga to a “third-world country” (“Gas Shortage…”, 2008). Mr. Gingrich had not yielded to mere hyperbole; the most advanced countries can revert to a very primitive state without access to the energy, which constitutes the lifeblood of the modern global, regional and national economies. As we have seen, malignant problems

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can rapidly spread throughout our energy grid and spread chaos in its wake; DEA is a proper solution to a complex, ongoing problem. The incorporation of DEA as a foundational component of energy security should be undertaken now to avert the next great energy disaster.

NOTES 1

The Northeast Blackout of 2003 was a widespread power outage that occurred throughout parts of the Northeastern and Midwestern United States, and Ontario, Canada on Thursday, August 14, 2003. Until that time, it was the largest power outage in the history of the United States, affecting approximately 50 million energy consumers in the US and Canada, with financial losses reaching upwards of $6 billion. See New York Independent System Operator (2005). 2 One of the first scholars to point out the fragility of the US power grid was Chairman and Chief Scientist of the Rocky Mountain Institute, Amory Lovins. Lovins in 1982 published his groundbreaking book co-authored with L. Hunter Lovins, Brittle Power: Energy Strategy for National Security, that argues the domestic energy infrastructure is extremely vulnerable to disruption, more so than imported oil. Lovins main thesis is that a resilient, flexible system is more inexpensive and feasible than our current centralized system, but US policy makers reject this contention. See generally Lovins and Lovins (1982). 3 On the ramifications of not taking into account potential occurrences into disaster planning, see generally Taleb (2007). 4 Although it must be stated that even wind generation based on a centralized model can have its mega failures. On February 28, 2008, Texas operators narrowly averted a major rolling blackout after sudden decreases in West Texas wind. The shortage was prompted largely by a near-total loss of wind generation, as well as a failure of several energy providers to reach scheduled production and a spike in electricity usage (“State Almost Saw…”, 2008). 5 As is happening with increasing frequency. On October 29, 2008, a large snowstorm cut off power to thousands of residents in the Northeast, stretching from Vermont to New Jersey (“Northeast Storms…”, 2008). 6 For example, natural gas prices tripled in the late 1990s and the early part of 2000. 7 Concerns about global warming have intensified in the financial sector. Three large investment banks, Citigroup, JP Morgan Chase, and Morgan Stanley, announced that in evaluating new coal burning plants, they would take into account potential future charges for carbon dioxide emissions. They reiterated that they would not block funding, but would investigate the future viability and the

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potential for large carbon costs before agreeing to underwrite these projects (Wald, 2008). 8 “Islandable” refers to being able to separate from the national grid and function independently (“Protecting Critical Energy….”, 2005) 9 Islanding enables the electrical grid to fragment into small, self-contained powergeneration areas in response to a significant disruption that ripples throughout the power grid. 10 For a general understanding of the size and cost of these units, see Stewart and Stevenson, 2007. 11 For a detailed discussion please see Northeast CHP Application Center, 2005. 12 The aftermath of Hurricanes Gustav and Ike in 2008 offers a good perspective as well on the psychological dimension of energy shortages. As soon as gas was delivered, anxious residents immediately filled up their tanks and gas cans. In this sense, the gasoline shortage was exacerbated by the residents’ fear of a shortage (Brumback, 2008). Many behavioral researchers argue that human minds are hardwired to react in a certain way when frightened and faced with potential scarcity. When the group acts collectively, the resultant actions are often not in the best interests of society (Schelzig, 2008).

CHAPTER TWENTY ENERGY AS A COMPOUNDING DISASTER COMPONENT Introduction to the Breadth and Depth of Evolving Energy Cataclysms: Global Genesis, but Localized Locus for Turnabout Energy-related cataclysms have their genesis globally; but the prospective counterpoint locus of turn-around response is principally in the United States. In the US, where energy is consumed in vast quantities and is essential for the continuity of its economy, a massive amount of capital is exiting from the US simply to pay for a single imported commodity— oil—and that financial capital is just as necessary for the continuity of the country’s economy as energy itself. Conversely, in developing nations the price of energy had reached levels that make the purchase thereof prohibitive to the average person—and it then dropped precipitously by half. In all parts of the globe, the overall use of energy is having an increasingly detrimental impact on global warming. Worse prospects are portending. Many experts predict that the supply of crude oil is approaching its “peak oil” moment. Yet the demand for oil is increasing without any limit in sight. Global supply of oil is increasing only linearly (at best); and worse, most major oil sources have already peaked in production. Demand is exceeding supply for this strategic product which, having a lack of demand elasticity will result in pricing being chronically problematic. Energy is about to become (if it is not already) a major contributor to geopolitical tension and conflict. Significant vacuum of leadership facing major new calamities. World leadership is stalled in a post-WWII modality and is unlikely to respond sufficiently. 1 Here at home, visionary leadership is mandated to abate demand growth but the US continues to be a disappointment at the federal level. Yet, in contrast, the State of Massachusetts has just undertaken a bold new program designed to abate much of these energy-related disasters; and so too California. Such state-based leadership must be replicated by other states to counter the tepid national response. Impressive leadership on the state level can help to prompt serious

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improvement in our national energy policy, which is vital if energy use is ever to become sustainable. These problems never existed before (internationally, nationally or locally)—as the price of energy had been cheap and supply abundant (in the last century) and, per force, costs steadily declined. No longer. Prices gyrated (in the last year) to heights previously un-thought-of; while, in recent days, the price tumbled by half. Some normality must be fashioned. Here in the US we can make a first recourse to energy efficiency as a means to abate demand by retrofitting our obsolete energy consumption systems. A normative 20 percent can be saved readily, and many new technologies—for example, wireless retrofitting—make the cost of saving energy only a fourth of the cost of purchase of energy at retail. Such a first step must be followed by a series of steps to make energy usage sustainable—principally by the use of clean, renewable fuel. These disasters are both compounding and cumulative. Currently too many self-inflicted disasters are raining down on the globe. The US stands as a principal causer and energy is a principal instrumental cause. The global economic system is stumbling badly at the very same time that energy has become a highly problematic disaster-compounding ingredient on several levels: its financial burden, the credit collapse, resource depletion and global warming—a “perfect storm.” Political and economic remedies that had classically been resorted to in such severe crises had always been nation-based; and hitherto such issues had arisen seriatim, not all at once. But these self-inflicted disasters are essentially global, so from whence our remedies and leadership? Political leaders have been deficient; international collaboration has always been problematical; and the public is not being warned or even apprised sufficiently of the nature and scale of the problem. There are evident solutions but insufficient leadership therefor. A sound scenario for a solution is in the offing—if our leaders will lead. It is a win/win/win situation. Start off by reducing demand by 20 percent through energy efficiency and demand-side response, including new CAFE standards at 50 mpg. Then shift to supply-side response by accelerating usage of renewable and clean fuels, starting with wind and solar (photovoltaic). Accelerate development of bio-fuels. Moreover, such demand-side and supply-side industries will keep our disappearing capital here at home and be used to pay a new cadre of workers and entrepreneurs. Leadership is sorely wanting—as is discussed (recurrently) herein. Disasters originate both locally and globally—an awkward paradox for planners. Disasters are increasing in frequency and intensity. While

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most disasters are localized—such as floods, hurricanes and earthquakes—some disasters are fully global (and increasingly selfinflicted, as our society becomes more interlinked and complex) with consequent major local impact, such as: x (x) world energy cost (permanently tipping our nation’s balance of trade payments into heavy negative); x (y) world climate change (and the need for reducing the carbon footprint of local emissions); and x (z) world financial collapse (with the need for dramatic government intervention into local banks). Yet disaster response (“DR”) is properly centered locally. Hence, as we address DR—especially as we shape modes and means for rebuilding sustainable communities after disasters, particularly for families and children—we must be alert to unfolding global disasters that can be become disaster-compounding components which impact everywhere. Energy is a prime prospect for our inquiry herein. Energy affects nearly all the aforementioned portending and unfolding world disasters; and moreover it is—and will become—an increasing and chronic compounding force, compounding both local disasters and other global disasters. Our competence in responding to and in anticipating disasters will be facilitated to the extent that we understand self-inflicted disasters; and that we appreciate that they have global reach. And, again, this paper selects energy-related disasters as a principal paradigm. Probing disasters from the perspective of energy-driven calamities. Those who would seek to master DR should be savvy as to the unsustainable state of energy usage in our communities. Moreover, the portending threats emerging from the energy realm are but a metaphor for other disaster-compounding components. Finally, the more we look at such disaster-compounding components, the more we see a menacing measure of syndromic consequence. There are more questions than there are answers. Yet we are at an early state of probing the nature of disasters and DR. Accordingly, it is appropriate to posit probing questions. Examples are illuminating and dramatic to the extreme. Look, for example, at the Katrina disaster. When Katrina wreaked its mayhem on New Orleans and the coastline to the East, a wide range of questions arose: is this a harbinger and a warning of too much strain on society’s ecology? Did global warming increase the intensity of that hurricane? Did over-spewing of carbon emissions—by unsustainable, wasteful energy

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consumption—hasten global warming? Are our oceans becoming unfit for the survival of marine life? Is the incompetence of our national (and other levels of) government to provide helpful DR to the poorer residents in New Orleans compelling evidence of a disastrous lack of empathy between the different levels of our society? Is government led by those who can control the media and find short-term co-habitation with the lobbyist cadre? Are these lobbyists unduly instrumental in promoting unsustainable wastage of energy consumption (especially regarding toolow CAFE mpg mandates)? Similarly, when our country’s banking system began to stumble (in recent months) and, in turn, was followed by a worldwide banking stumble, did we begin to ponder whether the transfer of a trillion dollars (every two years) from the US to oil-producing nations presages a market message that economic growth—based upon denuding our nation of its wealth—will result in the collapse of growth, coupled in turn with the collapse of the financial credit market? Even if prices for oil tumble (and then renew rising)—as they have in recent days—such a tumble (and resumption of price rise) are plainly driven by a worldwide financial tumble that is bringing worldwide economic disaster. It is a sour trade-off—to trade disaster-ridden highpricing of energy for worldwide economic disaster. An iron conundrum: disaster in both directions. Disaster responses, while principally localized, must interface with broad-based phenomena and raise a hue-and-cry as needed. Most disasters occur and are responded to locally. Even the worst of disasters are responded to by “first responders” locally. Yet these same first responders must have a special sensitivity that will prompt them to raise a timely hue-and-cry when disasters are wholly beyond any local ability to respond. Conversely, our states and federal government must have an equally prompt ability to respond to such hue-and-cry. Whenever response is required our entire societal resources (including local, state and federal resources) must respond in a prompt, sustained and coordinated manner. Disaster-related experience has brought about broad-based skill capability and sensitivity at many levels. To that end, there is a full trove of impressive documentation and action-plans that have been developed and published by the Federal Emergency Management Agency (FEMA)— our principal national resource-agency for major DR. Further, FEMA is providing ongoing training and funding for localized development of DR. FEMA, in turn, is housed in the Department of Homeland Security and the functions of the Agency and the Department overlap (and will continue so

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to do). In addition, academia is providing complementing support (with our UMass Center as a leading contributor). DR is increasingly becoming a highly professionalized feature to our society here in the US. But to date the issue of energy as a self-inflicted disaster and as disaster-compounding ingredient has yet to be prioritized. This paper is perhaps the first to raise these concerns. Self-Inflicted Disasters; State-Level Leadership Response Studying DR calls for understanding of compounding, self-made risks. Happily, our current conference is not charged to solve all these conundrums. We strive here and at the Center to help our respective communities to become better prepared to achieve DR. DR is a daunting task—one which is now becoming properly professionalized and systematized. And there are many subsets to that realm that warrant much further probing and plumbing (such as making post-disaster scenes sustainably habitable for families). That is our principal task; but, as we strive to become masters of DR, we must appreciate that disasters will become increasingly more complex as our society becomes more complex. Most major disasters will be compounded by some overbearing, contributing forces and conversely, portending disasters can be abated by proper preparation—especially the sort of preparation that can anticipate such compounding, self-inflicted calamities. Query: If we can start to gain a handle on the compounding aspects of the energy realm, can we, in turn, begin to understand the overall threat of sinking syndromes and, in turn, start to head off self-caused disasters? Simply put: energy unsustainability is a self-caused disaster that compounds other disasters—whether self-caused or not. Self-inflicted disasters can be countered in advance by sound localized leadership; but such interface involves global scope appreciation. Our study of DR centers properly on local and regional response capability. In the case of self-inflicted disasters, our study is predisposed to look close to home for the responsive leadership to counter these correctable societal faults—despite the worldwide impact therefrom and interface therewith. Moreover, sound leadership can come from the bottom up—especially when national and international leadership is “far behind the curve.” Leadership must become better sensitized to society’s exposure to disaster risks and the need to accord greater priority to DR. Leadership can prioritize the capability to perform DR. Sound leadership can make a

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substantial difference by abating disasters through preparation. As this paper focuses on the proclivity of the energy realm to compound disasters, let us look at the prospects of localized leadership to fill a much-needed role. To that end we ask: can states like Massachusetts and California start paving a new path on energy sustainability from the bottom up? Notably, Massachusetts has just adopted a prescient and comprehensive statute that should provide singular leadership for other states to abate energy-disaster exposure (the Green Communities Act of 2008). Similarly, California has exerted salutary efforts (step by step) for the best part of a decade showing comparable prescience and leadership. 2 Can our nation gain traction which is visionary and prescient from such state-by-state leadership? This paper emphasizes state-level leadership toward anticipating energy-related disasters. There are positive and negative reasons for emphasizing the salutary role for state level leadership in coping with energy-related disasters. From a positive perspective, Massachusetts is a leader and, as such, its leadership is dramatic and revolutionary, albeit only recently launched. There is also bias (in the DR patch) toward finding synergies in the local/bottom-up realm as we seek to advance institutionalized professionalism in DR. All disasters will involve local first responders and that level of first responders should develop an appreciation of the extent to which their own state-level DR is especially sensitive to, and prepared for, energy-related disasters. From a negative perspective, there are glaring gaps in the leadership—nationally and internationally—as energy-related disasters cumulate. As this paper is being first presented (in November 2008), the federal government in the US has become recognized as a pro-freewheeling administration. Neither peak oil nor global warming concerns is ever acknowledged. Yet, this paper sideslips political ideologies—if only because it appears that this administration is to be swept away and be replaced with a seemingly counterpointing ideology having a savvy sensitivity toward energy disasters which are evolving. This is an early paper in the probing of energy-related disasters and so our efforts are best expended by plumbing state-based programs that appear to be both meaningful and prescient. Communities can offer bottom-up wisdom. As communities prepare to cope with localized disasters they could serve as a resonating voice for our nation to adopt stronger and savvier leadership and appreciation of the deteriorating scene on energy. When a community is in danger of being crushed by a localized disaster and is recruiting resources for rebuilding

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and/or preparing its community sustainably, that community should be aware that financial resources are now being wasted on unsustainable use of energy. Those resources can and should be redirected toward sustainable rebuilding. Wasting energy is unsustainable, as is the resulting waste of financial resources! Both promote compounding disasters. Can enough savvy communities promote a critical-mass-movement in favor of a national commitment toward sustainability? Prioritizing sustainability. Sustainability is an overarching principle of the Center to Rebuilding Sustainable Communities after Disasters at UMass-Boston. There is much to understand as to the principle of sustainability. 3 We have another dramatic example of interlinking features of unsustainability, this time close to home. Let’s look at this immediate winter in New England. Thousands of homes are projected to suffer disaster when oil heating costs exceed the resources of low-income homeowners. Until the recent massive jump in the price of oil, our federal government provided a meaningful, helping fund that enabled the poor to find a supply of oil to tide them over a cold spell—despite having an empty fuel tank. This winter, however—unless Congress takes on new leadership—the recent market price of heating-oil has far exceeded the federal-government helping fund and the actual needs of low-income homes. Yet, this problem would never have occurred if (a decade ago) Congress had required the same level of fuel efficiency as has been required for automobiles/trucks in Europe. Transportation is the largest use of imported oil and that use level could have been cut in half; and, at half-level, the price for imported oil would have been in line with prior years. 4 More examples: Demonstrating laws of unintended consequences of simple narrow-focused myopia. I offer some more examples integral to my presentation, to show that energy and the sustainability of its use involve a complex of compounding concepts of sustainability. As a prime example, politics in Washington has prevented the higher CAFE mpg standards that would make oil importation sustainable. Hopefully such an increase will come about in the next Congress. (True, Congress adopted a better—but not sufficient—new CAFE only last year; but, alas, it delayed the impact—of 35 mpg—until 2020, which means that it will be nearly twenty more years before the fleet of cars/trucks on the road catch up to this merely “better” standard.) In consequence, the level of oil imports became unsustainable—with consequent disasters (including the collapse of our domestic automobile industry). The political mind-set to protect Detroit was counterproductive. 5

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There is also the layout of most cities—where millions and millions of homes were built in far-out suburbs on the assumption of a permanent supply of cheap gasoline for commuting. The increase in the price of gasoline has resulted in those far-out homes dropping in market value, contributing to the nation’s financial catastrophe. Public/Private Characteristics of Energy Energy is a regulated commodity. A probing of energy should take note of the long-endemic regulatory role of government. Electricity and natural gas have always been regulated commodities, principally because both are intentionally established monopolies in their respective franchise areas. Such regulation has been divided between federal and state governments. The federal government, principally via FERC (Federal Energy Regulatory Commission) regulates the sale and interstate transmission of electricity and natural gas. Conversely, each state has a DPU (Department of Public Utilities), which regulates in-state distribution and sales of electricity and natural gas. Electricity and gas are sold at regulated rates; and, until just this year, the rates were determined based on the “cost of service” to provide and deliver such energy commodities. Coal and oil, unlike electricity and natural gas, are two primary energy sources that have not been regulated. But we must begin to ponder whether the engines and furnaces that burn coal and oil now need to be regulated both because of wasteful consumption and carbon emissions. New paradigms in energy regulation. As described elsewhere in this chapter, Massachusetts has dramatically shifted its mode of setting utility rates and this shift—which is accorded high priority in this paper—will have a transformational effect. While, on the one hand, the rates will continue to be determined based upon the (classic) “cost for service”, on the other hand the nature of that service has just changed dramatically and fundamentally. Public utilities are to include not only the cost of service to provide and deliver electricity and gas, but the cost of service shall also include the cost to offer new subsidies to be provided to customers to incentivize them to establish EE/DSM to reduce their ongoing use of energy. 6 There may be new players on the federal level in addition to FERC. The Department of Energy (DOE) is expected to influence the usage of imported oil by promoting the accelerated development of renewable fuel for automobiles. In addition DOE (and other federal agencies) have been hastening—and should continue to hasten—efficiency improvement of oil

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heating furnaces and automobile engines. At another level, the Environmental Protection Agency (EPA) is showing credible signs of taking bold steps, starting next year, as national policy and legal rulings are shifting to begin to appreciate that carbon emissions require new, strong and dramatic limitations. The Bush administration was disinclined to deal with the mounting disasters emanating from the energy realm but, happily, the prospective Obama administration is fully reversed such myopia. Special Focus on Massachusetts Probing the major new response in Massachusetts to the evolving energy disaster. For a hundred years, all public utility regulation had predicated its sourcing of revenues from the amount of energy sold (at regulated prices); but, just this year, the regulators in Massachusetts have set in motion a novel business algorithm whereby these same public utilities will be able to earn more (not less) revenue, if they can persuade their customers to use less energy by engaging in energy efficiency and demand-side-management (“EE/DSM”). 7 Finally, the energy users of electricity and gas—being delivered to them by their long-standing (but now re-oriented) public utilities—must become proactive initiators of EE/DSM as a major self-transformative force (for the first time in their lives). Energy users are to join forces with their own public utilities in reducing energy use. Homeowners, for example, will have to spend thousands of dollars to retrofit their obsolete home energy-consumption systems and the public utilities must co-contribute hundreds of millions of dollars in subsidy incentives—for such proactive homeowners and for proactive commercial and industrial retrofitting energy users. (This is a recurring theme and it will be developed further below.) Massachusetts leadership is shifting basic societal roles; yet there is a problematical level of understanding by typical energy-users in such new role. A wholly new role is emerging for the energy users, and a partially new role for the public utility. If this tandem team-up works (as the new legislation intends) then energy use in Massachusetts will become vastly more sustainable. For the next decade, the supply of new electricity and gas—to be provided by public utilities—is predicated to come from EE/DSM for the first time in history. To repeat: instead of the public utilities proceeding (as was classical) by purchasing new supplies of energy from third-parties, these utilities will satisfy the increasing demand for energy for their franchise area by having their customers (in that very

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franchise area) substantially reduce their usage of energy—by way of EE/DSM. 8 But there is a seeming gap between theory and practice. The energy users must be persuaded to respond proactively in a prompt, major and sustained fashion to this new paradigm—despite their current unfamiliarity with EE/DSM. The typical customer thinks in terms of cashin/cash-out and must be led to understand that the capital costs for system retrofits can be accounted via the accrual method, whereby the cost to improve capital facilities is to be spread over the life of those facilities. There hangs a tough tale. While, on the one hand, these energy users must respond on a large scale, their role is fully voluntary. They must voluntarily take on a major task—requiring substantial capital investment by them—at a time when they are already financially strapped and in full angst over the shrinking economy. The typical owner of a home, and the typical owner of commercial multi-residential apartment building or commercial office building, must transform his property by a substantial retrofitting investment. 9 These owners must make major investments in retrofitting for EE/DSM; however, many of them do not yet understand that such investments are in their personal interest and in society’s interest. Further, these initially-challenged energy users have yet to understand that they will be receiving major financial and transactional assistance from their respective public utilities. Distinguishing principal thrusts of the new Green Communities Act in Massachusetts. This Green Communities Act 10 is a watershed moment in state leadership—as it faces up to an unsustainable condition in energy (for the first time). It puts Massachusetts, through its proactive legislation, in the same league as California—which had been forced to be reactively creative, step by step, when its deregulation effort devolved into an electric-energy meltdown. Let me subdivide and distinguish the principal thrusts of the statute between its shorter and longer-term points of focus. In the short term, EE/DSM will be emphasized as never before (here or anywhere) by the new business algorithm just described. Regulators now mandate such transformational response. Conversely, in the longer term, the statute will promote the development of renewable sources of energy, and, in addition, the evolution of “green communities” which demonstrate the proactive desire to host some of the new energy technologies—and thereby be accorded grants-in-aid. The short term can be looked at as having a ten-year horizon; while the longer term will proceed far into the future. Simply put:

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1) In the short term, utilities are to co-opt their customers into becoming proactive retrofitters and proactive husbanders of their own energy usage by way of EE/DSM. 2) In the longer term, the full state energy constabulary shall focus on accelerating supply-side response by facilitating and prioritizing the development of clean, renewable energy. At the moment, two such energies had already been under development: wind and solar (photovoltaic)— and these would be encouraged further. Other clean renewable fuels, such as bio-fuels, will be prioritized in Massachusetts and elsewhere. 3) Also in the longer term, green communities will be ordained as self-selected communities providing bottom-up leadership, proactively advancing their desire to participate as host communities for new, creative green responses; and, to that end, the state will provide grants-in-aid. For example, new modes of community selfdevelopment of clean, renewable fuels utilizing (first) wind and (then) photovoltaic, and, in addition, ultra-efficient combined-cycle generators (that can also provide district heat), could serve such a community. Plans have already begun to set up modes and means so that the local public utility will work out net-metering arrangements for such communities so that excess electric power generated will be sold into the utilities’ grid at attractive rates. Immediate impact available from EE/DSM. As noted elsewhere, EE/DSM can readily provide a 20 percent reduction on energy demand over the next ten years—an amount comparable to the new energy supplies needed in that time-profile to service increasing population and technological advances. Moreover, such EE/DSM can be provided at a cost/benefit ratio that will pay off real-time, big-time dividends. Again, normatively in the 20 percent range. 11 Again, this subject will be developed further below. Most energy is wasted and can readily be countered. Most energy is wasted. There lies the greatest rub. This waste can be reclaimed by simple, readily available techniques of EE/DSM. Experience shows that the cost to save energy is but a fraction of the cost to acquire new energy. This is the most compelling feature of this new paradigm: for example, in the case of electricity, it costs about $.09/kWh to purchase new sources of electricity at wholesale and it costs $.17/kWh to purchase the same at retail. But, in counterpoint, the cost to save that same kWh averages about $.04! Consequently, investment in energy savings, which requires a onetime, upfront capital investment for retrofitting, will pay annual dividends

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of 20 percent (or better). There are dramatic exemplars: for example, an investment in a new cool fluorescent light bulb earns payback in a few months (paying rich dividends thereafter). Similarly, the typical multiresident apartment building now uses only one thermostat and that thermostat measures outside temperature. Alternatively, a new wireless thermostat and control system can be installed that offers full payback (often) within a year and will pay a free dividend in the order of a 50 percent every year thereafter. There is much to be learned from efforts made in California about EE/DSM. California and Massachusetts are two states that have prioritized EE/DSM. Both have had long-standing programs that have reduced energy demand on a cost/beneficial basis achieving energy efficiencies well above the national average in energy use per customer. And, both states are leaders in the process of implementing “decoupling” and both states intend to push the envelope on EE/DSM—so that energy usage can shift from unsustainable to sustainable. In addition both states see a second compelling rationale in the unsustainable impact that energy emissions are having: global warming. California has been engaging in an extraordinary level of think-tankesque studies over the past decade that can serve us well here in Massachusetts. California is also embarking upon a major education effort led by its public universities, whereas Massachusetts has just begun its prioritization of public education. Worse Disasters Brewing There are worse energy-related disasters brewing. Ironically, this already-severe, energy-disaster scene (the unsustainable level of usage, unabated wastage and stymieing and gyrating cost of energy) is the easier side of this compounded, portending energy disaster. There are two additional catastrophe-components brewing as a result, in large part, of our nation’s unsustainable use of energy. One is the advent of “peak oil”; and the other is the advent of “global warming.” The solution to these impending crises components is similar to the responses described above—to deal with wastage and unsustainable costs: namely X) EE/DSM; Y) clean renewable fuel and Z) regulation of carbon emissions. But the magnitude of broad-based public response must be more intense, and must be taken up nationally (on a scale comparable to the scale being mandated here in Massachusetts). Historic leadership will be required to cope with these apocalyptic, evolving self-inflicted disasters.

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Both peak oil and global warming are evolving as extreme disaster components. There are counterclaims as to peak oil and global warming (issued principally by those employed by industries that have a fearful stake in the status quo); but none of these counterclaims ever appear to offer graphs or data— despite a diligent search. Moreover, the anecdotalbut data-driven-evidence of both peak oil and global warming continue to grow. Plumbing and Probing Solutions There is no silver-bullet solution to these two overhanging disasters. For a half-century there have been cries of warning that energy is a finite quantity and, as such, is likely to run out—or at least run down—in supply, as the demand for energy increases exponentially. Demand will exceed supply and as a result the price will gyrate and ultimately rise exponentially. Such high prices apparently have (and will certainly continue to) damage economic development. The onset of peak oil can be postponed but not avoided. While it is true that new supplies of oil can be found about the globe, the size of these finds in recent decades has been dramatically smaller than the “major finds” of a half-century ago; and these finds do not match the accelerating demand for oil. We are living off past oil finds. 12 Significantly, in the past, the predictions of peak oil had pointed ahead a few decades ahead, but now those few decades have passed—and now prognosticators are predicting only a few years! Furthermore, for two decades many serious prognosticators (now joined by virtually all reputable scientists) have warned that the climate is changing and the globe is warming, because of the carbon emissions resulting from the exponential growth in the use of fossil fuels. Global warming will envelop and descend increasingly on our next generations— because of what we ignored in our time. The largest components of carbon emissions result from the use of gasoline and diesel fuel for transportation and the use of coal for the generation of electricity. The largest user of automobiles and electric generation plants is by far the US. China is growing in usage at a major exponential rate—and has just exceeded US’s CO2 emissions. We must step up to a new paradigm by using much less fuel and shifting such usage to domestic sources of renewable, clean fuel—a truly long and broad haul. Our behavior and a century of infrastructure evolutions have committed our society’s ethos toward more and more development, using more and more energy. Furthermore, our energy

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consumption systems were designed and installed in the era of cheap energy—and as such are dramatically obsolete. It will take a decade to retrofit these to become truly efficient, provided that users of energy will invest major financial sums to achieve such retrofits. But our longstanding energy-usage ethos is fully oriented toward the expectation that economic growth is both natural and needed, with a compelling historical relationship between the increasing use of energy and increasing national GDP. Although it will be a long haul from the current status quo to a new sustainable paradigm of low wastage of fuel, and shifting such usage to renewable, clean fuels, time is of the essence. Responses to these mounting disasters. The solution to these overhanging “swords of Damocles” lies in the combined development of new renewable and clean fuels, together with prompt, broad-based and increasing use of EE/DSM. Development of sufficient clean, renewable fuels will take decades, while development of readily accessible EE/DSM can be achieved in but one decade. In the case of EE/DSM, we can readily convince ourselves to prioritize such retrofitting, if only for our own financial benefit; but, in the case of renewable fuels, we must convince ourselves that our current generation must make heavy investments in such new/renewable/clean fuel development for the benefit—in large part—of our next (and future) generations. Our major universities and think tanks are properly prioritizing the development of new, clean and renewable fuels. The wider public must also appreciate that serious and sustained prioritization of the development of new fuel is critical. From a positive viewpoint, certain specific clean, renewable fuels can achieve major development within the decade because in some important instances they have already been under development for a decade. Wind energy can be accelerated and achieve full commercial, albeit limited, performance. Solar, particularly photovoltaic, energy can be implemented within the decade merely by continuing the current tax subsidies already provided: the tax benefits are akin to those arising from the subsidies provided to EE/DSM. But, from a pessimistic viewpoint, it will take more than a single decade to bring wind and solar to a sufficient level, and worse, wind and solar cannot do it alone—other types of clean, renewable fuels must be developed. Bio-fuels are promising (but beware shorting the globe’s food supplies). It is all doable, but seemingly it will never be enough and never arrive as timely as needed. Hopefully, the recent technological modes of horizontal drilling into shale and coal-seams will produce a “swing

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source” of domestic natural gas. Leadership must be sound. More inventions must evolve. Beware of nuclear power, which had become a slow-developing energy source, requiring vast amounts of capital; but perhaps a good case can be made for a wholly new low-capital design. Many commercial and industrial activities can be served by ever more efficient co-generators of electricity and heat. Regulators and public utilities are coming onto the same page for these sorts of developments. “Net metering” is on the horizon and is becoming a major feature in evolving green communities in Massachusetts. Again, major developments can occur within the decade. Finding Elusive Ingredients: Financial Capital and Leadership How can our nation (or any nation) finance necessary investment in retrofitting and in new fuel development, when its economy is shrinking? Conundrums abound—as the globe enters into a worldwide recession set off by a collapse in its credit market. Credit is needed to secure capital for new energy investment. While energy has become increasingly expensive for day-to-day consumption; such a cost-burden pales in comparison with the financial investment needed to change our entire modality and infrastructure of energy usage. While this paper seeks to plumb and probe the tipping points of energy disasters and the compounding effects of energy calamities, it must admit its own limitations of understanding of the mysteries of macroeconomics. Does not the exiting of a trillion dollars every two years from our national economy (to purchase imported oil) set off another tipping point? Is not that massive amount of capital just as vital for our economy as the energy it has been purchasing? And how much education and leadership is required before the energy-consuming public changes its endemic tendencies toward inertia—and, in a new proactive posture, aggressively spend its capital (in collaboration with their utilities) to achieve prompt and sustained EE/DSM? 13 There are more immediate questions: can our nation (or any nation) find the necessary capital in the midst of a recession to reinvest by a) individually retrofitting its obsolete energy-consumption systems, and b) investing—as a general public—in new technologies by inventing new fuels that are both renewable and clean? These are all massive financial undertakings. From whence will our political leadership spring? Even in good times, it would be a difficult political task to convince the public to

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undergo substantial retrofitting of their individual energy consumption systems. Is it a “bridge too far” to ask for our political leaders to demand such performance and prioritization when the national economy descends into a prolonged recession? The Program to Advance Sustainable Use of Energy at UMassBoston sees energy as a fulcrum point at which Lincoln-esque leadership must focus. Hopefully the leadership examples shown on state levels will serve as pilot-type exemplars. Our national leadership must reach much higher levels than we have been encountering. Some Federal agencies have been entirely out of the loop in respect of disasters brewing from unsustainable use of energy; and hence, let our thesis reach these agencies. Our complex federal system splits jurisdictions between state and the federal governments; and, within these basic entities, there are more divisions of responsibility and hence more splitting. Disasters are the special province of FEMA at the federal level, and each state has a similar agency. For purposes of this paper—that addresses the need to appreciate broad overbearing interfacing of compounding disasters—we focus on the federal level: the federal agencies regulating the energy realm have already been described above. No single federal agency deals with the compounding interface of energy realm disasters or the compounding of natural disasters. Conversely, Massachusetts recently forged a task force of agencies to address the prospective disaster of the winter of 2008/2009 to coordinate energy-related disaster response for low-income oil heating users. Meanwhile FEMA (in Region 1) is providing region-wide conferences to coordinate the “best practices” arising from the several New England states and FEMA to deal with such impending disasters. Such a recent (state and regional) task force approach could be used as an exemplar and brought to the federal level to achieve accelerated cross-disciplinary appreciation of the disaster-compounding effects emerging from the energy realm. FEMA could raise the specter of unsustainable use of energy as a portending disaster calling for strong DR preparations, and at some point it is likely to do this. Similarly, the EPA—with its narrower focus on global warming—could take the bull by the horns and establish carbon emission levels to reach a sustainable level of carbon emissions. Congress, as noted many times here, could sense the brewing disasters and direct many federal agencies, especially FERC, DOE and FEMA to develop programs that are in sync with the programs being advanced in Massachusetts and California—and so too the White House.

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At this time we are especially tasked to identify brewing disasters and muster societal DR capability. This paper has sought to profile the emerging disaster and disaster-compounding features in the energy realm. Disasters and the compounding of disasters that are self-inflicted are especially prone to abatement by self-identification and self-preparation. This paper is brief; and it is focused toward the training of institutions that are most directly involved with DR. There is much more to be articulated in these realms; and more and more governmental agencies should add to the hue-and-cry. 14 Other related questions arise when the level of usage of energy and the price of energy tumbles as a direct result of the impending recession. If the public sees the price of energy decline (in a few sudden weeks), because the short-term demand for energy exceeds the long-term supply (because, in turn, of a sudden global financial meltdown), will not the public say “thank god for small favors” in the middle of a hard-hitting recession? Will the energy-using public relax on that issue; and refocus instead upon recession angst, ignoring the sense of urgency felt just a few months ago? If the price of energy is reduced, will not the payback algorithms for retrofitting appear longer and less compelling? Similarly, private capital will be slower to flow toward a new renewable-fuel industry if there is a slower prospective payback. More on the Public/Private Dynamic Can a new vision for public/private come to the fore, such that the public sector sets goals for sustainable energy usage, and the private sector effectively responds in turn? Often there is a false dichotomy as to whether the public sector or the private sector should lead discrete sections of the economy. That question may never be completely answered. However, there are some realms that encounter and impact broad-based stakeholders where public/private collaboration is seen as essential. In such situations the public sector plays a major role at the outset of an emerging economic dynamic and the private sector fulfills the goals set and dominates the performance over time. (Municipal zoning is a classic exemplar, and energy likewise.) Some energy sources can be kept in the private realm, namely coal and oil. Others, namely electricity and gas, involve such extensive commitments to infrastructure that they lead inexorably to monopoly grants and hence strong public/private relationships. There is no ideal. Heavy regulation of energy usage has never been thought to be ideal.

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There is, however, one strong collateral benefit which can be exploited in this new era of unsustainability: these regulated public utilities are uniquely positioned and uniquely capable to co-opt their franchise customers, together with strong subsidies, to perform societal-saving EE/DSM. The utilities will go beyond their meters (for the first time) and, in that position, change the entire mode of public service of these regulated entities and consequently bring about a usage shift by their franchise customers. Further still, if the free-market operation of coal and oil can be shown to be on a glide path to disaster (because an increasing proportion of the oil must be imported—and the coal plant and automobile exhaust are the world’s principal sources of carbon emissions) will such coal and oil usage so impact public stakeholders that another public/private relationship becomes mandated? The greatest use of imported oil is for gasoline/diesel fuel use in automobiles. In the case of coal (domestically sourced), the greatest use is for the generation of electricity. These usages can be regulated. Automobiles that achieve 50 mpg should well serve both the manufacturer and the operator, thereby making oil-importation sustainable. 15 “Clean coal” can abate massive carbon emissions and the conversion of some electric generators to use natural gas will be welcome as well. The issues relating to oil, coal, electricity and gas properly involve national energy-policy; and the promotion of a specific energy policy to be forged by this nation is not within the scope of this paper. A further paper is warranted on this issue. Massachusetts takes public/private relationships to a new level in the energy realm. In Massachusetts, the new Green Communities Act draws the several public utilities into a more complex public/private dynamic. The utilities are being required to combine as two separate groups (gas or electric) to tender new industry-wide combined rate-and-action plans for the first time in history. This will provide both a) sales and delivery of their commodities and b) a new service whereby utilities will subsidize and incentivize their customers to reduce their usage by way of EE/DSM. But there is an even more fundamental redrawing of the public/private functioning in these energy realms. The public utilities are being recast to function not only as the sellers of energy and subsidizing promoters of EE/DSM; they must now serve as agents for their own franchise customers. They must guide and convince (indeed co-opt) their customers to take up offers of subsidization of critical retrofitting transactions and construction programs. The utilities are to go beyond their meters (once a

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classic boundary) with expertise, guidance and direction—and their regulators will hold them accountable for their success in such efforts. There will be a full and integrated public/private triad composed of x) the regulators, y) the public utilities and z) the franchise customers of the public utilities. No such public/private dynamic has been so tightly encompassed in peacetime; and major funds—hundreds of millions of dollars per year—are to be expended. In consequence, the consumption of electricity and gas in Massachusetts will become sustainable and major financial wastage and carbon emissions will be avoided. How soon will other states follow suit—following the lead of Massachusetts? Many states have been out front on EE/DSM. 16 Here in New England, Connecticut and Vermont are recognized leaders on EE/DSM. But no state has as comprehensive and presciently focused legislation as the Green Communities Act. It is reasonable to expect that states will pick up on features of the Act: notably, decoupling was already under positive consideration in many states. The principal sourcing of funding for EE/DSM subsidies in Massachusetts have been the type of “system benefit charge” (“SBC”) put in place in the state over the past decade. But, as noted, such SBCs produced a fund for subsides of about $125 million per year; and, in the new paradigm, such funding can be expected to ramp-up fourfold. While this author is not as familiar with policy and program development in California, it is reasonable to anticipate similar ramping up for EE/DSM in that lead state. These lead states are taking EE/DSM to a new level, while continuing the full commitment to cost/benefits. If the process succeeds in states such as Massachusetts and/or California, then it is reasonable to expect many other states to follow suit more aggressively. Looking at New York and NYSERDA. As noted elsewhere, other states are demonstrating an eagerness to advance EE/DSM and special attention should be accorded to New York and “NYSERDA” (New York State Energy Research and Development Agency). New York stands out as a state that uses a similar type of SBC as has been applied in Massachusetts; but these funds are remitted to a specialized, independent NYSERDA, which, in turn, has sought to develop path-finding modes of EE/DSM. Such an approach puts the regulated public utilities less in the loop than in other states, which has both advantages and disadvantages. It is useful to look at some of the documents issued by NYSERDA. Apparently many serious and successful efforts at cost/beneficial EE/DSM efforts have been made. For example, this author studied some projects where NYSERDA provided subsidies to multi-residential projects that served as strong exemplars of ideal EE/DSM. It is unclear, however,

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whether the utilities have followed up on such exemplars, and in New York, while decoupling has been adopted, there does not appear to be the same aggressive posture as in Massachusetts and California. Many of the documentary reports issued by NYSERDA are illuminating, but these documents are best interpreted by ESCO companies rather than by policy analysts. Key question: How soon and to what effect will the Federal Government show similar leadership? Next: the federal government must strongly jump-shift the CAFE standards. This is where the federal government can make the most difference and show the most leadership. Moreover, without stronger federal leadership on CAFE standards, the level of imported oil will never abate to a sustainable level. A key question is whether Detroit will meet the federal government half-way and allow more aggressive CAFE standards. Detroit has had extraordinary political sway in Washington until the current economic collapse forced it to seek a raw bailout. 17 Following such humiliation, the scene has shifted much to the benefit of advancing major improvement in CAFE standards. Congress and the While House are taking up the burden of leadership at long last. Can the Congress and the White House find common ground with Detroit (and its industrial allies) so that the domestic automobile industry can revive itself and advance new CAFE standards? 18 Sound Foundation in Place for Vital Remedies Many worthy responses to the energy conundrum have arisen in recent years by way of EE/DSM and renewable fuels. Many good folks have been “out there” (whether coming from the public sector or the private sector) striving to provide rational answers to the energy disaster syndrome. Some of the steps are: x Developing commercial solar electricity (on any and all sites), especially via photovoltaic cells; x Developing fuel cells from hydrogen (drawn from water); x Exploiting wind power; x Exploiting other renewable fuel sources, for example bio-fuels; x Developing a host of exceptionally efficient appliances (so-called Energy-Star appliances) that pay for themselves in short order— o Refrigerators, o Dish washers, o Cloth washers,

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o Water heaters, o Furnaces; Developing hybrid automobiles that use both gas and electricity and, in addition, capture the counter-thrust of the braking system, thereby far exceeding 50 mpg; Upgrading building codes for new construction that vastly save energy wastage; Inventing means of carbon emission capture, especially for coalfired electric generating plants and/or overall cap-and-trade transactions; Designing tax systems to discourage carbon emissions; Inventing and exploiting new modes of wireless/digital energy control systems; Inventing/exploiting smart meters and smart grids that take advantage of the new wireless/digital technology; Using advances in two-way real-time communication of control systems and smart meters; and Restructuring energy regulatory systems whereby public utilities become agents of change for their customers so that the customers will take advantage of attractive subsidy offerings to retrofit their energy consumption systems.

The EE/DSM responses are remarkably economic and, as such, ready for broad-scale implementation. Conversely, renewable fuel development requires substantially more progress which should take a full decade— however, there is meaningful and impressive progress underway and early exploitation can and should be pursued. These EE/DSM opportunities will generate a ready 20 percent in energy reduction! Some renewable fuels—especially wind generation— are already commercially exploitable. Any programs to advance EE/DSM and to accelerate invention of new, renewable fuel technologies will be drawing upon the very substantial progress already made. 19 Looking again at Massachusetts’ leadership stance toward energy sustainability. This paper is issued by the Program to Advance Sustainable Use of Energy at UMass-Boston. Notably, the Program has a strong grasp on the new legislation and regulation programs in Massachusetts. Such a new model for energy usage serves as an ideal basis for achieving a dramatic transformational shift away from unsustainability and toward sustainability of energy use. The more we plumb that model, the more we can foster its advance.

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As stated, Massachusetts is taking up a bold program, having been set in motion by its Green Communities Act (passed in July 2008), together with a new DPU ruling dramatically “decoupling” the revenue sourcing of public utilities away from the SALES of energy (only) and towards the REDUCTION of sales. The strong example unfolding here in Massachusetts should be seen as a proper program for all states to follow. For simplicity’s sake, some of its major subsets are summarized below. 1. All public utilities are directed to prioritize EE/DSM (especially over the next decade); and, to that end, they are to develop and file new rate schedules with the DPU that will institute a new role and relationship with their franchise customers—making the utilities become agents of change (for the first time in history) who will/must co-opt their customers into becoming proactive retrofitters of their own energy consummation systems. 2. All public utilities are redirected away from earning their revenue only from energy sales, and toward an entirely new business algorithm whereby the utilities will earn their revenues from a combination of both sales and reduction of sales by a new decoupling of revenues from sales. 3. Oversimplified—the public utilities are to secure new sources of electricity and gas from EE/DSM (from their own franchise customers’ energy consumption systems) to a normative extent of 20 percent of supplies over the next decade (about the amount of new gas and electricity expected to be needed over that decade). 4. Meanwhile, the entire energy constabulary is to promote the development of renewable fuel (of the sort noted above) to replace imported fossil fuel (which is presumed to take at least a full decade to reach a meaningful scale). 5. And, as an accelerant for community-based participation in the development of new modes of achieving localized renewable fuel usage and hosting desired new facilities, substantial grant-in-aid programs are to be put in place to provide grants to self-selected green communities that elect to take a dramatic lead in hosting such new developments in their communities. Finally, as part of the overall advance of these Massachusetts goals, education programs are to be utilized as an immediate accelerant for EE/DSM. To that end, one educational institution—UMass-Boston—has been singled out to reach out via community colleges and community education centers (and also to collaborate with the DOE resources and public utilities).

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Two notable features of Massachusetts’ pursuit of sustainability of energy usage: a) Keeping the financial cost thereof within our country and b) Developing a new domestic expertise and job sourcing. As noted above, there is much interlinking within the concept of sustainability. We are now in the midst of the largest (and hence most unsustainable) financial capital transfer in history: our nation’s payment for imported oil. In contrast, that capital can be kept in this country and applied to new technologies such as new EE/DSM and new renewable fuel. Perforce, workers and entrepreneurs who will serve the new critical experts on EE/DSM and production of renewable fuels will come to the fore. Can any proposed program be more compelling? The mustering of strong leadership for the adoption of a dramatic and prescient sense of making energy usage sustainable can be much bolstered by the packaging of a strongly resonating message on the political level. Instead of outsourcing massive financial capital at the rate of a trillion dollars every two years, we will keep that vital capital in the US and use it to compensate a new cadre of workers and small businessmen (for wiring, wireless, HVAC, weather stripping and plumbing) and a new cadre of inventors (for wind, solar, hydrogen/fuel cells, mini-cogenerations and bio-fuels) who will serve an entire new industry. Focusing on the Energy Users and Education Programs Most energy-users are likely to be slow in responding. While, on one hand, most new sources for renewable energy are not yet commercially economical but are advancing impressively; on the other hand, most modes of EE/DSM are in contrast already dramatically economical. The energy users already would/should be proactively moving to retrofit their homes and multi-residential apartment buildings if they could be convinced of a few basics, and made to appreciate that EE/DSM is a “must” priority. But the average energy user has a host of pressing/mandatory priorities; and with the recent collapse of our world banking system, the typical energy-user will follow classic instincts toward “hunkering down.” It is likely, as well, that energy-users continue to ponder wistfully as to whether the (gyrating) price of energy will shrink back to the era of cheap energy as has often happened in the past. We must factor in that the energy-users will need special attention— so that they can better appreciate that their own properties and their own pocketbook can be substantially improved by the new EE/DSM paradigm.

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To that end, education must be accelerated to accelerate the understanding of the typical energy users. Education task of UMass-Boston’s energy education program. It is the principal task of the Program to Advance Sustainable Use of Energy (“Energy Education Program”) to set in motion education programs to overcome the early hurdles which can hold back typical energy-users who: x Know too little about their energy consumption systems (having been benignly reactive by reason of the great era of cheap energy); x Have had only a buyer/seller relationship with their public utilities and must be drawn into a (largely permanent) agent/principal relationship; x Must come to understand that one-time, upfront capital expenditures can pay them dividends (virtually) forever at 20 percent (or better); x Must come to understand that that such dividend will be likely to increase to 30 percent (or better) when the utility subsidy is factored in; x Must come to understand that the public utility is in a do-or-die regimen, as their regulators (as per the Green Communities Act) are demanding such an aggressive agent-of-change posture and obligation; x Must come to understand that the public utility is more than likely to appreciate that their energy-users are still stymied by their financial angst, so the utility can/should step forward further and serve, in addition, as a financial agent to secure (read: facilitate loaning transactions and administration) the overall funding for the retrofit (then to be seen as a shared burden by both the customer and the utility); and x Must come to understand that that the society is heading toward a disaster and (perforce) everyone must “make sacrifices”— ironically in this case, the sacrifice is to be handed a sweetheart deal. Again, the Green Communities Act imposes a mandate upon the Energy Education Program and calls for collaboration with the Massachusetts DOE resources and with public utilities. 20 Although a wholly new role for the energy users, key features to that new paradigm have already been field tested. In the past, energy users enjoyed cheap energy and a supply/delivery system that arranged nearly all tasks. The users could enjoy being benignly reactive. Now there is a

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sudden shift of roles from reactive to proactive. Happily, the public utilities in Massachusetts have already been active in promoting EE/DSM. Their programs have been salutary and effective. Notably, electric customers have been paying an SBC of $.0025 per kWh for a decade (as per the deregulation statute of 1998); and that charge produces a “kitty” of about $125 million per year, which the several public utilities have been using to incentivize their customers to engage in straightforward EE/DSM—a signally successful program. That experience has proved to be only a pilot program. The expenditure of $125 million (a year) on EE/DSM, while effectively cost/beneficial, does not make a sufficient dent in overall energy growth. These proven programs are posited to be expanded (and the new paradigm will call for an annual budget in the order of $500 million per year). The EE/DSM programs will need to be expanded four-fold so as truly to drive down energy demand—and that expansion is one of the prime goals of the Green Communities Act. The amounts to be expended by public utilities (pursuant to such an Act) will grow toward $500 million per year as incentives for EE/DSM (to be contributed by the respective utilities). In their turn, the energy users will need to co-expend a matching balance of the total investment on their own energy systems—from their own financial resources—to achieve the measure of EE/DSM needed over the next decade. In another major jump-shift, monies are to be spent upfront by a tandem collaboration by both self-selected energy-users and their public utilities to save much more money (for these self-selected users) in succeeding years by avoiding the purchase of more expensive new energy sources. Most energy users must step up to exploit the opportunity (designed to be attractive), while some users will simply ignore the opportunity. While, in the past, proactive users were merely a minority; going forward, the proactive energy users must become a broad majority. This majority must enter into prolonged (almost) principal/agent relationships with their respective public utilities. Billions of dollars per year (by combined contributions) would be committed and expended together as a team-up between and amongst the proactive users and their utilities—as principal and agent (co-venturers). A stunning shift in sourcing new energy for next decades. Once (and classically) the utilities had gained their supplies for their customers in the classic energy marketplace (namely, third-party generators or suppliers of gas and electricity) using their customers’ money (indirectly sourced via utility rates). Now the utilities will be securing their new supplies for their (overall) franchise customers from (some, presumably most of) these

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customers (who elect proactively to exploit the new EE/DSM paradigm). In addition, the work of retrofitting energy consumption systems will be performed by a cadre of evolving (third-party) Energy Services Companies (“ESCO”s), who will be recommended to the energy users by their public utilities because such ESCOs will have performed prior satisfactory service for other energy users (on prior EE/DSM retrofits). This is a notably new and heavier recasting of the public/private role of public utilities. Now the utilities will function as collaborating “agentsof-change” with and for their customers in a series of retrofitting joint ventures. Utilities are moving beyond their meters and onto their customers’ property! Such recasting is a transformative (and irrevocable) mandate of the Green Communities Act. Following the first such decade, the principal sourcing of new energy will evolve toward the securing of new renewable, clean fuels. Some of these renewable clean fuels are already cheaper than the cost burden of imported oil. Wind is already cheaper; and photovoltaic (already attractive with significant tax advantages) is expected to reach commercial advantage within a decade. 21 ESCO contractors. A new and emerging cadre of third-party ESCOs will perform the actual retrofitting work for EE/DSM. Such ESCOs have already been performing EE/DSM programs for energy users on the recommendation of the public utilities, and, in turn, these programs facilitate the evolution of these emerging small businesses. Plumbing, HVAC, weatherization and electrical contracting are the principal skills that are needed. Reports from the field indicate that the ranks of ESCOs need to be increased. Hence, the education programs contemplated (under Section 108 of the Act) at UMass-Boston should be expanded to accelerate such development of EE/DSM expertise. The Public is Not Being Warned Sufficiently There are a host of reasons why the public should be apprised and forewarned. As the related realms of DR and energy become increasingly complex and problematical, tipping points have been reached as to the urgency of alerting the public to these possibilities. To that end, FEMA is already engaged in a long-term program of public outreach, leading to a very broad-based public appreciation of and preparation for coordination in DR. In the case of the capability to respond to natural disasters, there is strong reason for the public to be alerted to the existence of both

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government and citizen groups that are associating themselves together so as to prepare better for disasters and to smooth the way for the flow of communications and organizational coordination when disaster strikes. In the case of the disaster-compounding components of the energy realm, the public must be informed so that they can better influence the political process. At the moment, the political process is well behind the curve as to these brewing disasters, which could and should be abated by rational government preparation and regulation, especially in the case of the federal government. Much public sensitivity must be promoted. Equally, when states such as Massachusetts and California seek to set programs in motion to abate such disaster components, it is critical that the energy-using public be educated as to their vital role and the benefit to both those users (in particular) and society (in general) to respond as planned by those states. California is in the lead as to prioritizing public education as an accelerant of EE/DSM. Massachusetts has only just set such priority and only in one (still unfunded) provision of the Green Communities Act. Conclusion There has long been an aphorism: “the only sure things in life are death and taxes.” To that aphorism we should add that disasters are sure to befall regions, principally by force of natural disasters; and, in addition, disasters are sure to befall the entire globe, principally by virtue of selfinflicted disasters. Furthermore, self-inflicted disasters are sure to compound all these disasters, whether natural or self-inflicted: energy is at the root of most self-inflicted disasters. More attention should be given to prepare for and so abate the portending impact of these disasters. A new measure of Lincoln-esque leadership is vital to cope with and manage these mounting, self-inflicted disasters. We must prioritize modes and means of using less fuel and shift to fuel that is both renewable and clean. The US must show leadership. At the moment, our best sourcing of leadership examples are on the state level, in states such as Massachusetts and California. Federal leadership is necessary to raise substantially the CAFE mpg standards which change is critical if we are to gain sustainability in energy usage. The solution scenario offered here is a win/win/win situation—if our leaders will lead.

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NOTES 1

The UN was and is a dramatic improvement over the prior League of Nations; but it typically takes a full global catastrophe to bring about a significant evolution in world governance. 2 California started down this road (ahead of Massachusetts and other states) by dint of having suffered a meltdown of its electricity system—as a proximate cause—when nefarious (Enron-esque) energy suppliers “gamed” its deregulation dynamic (at the turn of the century). 3 Notably, when we all were in secondary and high school, we learned about “simultaneous equations”; and, similarly, we must factor in that the problematic aspects of energy depletion, pricing, usage and emissions, will, in turn have, a simultaneous effect. 4 Ironically, one disaster has been averted by the advent of a worse disaster. Demand for oil has suddenly abated as the economy is collapsing. Now the price of home heating oil is not the cause of the disaster. Instead the disaster will be caused by the inability of the poor and elderly to buy fuel at traditional prices for oil. A calamity has been adroitly headed off by prior governmental-assistance programs. 5 Can communities collectively urge Congress to take up following three steps? Step one should be to raise that CAFE standard incrementally every year (starting now) on an ascending year-to-year slope to reach 35 mpg on the 2020 target. Step two, the penalties to fail to achieve such standard should change, from being mostly nominal, to become substantial (and thereby meaningful). Then, step three, the CAFE standard must increase beyond 35 mpg on a continuing ascendancy. 6 For purposes of this paper, it is important to be aware that the regulators on the federal and state levels had been eager (only in the last decade) to insinuate new aspects of competition into the electricity and gas realms; and to that end major effort was exerted (and taken up in half the states) to achieve a new form of deregulation of these once fully regulated realms. (Many call deregulation “regulation light”). But after the meltdown in California (at the turn of the century) the national wave of deregulation petered out. And, with this new seeminglyprescient regulation emanating out of Massachusetts and California, it is likely that deregulation will become a secondary regulatory consideration. 7 Massachusetts and any governmental agency that insinuates itself into ratemaking by public utilities must engage in some degree of quasi-judicial ratemaking. Actual rates cannot be set by statute (without incurring major procedural, constitutional and practical problems); so utility rates are set by regulatory agencies making use of factual base-lines (for individual utilities) determined upon a legal record in a quasi-legal process. It is not necessary for the reader of this paper to be acquainted with such regulatory arcania. It is sufficient to

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understand that a combination of i) new statutory directives and ii) follow-up regulatory processes sets this new paradigm in motion; and that such process is underway. A brief look at the Green Communities Act (almost 100 pages [Chapter 160 of the Acts of 2008]) and at a recent DPU regulatory Order on Decoupling Rates from Sales [DPU 07 – 50A July 16, 2008] demonstrates that the legal/regulatory process is in full gallop. The next major step for all utilities (grouped separately as electric and gas utilities, respectively) is to file new rate programs (as such groups) in 2009. Again, no state has ordained such an aggressive degree of regulation as has Massachusetts; but California is on a gallop of its own. Notably, Massachusetts and California are proceeding as if the public utilities are a single entity and can be treated collectively—in a new type of public/private process. 7 While it may seem counterintuitive to the reader that the new paradigm will secure new sources of power to match rising demand by securing “negawatts” and “negatherms” from their existing customers, this is not so. The amount of such energy demand continues to increase (despite such EE/DSM)—if for no other reason than because the population increases steadily. Also, as technology develops existing customers use increasing amounts of energy for these new technologies, while those same customers may be reducing their energy use for other appliances. 9 Some commercial and most industrial owners have been already pursuing sound economic and operational rationality toward EE/DSM. (This is more so in the case of industry owners and less so in the case of owners of commercial office buildings; but dramatically less so in the case of the single home and the multitenant residential realm.) 10 Chapter 160 of the Acts of 2008. 11 This use of 20 percent is thought to be conservative. 12 Most experts ponder the extent to which we can rely on the massive, yet not precisely known, reserves in Saudi Arabia. These are the world’s largest reserves by far. Saudi Arabia speaks as if it can keep supplying the increasing demand; but output had begun stalling and struggling. Data of any sort is not forthcoming. 13 Such questions can perhaps be best probed in another paper. 14 The Program for the Advancement of Sustainable Use of Energy is an ideal program to further that cause; but, at the moment, that Program is seeking a budget so as to fulfill its statutory mandate to provide outreach education in Massachusetts so as to accelerate the development of the EE/DSM mandates under the Green Communities Act. 15 And, in so doing, the manufacturers of automobiles can be brought into the solution if they believe that they will all make as much profit manufacturing the new 50 mpg cars, as they would if left alone to compete as before at 20 mpg; likewise with coal-consuming plants that lead the globe in carbon emissions. 16 While it is notable that Massachusetts and California are lead states, there are other states that have been proactively pursuing EE/DSM—see “Energy Efficiency in Regulated and Deregulated Markets,” UCLA Journal of Environmental Law and

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Policy 24(1): 259. Also, other states are also specifically advancing the concept of decoupling of utility revenue earnings away from a sales-based-only algorithm to a flatter revenue algorithm that will shift such utilities away from any incentive to increase sales (and, instead, become fully comfortable with any programs that reduce sales by way of EE/DSM). Again Massachusetts and California are ahead on that curve; and moreover, these states are notably explicit to their utilities—to mandate aggressively significant reductions of customer usage by aggressive EE/DSM. Furthermore, it should be underscored that literally hundreds of municipalities are banding together both to act together and to raise a hue-and-cry over the unsustainable usage of energy. These municipalities add valuable throw-weight to the effort to reach a national political consensus. 17 While on the one hand Detroit is generically reactive against public/private dynamics, on the other there is compelling proof that Detroit became increasingly appreciative to past government demands for major safety improvement-mandates in automobiles. Now Detroit may wish that the government had been more aggressive in setting CAFE standards. Detroit has fallen behind the market performance of Japanese cars as to mpg, and such loss of leadership has hurt Detroit more than anything in its history. 18 A pursuit of common ground appears to be both practical and possible. Detroit needs major help; but there is no constituency to provide that help unless Detroit becomes a new leader to cope with other self-inflicted disasters. 19 The DOE has been collaborating with broad sectors of industry and academia to advance EE and renewable, clean fuel. The EPA has been trying to get in the act by regulating carbon emissions; but a full snafu became bound up between the agency, the courts and the White House; and in consequence, the next administration in Washington can re-engage that process—and some progress is genuinely expected. A third agency, FERC, has been striving to bring about substantial advances in regional grids. 20 But such a program will be stillborn unless a sourcing for a budget is forthcoming. The statute calls for a team-up between UMass-Boston and community colleges and community education centers. A full syllabus must be prepared and a cadre of instructors engaged on campus, on community college campuses and in community education centers. Such efforts are to be a joint enterprise with DOE resources. 21 Oil and its importation will always be a basic commodity and transaction, but the importation of oil can (and must) be reduced so as to be sustainable.

PART V DISASTERS AND INNOVATIVE SOLUTIONS

CHAPTER TWENTY-ONE DISASTERS AS A CHANCE TO IMPLEMENT NOVEL SOLUTIONS THAT HIGHLIGHT ATTENTION TO HUMAN DIGNITY

Introduction Let me start by expressing my warmest congratulations to Adenrele Awotona for establishing the Center for Rebuilding Sustainable Communities after Disasters on July 6, 2008, at the University of Massachusetts, Boston. This paper is written for the Center’s inaugural conference. I am deeply honored to be part of this extremely timely, much-needed and worthy initiative. When we read reports about emergency aid after disasters, or any kind of humanitarian and development aid, we are often presented with the following success stories: thousands of blankets have been distributed, millions of bags of food have been provided and millions of dollars have been spent. In the face of such “successes” we wonder why the final results have so far not been more convincing. The list of criticisms is long. Let me first refer to Living on the Edge of Emergency: Paying the Price of Inaction, the most recent CARE International report by Amber Meikle and Vanessa Rubin (2008). Another provocative title is Do No Harm: How Aid Can Support Peace—Or War by Mary B. Anderson (1999). What is the problem? Is it a complex problem with no clear answers, or are there basic patterns? Are there succinct answers to that question that can capture the core of the problem? This paper discusses such succinct answers. It is therefore a rather conceptual paper. It attempts to embed the reconstruction after disaster into a larger historical context to expose core patterns (using a Weberian ideal-type approach 1 ). The discussion of details and technicalities, though as important, is left to other levels of analysis and other occasions. This paper builds on more than thirty years of the author’s international experience in many countries within Africa, Asia, Europe, America, among others and for longer periods in Egypt, Somalia, the Great Lakes in Africa, the Middle East, China, Japan, Thailand, Australia,

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New Zealand, the US, Norway, Germany, Switzerland, Belgium and France. I have treated clients in my practice as a clinical psychologist (1980–1984 in Hamburg, Germany and 1984–1991 in Cairo, Egypt) before moving on to macro levels as my main focus (social psychology, sociology and political science, etc.). I began my work on humiliation in 1996 with my doctoral research— on the influence of Nazi Germany on the genocidal killings that occurred in Rwanda in 1994 and in Somalia in 1988. In the course of this research alone, I interviewed humanitarian helpers in Somalia, Kenya, Rwanda and Burundi. In 2001, I defended my dissertation thesis entitled The Psychology of Humiliation: Somalia, Rwanda/Burundi and Hitler’s Germany (Lindner, 2000). Since then, I have expanded my studies in (among other places) Europe, South East Asia and the US. I am currently building a theory of humiliation that is transcultural and transdisciplinary, entailing elements from anthropology, history, social philosophy, social psychology, sociology and political science. 2 Throughout this international life, I have encountered first-hand the entire range of difficulties discussed by scholars and practitioners dealing with aid, from problems with emergency aid after disasters to the pitfalls of long-term development aid. Earlier, I asked whether it is possible to describe, in a succinct way, the very core of the problems with aid that we observe around the world at micro-, meso- and macro-levels in various shades and variants. One of the core problems seems to be that success cannot be gauged by measuring input. Output (or outcome) must be measured: and not just any output, but the right kind of output. From negotiation handbooks we can glean what the right kind of output may be. We learn that we need to focus on “interest” and not on “position” to attain an optimal outcome (Fisher, Ury & Patton, 1991). If two people fight over an orange, for example, sharing it equally would solve the conflict, however, not optimally. The optimal solution would be to ask more detailed questions and consider, for example, that one person wishes to use the skin of the orange for a cake while the other wants to extract the juice from the fruit meat. As a result, the outcome would be that both have 100 percent of their interest served, not just 50 percent. Not that such a positive outfall can be guaranteed— sometimes a situation simply does not entail the potential for win-win solutions—but by not searching for such potential win-win solutions, those solutions are overlooked and untapped. As we see, asking deeper questions may help. The Norwegian philosopher Arne Næss developed the notion of the “depth of intention,” the “depth of questioning” or “deepness of answers.” Næss writes “our

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depth of intention improves only slowly over years of study. There is an abyss of depth in everything fundamental” (1978: 143). 3 Greater depth means continuing to ask questions at the point at which others stop asking (Fox, 1990: 81–118, 119–145). Let us heed Næss’s call and combine the two slogans presented above: 1) “measure output and not input” with 2) “focus on interest and not position” and make a list of questions: x Why do people focus on input and position rather than on output and interest? x Whose interest is served through focusing on input and position? x Whose interest should define output? x What is the true interest of people? x What kind of output must be measured? What could a list of worst-case answers look like? If we suppose that influential elites have an interest in defining output in ways that maintain their privileges, then it should be in their interest to manipulate recipients of aid into buying into the elites’ definitions of interest and output rather than shaping their own perception of the situation. Focusing on input and position would then be a welcome strategy for these elites to achieve their goals because such focus would cover up for this manipulation: impressed by the seeming good-will entailed in large input from elites, recipients would perhaps be deterred from questioning whether this input is truly in their interest. What could a list of best-case answers look like? If we suppose that influential elites have an interest in defining output in ways that empower recipients, then it would be in their interest to facilitate a process through which recipients can conceptualize definitions of their interest that are truly suitable for them. Focusing on input and position would be avoided because such focus makes it difficult to forge appropriate definitions of interest. When we consider these two sets of answers, we notice that we face two profoundly different scenarios. The second scenario is imbued with the human rights ideal that each human being deserves to be treated as equal in rights and dignity. It represents the spirit of the Center for Rebuilding Sustainable Communities after Disasters for which this paper is written. The first scenario expresses the belief that some people (i.e. privileged elites) deserve to have more and can neglect the interest of their underlings, bringing to mind contemporary examples, such as Burma, North Korea, Sudan or Zimbabwe. From the point of view of human rights, the first set of answers

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humiliates the recipients of aid; even more, it humiliates the humanity of all players involved and that of humankind as a whole. Article 1 of the Universal Declaration of Human Rights (UDHR), which was adopted by the United Nations General Assembly on December 10, 1948, reads: All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.

In this context, “humiliation” is the enforced lowering of any person or group by a process of subjugation that damages their dignity; “to be humiliated” is to be placed in a situation that is against one’s interest (although, sadly, not always against one’s will) in a demeaning and damaging way; and “to humiliate” is to transgress the rightful expectations of every human being and of all humanity that basic human rights will be respected. As we gather from these reflections, words such as aid (from disaster management to humanitarian and development aid) are not only unclear, they even entail definitions that are irreconcilably opposed to each other: aid can empower recipients or it can disempower them (Nadler, 2002). 4 The two core definitions of aid, either empowering or disempowering, are markers of a large-scale transition of which humankind is currently part, a transition that is characterized by what anthropologists call the ingathering of humankind (this is part of what we label globalization) and the human rights movement. These transitions will be explained in more detail later in this paper. Direct violence is often differentiated from structural violence. 5 In this paper I use the word structural disaster for the destructive outcomes that are not sudden and unpreventable but are caused by long-term lack of human intervention—or by inappropriate intervention—and thus are also reversible and preventable by human intervention. The terminology of structural disaster reflects the subjective experience of disaster victims. It is difficult to separate conceptually “natural” from “human-made” disaster. However, my field work shows that victims perceive a clear experiential difference with respect to avoidable and not avoidable human intervention. This is because one of the most relevant dimensions for triggering anger is the so-called controllability dimension. We react with anger rather than sympathy when we believe that a person who hurts us has sufficient control over the situation to avoid harming us. Of course, the situation is even more severe when we infer that the other in fact wants to hurt us. Indeed, research shows that we want to harm others, either overtly or covertly, when we

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believe they could have avoided hurting us. It is one thing to be pushed accidentally by a drunk man, another to be harmed deliberately by an apparently clearheaded man. As Keith G. Allred explains, it is crucial how we attribute—in the case of the pushing man, whether we attribute his behavior to drunkenness or to fully conscious malevolence (2000). In short, the notion of avoidability is a crucial differentiator. A disaster caused by a meteorite or volcanic eruption cannot be avoided by human interference, at least not for the time being; human error is not always avoidable either. Disaster caused by human error (unintended, and not caused by undue neglect), although “human-made,” could be categorized as “natural” disaster. Even human malice is not always avoidable—there will always be a few people in every society who, for whatever reason, find satisfaction in causing disaster. However, what is avoidable is systemic neglect of due preparation. Such neglect represents structural disaster. Mark Sloan, Director of the Harris County Citizen Corps, most convincingly illustrated the overwhelmingly positive effect of appropriate preparedness in his keynote address in this conference. Unlike other regions, Harris County is able to withstand natural disasters that come their way with impressive efficiency; more than that, Harris County was also able to help those who fled New Orleans after Hurricane Katrina in an impressively comprehensive way. Sloan’s advice is Plan, Prepare, Practice and Repeat! In other words, his advice is to avoid structural disaster. This paper deals with three distinctions of kinds of disasters. First, the world experiences natural disasters such as meteorite impacts: disasters that can by no means be prevented by human intervention. Such disasters can be short-term and direct or have long-term structural effects. Second, there are structural disasters that are part and parcel of traditional cultures of collectivist ranking. Third, there are structural disasters that stem from misguided contemporary reactions against past collectivist ranking just as there are, for example, cultures of ruthless individualism. The latter two disasters are both part of the scenario already described of recipients of aid suffering humiliation. These disasters typically compound natural disasters; their destructive effects may even surpass the destruction caused by natural forces. Since the latter are reversible and preventable by human intervention, they are the focus of this paper (rather than the unavoidable elements in disaster). The solution, the realization of the scenario that protects recipients from humiliation, is proposed in the concluding remarks. It involves largescale systemic change towards what I call egalization.

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The Traditional Structural Disaster Anthropologists such as William Ury (1999) teach us that most of human history passed relatively peacefully, with small bands of huntergatherers cooperating in noticeably egalitarian societal structures, amidst abundant resources. 6 Roughly ten thousand years ago, homo sapiens had populated almost the entire globe—at least its more easily accessible regions—and uninhabited land became scarce. No longer could people just wander off to the next virgin valley; it was likely to be populated already (the anthropological term is circumscription). Increasingly, people had to stay in place, become more sedentary and make do with the resources immediately available, primarily through a process of agriculture (intensification is the anthropological term). Agriculture introduced a profoundly new way of life: much more malign than previously, because land belongs either to oneself or to another. This win-lose logic, in turn, fuels war. International relations theory uses concepts like the security dilemma to describe how arms races and war were all but inevitable in this atmosphere of fear of attack from outside one’s community—see, among others, the work done by Barry Posen (1993) and Russell Hardin (1995). Under conditions of the security dilemma, fear reigns. Hobbesian fear of a surprise attack from outside one’s borders is all-pervasive. Continuous preparations for war drain societal resources. Everybody has to be continually on the alert and willing to be led by their leaders and governmental institutions. Stereotyped fear of out-groups (for example, of other nations) permeates in-groups. For millennia, this fear became manifest in societal, social and cultural institutions, from manifest expressions such as “Ministries of War” or “Defense” to less tangible identity constructs such as masculinity or honor norms. In response to these novel circumstances, hierarchical societies evolved with masters at the top and lesser beings at the bottom. Human worthiness became ranked, with different degrees of honor attached to each stratum. It seems evident that most individuals feel intense pain when something they value is debased, especially when it defines their innermost being, for example their honor or dignity. However, during the past millennia, this was not the case for subaltern underlings. Humiliation was a privilege for “honorable” elites. Usually honor is a male concept in a collectivist setting: particularly, elite males possess honor and are actors while most women, children and, to a certain degree, lowly men represent the substratum to be acted upon by their superiors. Vendetta, blood feud

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and duel apply only to elite males: women and lowly men are not “honorable” actors and are not worth killing. Women, for example, can move freely when blood feuds are rife precisely because they do not merit such “honorable” treatment. In my book Emotion and Conflict (Lindner, 2009) I attempt to show how the concept of ranked honor can be taken to represent the single biggest “master manipulation” ever perpetrated by humankind (and how it is still virulent). Ranked honor could be regarded as the core structural disaster that humans have ever perpetrated on themselves, not intentionally, but unwittingly, as a “side-effect” of an otherwise functional adaptation to new circumstances. Ranked honor entails the hideous suggestion that it is unavoidable, either divinely ordained or nature’s order, that dignity is not equal, but that “higher” beings are meant to preside over “lower” beings, who are expected to subject themselves to their masters’ belief systems and decisions. In this way ranked honor underlies and facilitates all other manipulations—it gives the power to define “what is” and “what ought to be” to a small master elite. The old custom of foot binding is perhaps the most evocative example of the impact of ranked honor, showing how the pain of subjugation could become institutionalized into “what is appropriate” both for elites and subalterns. The tradition of painfully twisted deformed feet began late in the Tang Dynasty (618–906) and flourished until it was finally outlawed in the 1911 Revolution of Sun Yat-Sen. It began as a luxury among the rich but soon spread throughout society. For an entire millennium, millions of young Chinese women paid with a painful life to serve the honor of their husbands. The women were reduced to the status of dependent and helpless toys through this practice, while their husbands gained honorable status by imitating their elite. Howard Levy describes the torturous details of feet bones being repeatedly broken, their growth stunted, to fit into the desired “lotus” shape (1992). It became a prerequisite for marriage and was especially hard on the poor, who could not afford servants. The basic philosophy that produced Chinese foot binding reigned wherever hierarchical societies prevailed throughout the past ten thousand years. Underlings in coercive hierarchies were routinely forced into artificial incapacitation. Mutilation and handicap, physically and psychologically, were seen as normal for underlings. Health, well-being and quality of life, as understood in human-rights based contexts, were beside the point. Foot binding is now outlawed. The practice of so-called honor killing is slowly following suit, as is the practice of female genital cutting, indicating increasing resistance towards the traditional concept of ranked

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honor. The Indian caste system has only recently been renamed “Indian Apartheid.” 7 However, the world is still permeated with “honorable” foot-binding practices. Among those practices is the focus on position and input discussed above. A recent, very stark example, namely, the way the ruling elite tackled the 2008 cyclone Nargis in Burma, can illustrate this approach. The position of the ruling elite was that the victims’ interest was adequately addressed by the kind of input the elite defined and provided. The interest of the victims, as defined by themselves, was not considered. Access to their voices was curtailed by arguments of national sovereignty. From the ruling elite’s standpoint the victims enjoyed the elite’s benevolent patronage; however, from a human rights standpoint, the victims’ core humanity was disrespected. The Counter-Reactive Structural Disaster In recent times—beginning just a few hundred years ago—humankind has faced a second deep transition, as profound as the one that occurred ten millennia ago. Technological innovations allow humans to relate to their home—the planet Earth—and to their fellow humans in new ways. Increasingly, knowledge and not land is the essential resource for sustainable livelihoods. Ury suggests that humankind is on the verge of creating a global knowledge society, 8 thus returning to the more benign win-win frame of the hunter-gatherers (since knowledge, unlike land, is an expandable resource). Human beings may thereby regain the potential for relatively peaceful and egalitarian societal structures. Some of the predicted changes may already be seen in the growing acceptance of human rights ideals which have brought a profound shift in hierarchical orders around the world. In the course of this process, the notion of humiliation has changed its point of attachment. The change is marked by the emergence of the modern meaning of the word “humiliation,” in 1757. William I. Miller informs us that the earliest recorded use of to humiliate, meaning to mortify or to lower or to depress the dignity or self-respect of someone, does not occur until 1757 [italics in original]. (1993: 175)

The human rights revolution could be described as an attempt to collapse the master-slave dynamic of the past ten thousand years to a midpoint of equal dignity and humility (see Figure 21.1).

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The Historic Transition to Equal Dignity Masters in the traditional honor order (arrogation)

Top of the scale

New human rights order of humility

Line of pristine pride and equal dignity

Underlings in the old honor order (humiliation)

Bottom of the scale

Figure 21.1. The Historic Transition to Equal Dignity

With the advent of human rights ideals, the notion of humiliation changes. Human rights “democratize” humiliation. Human rights endow every single human being with an inner core of equal dignity that ought not to be debased. The notion of humiliation changes its attachment point. It moves from the top to the bottom of the pyramid of power, from the privileged to the disadvantaged. Feelings of humiliation among the downtrodden are no less than the very “fuel” of the human rights revolution. In a human rights framework the downtrodden secure the right to feel humiliated. The human rights revolution turns the formerly legitimate humbling of underlings into illegitimate humiliation. The beaten wife and the girl who demand the right to make their own life decisions are informed by human rights defenders that “domestic chastisement” as it was enshrined in law (until 1868, for example, in Norway) is no longer legitimate, but has turned into illegitimate “domestic violence.” The beaten wife and the subjugated girl are encouraged to invoke humiliation. The masters, the elites, the husband, the father, on the other hand, are called upon to humble themselves. They are no longer given permission to resist this call by claiming superiority and designating their underlings’ protests as humiliation. Humiliation is at the core of the current human rights revolution and the related transition from ranked honor to equal dignity. Today, in the aftermath of the 1757 shift in meaning of the verb “to humiliate,” the practice of humiliating people can no longer serve pro-social purposes. The overall normative frame no longer allows for that. Only shaming and humbling can still be applied in such ways; and indeed, human rights activists around the world busily confront companies and countries in the attempt to shame them into keeping their promises as protectors of the

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environment and human rights. While humbling and shaming still work pro-socially, humiliation no longer does. We do not wish to have shameless people as neighbors; indeed, we wish to be surrounded by humble people who respect the law, yet we do not endorse societies filled with humiliated underlings. Applying humiliation has turned obscene. The worldwide reaction to practices of humiliation at the Abu Ghraib prison in Iraq represents a case in point. Bringing down dictators and their followers, if done with humiliation, does not lead to the intended peace. On the contrary, Mandela did not humiliate the white elite in South Africa: he humbled them. (In my work I treat Mandela in the spirit of a Weberian ideal-type approach and focus on his constructive strategies, which are not diminished by criticisms that people may direct at his movement or at him as a person.) This new illegitimacy of the practice of humiliation as part of the human rights revolution, which renders the ranking of human worthiness illicit, marks a profoundly significant shift. Clearly, however, humankind is far from having arrived in a world where everybody enjoys equal dignity. The human rights revolution has not yet been “won.” Traditional honor norms—what I call the traditional structural disaster—are still alive and thriving. Ranked honor is still subscribed to by many in world society, not least in certain segments of Western societies—see, for example, Bertram Wyatt-Brown (1982) and his study of the history of American Southern Honor. Many elites still feel entitled to superiority and do not enter into the cooperation that is necessary to make the world a more even playing field. They still invoke humiliation when asked to humble themselves. Humanitarian aid workers who wish to promote human rights are caught in this conundrum. Julia A. Demichelis illustrated these cases most impressively in her presentation Lessons to Learn: Roles of Government, Private Sector and NGOs in Disaster Reconstruction in Fragile States and Impoverished Communities (as part of this Conference’s Panel “Disasters and Innovative Solutions”). Humanitarian helpers are obliged to help victims; they cannot, however, condone solutions that violate human rights. How are human rights defenders to react if asked to support victims who proceed to become new oppressive masters? How are they to respond to allegations that they humiliate victims by not helping them with violent uprisings? Enraged people, invoking victimhood and feeling entitled to violate human rights as a remedy, may emerge as powerful humiliators of human rights defenders. The situation is further complicated when people resort to the traditional strategies of defending honor in one context—as honorable elites—while decrying the debasement of dignity in another context—as

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the victims of dignity humiliation. For example, a man might demand from the elites of the world that they fulfill the human-rights promise and treat him as an equal, while overlooking the fact that he is not treating his own wife and daughters as equals. In other words, we live in a confused world where traditional honor norms linger on, even though they stand in stark contradiction to future-oriented equal dignity norms. While the two moral universes are diametrically opposed—one condones ranked worthiness, the other equal worthiness for all—they are sometimes intertwined without people being aware that they are incompatible. In all cases fertile soil is provided for violent conflict and this complicates not least the work of helpers in disasters. When I worked as a counselor in Egypt (1984–1991) it was me who created conflict, for example, when I claimed that wife-beating is a violation of human rights, an illegitimate act of domestic violence, rather than legitimate domestic chastisement. Eighty-six percent of Egyptian women surveyed in 1995 thought that husbands were justified in hitting their wives on certain occasions—see Fatma El-Zanaty et al. (1996). From the couple’s perspective, there was no destructive conflict, no suffering victim and no violent perpetrator. It was me, the counselor, the human rights defender, an uninvited third party, who introduced conflict. I was called upon to accept the notion of domestic chastisement as cultural practice worthy of equal respect, even though it entails inequality at its core. Humanitarian aid workers often face similar problems: undermining traditional rankings requires tact and care for aid to be truly helpful. What is often even more disturbing, particularly for dedicated humanitarian workers at grass-root levels, is when their own superiors order or push them to violate the dignity of the very people they are supposed to help. This can occur because ranked honor is still strong in two realms: in certain world regions (for example, those regions where women believe that being beaten is justified) and at certain macro-levels, namely at the level of powerful international elites dealing with each other. Honor often plays a stronger role in foreign policy matters, in armed services and diplomatic staffs, than among the lower echelons of the average citizen. Thus, a passion to retain a state’s “honorable” preeminence, as reported by Donald Kagan (1998), applies in today’s world no less than it did earlier, even when “national honor” is partly concealed by human rights rhetoric and no longer invoked as openly as in the past. Higher echelons in humanitarian organizations, since they are embedded into national settings, are often caught: they are asked to protect national interest, even when it violates the dignity of the people on the ground they are meant to help.

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Yet, it is not only honor codes that may need to be overcome in exchange for more humanizing practices. In some Western cultures ideals of extreme and ruthless individualism (which ironically have been forced upon fellow citizens with astonishingly collectivist fervor) have yet to mature into ideals of true equal dignity for all. The myth of autonomy in Western culture misconceives the environment in which humans live as a social and societal vacuum and stigmatizes and punishes those labeled “dependent.” Linda Hartling of the Jean Baker Miller Training Institute in Boston identifies this practice as one of the root sources of destructive humiliation in such social contexts (personal communication, September 9, 2005). Ruthless individualism—in contrast to what could be called connected individuation—could be described as simply another way of preserving the old order of ranking human worthiness, only now with everybody trying to be a master in an everybody-against-everybody cutthroat competition. Ruthless individualism is underpinned by might-is-right and just-world thinking that blames the victim. People who hold just-world beliefs are indifferent to social injustice simply because they do not see injustice (see Lerner, 1980, 2003). In other words, this toxic mix of beliefs makes people blind. It makes the more privileged, those who have achieved might by whatever means, blind in various ways; blind to the fact that they free-ride on the nurturing that society needs to be a functioning society, a nurturing that they also received when they grew up; blind to the common good that needs protection for any individual self-interest to thrive; blind to the injustices that they committed to achieve might and blind to the sufferings of the less privileged. “Everybody deserves what he gets” is a circular post hoc justification that opens the door to an ethical vacuum—when Hitler survived the July 20th plot of 1944 to kill him, for example, he thought that the Vorsehung (providence, fate) had saved his life because his historical mission was too important to cut short. 9 In Hitler’s opinion Germany, Europe and the Jews “got what they deserved.” The economic meltdown unfolding as I write these sentences shows to what extent contemporary neo-liberal approaches to the world economy and world politics fed on this culture. I therefore label a culture of ruthless individualism as a counter-reactive structural disaster. It perpetrates what it wishes to undo—the disempowering domination of many by a few— only in new ways and with new justifications. 10 Earlier, the work of Mary B. Anderson (1999) was mentioned. Other provocative titles are The Lords of Poverty: The Power, Prestige and Corruption of the International Aid Business by Graham Hancock (1989), or The White Man’s Burden: Why the West’s Efforts to Aid the Rest Have

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Done So Much Ill and So Little Good by William Russell Easterly (2006). John Stiglitz, former chief economist of the World Bank, drew the world’s attention to the problems of development aid (1998, 2003): initially, it was thought that developing countries required nothing but financial infusions to attain large-scale development; however, this strategy has largely failed. Subsequently, more assistance was added, from technical assistance to training in how to shape projects; “capacity building” and “good governance” emerged as buzzwords in this chain of lessons learned. Many warn, however, that not only Structural Adjustment Programs (SAPs), but even present Poverty Reduction Strategy Papers (PRSPs) may worsen the situation rather than improve it. 11 It seems that the interest served is always the interest of local elites, rather than the interest of the common good of all citizens, including all world citizens. The recent failing of the so-called Doha Development Round served as a reminder of the lack of political will at national levels to truly change the world at the global level—a lack that hopefully will be overcome, not least due to the shock of the global economic crisis that broke in 2008.12 A very good overview of the course of the World Bank over the years of its existence is given in the last chapter “Social Democracy on a World Scale: The World Bank and the Logic of Love” in Howard Richards and Joanna Swanger (2006). Human rights defenders, including helpers in reconstruction after disasters, have their motivation worn down in several ways by the contradictions between the structural disasters of traditional honor values and/or contemporary neo-liberal considerations on one side, and strategies informed by human rights on the other side. Helpers are caught not just vis-à-vis the recipients of help but also vis-à-vis their own organizations. The two structural disasters often inform what is called Realpolitik of national interest, making Realpolitik incompatible with human rights ideals. As already mentioned, the higher-up in ruling structures—and humanitarian aid organizations are not exempt—the more Realpolitik reigns, pushing aside human rights values. This tendency introduces a stifling inherent contradiction into the very core of organizations that officially are set up to work for human rights. Higher echelons in organizations even though they espouse human rights, frequently undermine the human rights advocacy of their own workers in lower echelons, thus leaving them discredited and unprotected. This causes great pain among the humanitarian workers, pain that is usually overlooked. When I carried out my field work in Africa, every humanitarian worker I met, particularly “old hands,” had read The Road to Hell: The Ravaging Effects of Foreign Aid and International Charity by Michael Maren

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(1997)—this book describes the slow destruction of a humanitarian worker’s ideals and life. Nowadays, we live with a new paradigm—the vision and emerging reality of a “global village.” The global village is currently acquiring a life of its own, beyond McLuhan’s initial connotations. 13 Citizens increasingly relate to each other across borders and states are losing their status as more-or-less isolated entities that constrain and define their citizens’ global relationships. A global “supranational we-feeling” is in the making and the “struggle for recognition” by individuals alongside that of states is emerging as a force at the system level (Wendt, 2003: 519). Traditional cultures of collectivist-ranked honor, as well as contemporary cultures of individualistic might-is-right, do not serve humankind’s sustainable well-being. In an interdependent world, strategies that are devised in the spirit of “honorable” duels risk destroying the world as devastatingly as approaches that rely on unrestrained might-is-right competition. Cooperation outperforms competition—eminent social psychologist Morton Deutsch dedicated his life’s work to show this point. 14 Not only does cooperation outperform competition, today’s interdependence also represents the ultimate deterrent for traditional power-over strategies. Nobody can win durable “victories” over others in an interdependent world: everybody is vulnerable. This is a historically unprecedented situation that humankind is unprepared for and it many have not yet grasped this novelty. No history lesson can help. For the first time in human history, self-interest converges with global common interest—nobody can survive alone on the globe, let alone in opposition to others. It becomes in the interest of everybody to join hands in cooperation among equals. The creativity that can flow from the diversity of human cultures and human talent serves humankind in constructive ways only when it is embedded into dialogues that respect equal dignity for all—things should not be done to people but with people. Creativity is sorely needed if humankind is to address its global challenges intelligently. Human rights thus represent a normative framework that is optimal for an emerging globally interdependent knowledge society—the human rights ideal of equal dignity for all entails a promise that is higher than the promise of the traditional honor order, or ruthless individualism, both for society and for the individual. Human rights are not just a Western idea. Ubuntu represents a traditional African philosophy for living together and solving conflict in an atmosphere of shared humility (Battle, 1997). Desmond Tutu, in his work with the Truth and Reconciliation Commission (1999) drew on

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Ubuntu. Nelson Mandela’s approach could also be placed within the same frame. Linda Hartling confirms that Ubuntu is a way to togetherness and community in the atmosphere of shared humility: While collectivism can promote social interest at the expense of personal well-being, individualism promotes self-interest at the expense of social interest. Both of these tendencies are not sustainable… A third way may be the concept-philosophy-practice of ubuntu. 15

Living well is a suitable heading for a useful contemporary definition of what the outcome of human endeavor should be, including reconstruction after disaster: on June 5, 2008, more than one thousand representatives from indigenous communities across the Americas gathered in Lima, Peru, and agreed on a new social system that focuses on reciprocity between people and the Earth: they called it “Living Well.” 16 Not surprisingly, this new social system draws on indigenous wisdom— underpinning Ury’s argument that humankind has the chance to reconnect to its more benign past prior to ten thousand years ago. Concluding Remarks Disasters can offer a chance. When old solutions fail, space opens for new solutions. Solutions that were “unthinkable” before, solutions for which there was no political will earlier, become “thinkable.” Disasters can open space for the implementation of novel solutions that highlight attention to human dignity. For example, victims of disasters can be encouraged to become co-creators of interventions, rather than merely recipients of help, thus counteracting the risk of help having humiliating effects. Since disasters disrupt established life, they entail the potential to open even more space for empowerment than was present prior to the event. The current global economic meltdown, for example, exposing one of the largest structural disasters so far—apart from the climate crisis—also entails the chance for the emergence of a new world order. Completely new global institutions need to be crafted—it will not be sufficient to reform only the Bretton-Woods system of monetary management, or the G8 club, or the UN. And this new global institutional order will affect all levels of society, micro-, meso- and macro-levels. 17 Not only economic crises but ecological crises must also be monitored and their damaging impact preventively mitigated or completely avoided. Institutions, rules, practices need to be put in place. Planners of nuclear

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power plants cannot afford to neglect foreseeing disaster, including disaster caused by human error or human malice. They have to put in place institutional structures, rules and practices that continuously monitor the situation and prevent problems from arising. A nuclear power plant meltdown is too destructive to leave it to post-disaster management. Neglecting such preparation represents the severest of structural disaster, because it means nothing but unmanageable disaster-in-waiting. Likewise, the international community cannot afford to hope that post hoc disaster management will suffice for the global challenges the world faces—global warming (which intensifies hurricanes, typhoons, and tsunamis), systemically created poverty, unsustainable over-consumption, intractable conflicts—all in the face of impotent global institutions, are the global disasters of current times. Suitable institutions, rules, and practices must be put in place, proactively, not only locally but globally. Typically, however, too often local intervention which does not disturb established power structures is favored. Global intervention is what is needed: intervention that reconstructs the way the global community organizes its life. The session for which this paper was prepared is entitled “Disasters and Innovative Solutions.” “Focus on interest and output and define both globally, not just locally”—this is the main recommendation flowing from the reflections laid out in this paper. Even the best local solution is undermined in the face of adverse structures at higher institutional levels of organization. The weakest institutional structures, currently, are to be found at the global level. The global house has no sturdy roof, so to speak. Building more appropriate global institutions is the urgent task at hand. Since states are reluctant to lose sovereignty, this process meets strong resistance whenever institution building needs to get serious. The discourse on how best to build good world governance and institutions— always in danger of dying down—is in need of revival. Yet, people do step up to the challenge: Joseph Preston Baratta (2004), for example, has recently taken up this crucial discussion; Winston Langley, Provost of the University of Massachusetts, host of this conference, stands for a new party, a party of global citizenship. The recommendation of this paper resonates with those given by other conference participants by, among others, Terry Keane (Director of the National Center for Post-Traumatic Stress Disorder, Department of Veterans Affairs, Boston, and vice-chair of the Department of Psychiatry, Boston University School of Medicine). He presented his model of an “Inverted Pyramid” and referred to studies that show that the bulk of resources need to be invested into the highest societal level. Resources

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invested in interventions at the communal, family and individual levels are less effective. Lack of appropriate public policy at the societal level may even undermine otherwise well-intentioned and successful interventions at the communal, family and individual levels. Keane’s “Inverted Pyramid” can be expanded from national affairs to global affairs. The lack of appropriate and well-resourced public policy at the global level undermines otherwise well-intentioned and successful interventions at national, societal, communal, family and individual levels. My main recommendation is therefore to define the societal level in Keane’s model as global societal level or to add a global societal level above the national societal level. I recommend that the participants in this conference approach public policy makers around the world and advocate Keane’s “Inverted Pyramid” globally: we need to invest the majority of resources into building global institutions that represent all global citizens. The conference has underpinned this recommendation in a variety of ways. Since researchers need a salary and sponsorship by global institutions is either absent or weak, the projects presented in the conference were largely framed by communal or, at maximum, national interest. Presenters began their presentations by saying, for example, that a Federal Government Agency had approached them to do research on disaster-related issues or that the military had an interest in protecting their soldiers and thus funded PTSD research on veterans. Even if the UN or international humanitarian organizations are the sponsors of research— since the UN is an association of nations—national interest is likely ultimately to curtail wider ambitions. In other words, at the current point in history, we observe a dire lack of institutions at the global level that represent the interest of the entire human family. My recommendation would therefore be that the experts who came together in this conference take their results and expertise to the global level, even if there is nobody offering funding as yet. Betty Blythe, in “Teaching Social Justice in International Service-Learning Classes,” for example, spoke about the need to create a culture of safety. This call could be extended to a global culture. She told the story of the Indonesian village in which everybody survived the 2004 tsunami because a culture of safety had been learned from earlier events—a culture that indicated that one had to flee to higher ground when the water receded—see Amanda Ripley (2008). Kai Erikson (William R. Kenan, Jr. Professor Emeritus of Sociology and American Studies from Yale University) emphasized in his keynote address how social forces drive communities. This insight is equally

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salient for the global community that is currently emerging. This emergence, in itself, is a social force. Russell K. Schutt, in his talk “A Sociological Perspective on Disasters” (see Chapter One of this volume), spoke of neighborhood effects. Those effects could also be envisaged to extend to the entire planet’s populations both for the prevention of disaster and intervention after disaster. Let me be the voice of the global community, even if I cannot offer funding: let us think through how we must shape global institutions so that they provide maximum safety from natural and structural disaster at local levels. I have coined the word egalization to match the word globalization and at the same time differentiate it from words such as equality or sameness, because the main point is not equality or sameness. The point is equal dignity. Even though there is a connection between equality and equal dignity the connection is “hidden” in the human rights stipulation that equal chances and enabling environments for all are necessary to protect human dignity. The term egalization is meant to avoid claiming that there should be no differences between people. On the contrary, egalization is the only way truly to reap the fruits of diversity. Egalization is the path toward realizing Unity in Diversity, or, more precisely, more unity and at the same time more diversity, thus avoiding the bygone fallacies of either uniformity or division. Egality can coexist with a functional hierarchy that regards all participants as possessing equal dignity; egality cannot co-exist, though, with a hierarchy that defines some people as lesser beings and others as more valuable. 18 Egalization is a process that elicits intense humiliation when its promises fail. The lack of egalization is thus the very element that intensifies feelings among so-called “globalization-critics.” Their disquiet stems from lack of egalization and not from an overdose of globalization. What they call for is that globalization ought to marry egalization—what they call for is globalization without humiliation. I have founded Human Dignity and Humiliation Studies (HumanDHS), a global transdisciplinary fellowship of academics and practitioners who wish to promote dignity and transcend humiliation. The idea for this network emerged in 2001, and it has since grown to about 1000 personally invited members from all over the world, with the Web site being read by about 40000 people from 183 countries per year. HumanDHS researchers and practitioners attempt to create public awareness of the destructive effects of humiliation and to promote

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alternative approaches that generate and embody human dignity and respect. The sustainability of social cohesion and ecological survival for humankind requires a focus on human dignity implemented with a mindset of cooperation and humility, rather than disrespect and humiliation. The central human rights message is expressed in Article 1 of the of the Human Rights Declaration, which states that every human being is born with equal dignity (and ought not be humiliated). This ideal requires concerted action to be implemented, not just in the field of legal regulations, but in every sphere of human life, from architecture and the way we create our built environments, to disaster management. Many shortcomings of interventions after disasters are related to a lack of attention to human rights, not just their legal aspects, but the spirit of human rights, namely equality in dignity for all. Human interventions in society in general, as well as approaches to disaster intervention, often stem from historical times when sensitivity to the notion of equality in dignity was still weak. After disasters, communities are prone to suffer violations of dignity in numerous ways. Disasters unmask in stark ways the shortcomings of human interventions in general, be it with regard to management philosophies (in case of disasters, for example, how aid is being delivered), or how housing is designed (in the case of disasters, for example, how emergency shelters are being built), or how short-term and long-term planning is interwoven (in the case of disasters, whether humanitarian emergency aid is being integrated with longer-term development goals). Let me give a brief example. In 1999, I participated in several fieldtrips in Rwanda with the United Nations Development Program (UNDP) and with international and national NGOs. 19 These trips became a series of informal focus groups in which I discussed the topic of humiliation. I monitored not only other people’s feelings of humiliation, but mine as well. I shared my shock and humiliation at the way shelter programs were designed and built. To me, many design aspects of these “villages” represented the flagrant humiliation of humanity through an uninformed admiration for outdated concepts of “the state of the art.” The design of these artificial villages—corrugated iron sheets on huts set in a military layout—reminded me of the same antihuman philosophy that inspired the Plattenbauten (ugly tower blocks) architecture in the socialist East, which today are regarded as shameful by almost everyone, West and East. Obsessive rectangularity and military uniformity is only one example of inappropriate help; it can, however, illustrate deeper problems. When

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shelters are built or aid is offered, rectangularity and uniformity are often justified with arguments of “expertise,” “efficiency” or “practicability” or with the argument that recipients of help should be happy with what they get. However, these are obsolete arguments, smacking of the structural disasters explained above. How can a helpless person, struggling to heal and build a new life, be expected to improve if his or her basic individuality is removed and humiliated into helpless uniformity? The loss of diversity is not a small loss. Human beings are living creatures, meaning that they are living beings who thrive on diverse environments. Individual human identity and health depend not least on diversity markers. Uniformity ignores this human need, relegating human beings to the humiliating status of machines. International organizations, accustomed to responding to emergencies and developmental needs, must develop concepts of efficiency and practicability that nurture inclusive and dignifying diversity. Today the term mainstreaming permeates many discourses: the spirit of human rights, the emphasis on human dignity, also need to be mainstreamed in disaster management. Current buzzwords such as empowering and enabling have a place here. Merely empowering is, however, not enough—empowering oppressors and willing subalterns to insist on their focus on position and input would merely perpetuate structural disasters. Everybody, victims and donors, must be enabled to define their needs and interventions by gauging the right kind of outcome, rather than by measuring an input that is defined by positions as suboptimal place-holders for true interest. Participatory action research is one way out of this dilemma, 20 as is the concept of ethno-mimesis (the inter-connection of sensitive ethnographic work and visual re-presentations 21 ), a methodological tool as well as a process for exploring lived experience, displacement, exile, belonging and humiliation. Wherever I went in Africa (1998 and 1999) the War-torn Societies Project in Somalia 22 received praise for being different from many projects sponsored by aid agencies. The War-torn Societies Project concentrated on action research and attempted to work with the communities concerned to develop an agenda for development, enabling and empowering people and transforming them from recipients into coactors. Dialogical empowerment heals humiliation—intellectual and psychological—between the incoming helpers’ perceptions or ideologies of what people need as aid and the support that local people truly need. Such tailor-made approaches seem to be successful primarily because they

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ask deeper questions, arrive at appropriate outcomes, and are thus nonhumiliating. Adenrele Awotona has modeled such approaches in his work: the books he edited on bottom-up approaches in reconstruction after disaster in 1997, 1999 and 2007. His work has been well-recognized—for example in the IBC reference book 2000 Outstanding Intellectuals of the 21st Century. At the outset of this paper, I asked whether there are short succinct answers that can capture the core of the contemporary problems with aid. A short answer could go as follows: we need to measure output, not input; in order to do so we must focus on the interests of all, not the position of a few. Output must be measured according to the well-being of all citizens of this world, including their biosphere. This outcome can only be achieved with both ecological and social sustainable solutions. The old approach is to focus on local solutions, rather than global ones, not least because global approaches tend to undermine established national power structures. However, the interest of a few to protect their position of privilege is ultimately not even in their own interest: humankind has to leave behind the privileged positions of a few and privilege the interest of all. There is no alternative to daring to think bigger. A “big” approach will diminish the need for aid, because structural disasters will be prevented by affording enabling sustainable living conditions to everybody within a global system of democratic governance. Natural disasters that cannot be prevented will be responded to with the interest of the recipients and the common good of all humankind at heart, rather than the position of donors. To me, the current lack of “big” solutions humiliates not only the victims of disabling living conditions around the world, it also humiliates my very humanity. I do not wish to live in a world where a few who indulge in immense privileges coexist with masses who linger under abject circumstances and are exposed to what I in this paper call structural disasters. I therefore propose a Moratorium on Humiliation, similar to the Moratorium on Trade in Small Arms (see the Human Dignity and Humiliation Studies Web site for more ideas). To be applied, such a moratorium needs to permeate every detail of public policy planning at global and local levels, including strategies for emergency and development aid after disasters. To end this paper let us turn to Avishai Margalit (1996), who calls it a decent society when systemic change has succeeded in providing all citizens with institutions that do not humiliate them. What we need today is to embark on global systemic change towards a decent global village

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with institutions that create a dignified world. For a decent global society, we need better psychological, social and cultural mindsets, and we must foster systemic change that provides us with global decency. The task has three core aspects, and requires two core loops (using the ideal-type approach explained earlier): we must create a) new awareness in every single human being of our global responsibility, b) new personal skills of cooperation, and c) new global institutional frames that enable global and local cooperation. Institutions (c) have preeminence because decent institutions can drive feedback loops that foster (a) and (b) in a systemic rather than haphazard way. The first loop, the initial realization of new institutions, depends on a few Mandelalike individuals like Adenrele Awotona, who “nudge” the world’s systems into a more constructive frame (remember also Nobel Peace Laureate Jody Williams’ campaign to ban personal landmines). The second and subsequent loops will have the advantage of enjoying the support from the system, no longer only depending on a few gifted individuals. In “The Need for a New World” (Lindner, 2008a), I advocate as a suitable philosophical foundation for such a “new world” the non-dualistic principle of Unity in Diversity. 23 As to institutions and the cultural and social practices we teach our children, I recommend giving priority to communal sharing. 24 I put forward subsidiarity as a suitable guideline for combining communal sharing with elements of the market economy into new layers of local and global institutions. The EU uses the subsidiarity principle. 25 It was emphasized by Bob Bachelder in his conference talk “Three Answers to Urban Poverty: Consistent Leadership, Organizational Partnerships and Faith Community Involvement” (see Chapter Four of this volume). As the reader understands at the end of this paper, this is a “Mandelapaper” about dignity and how realizing its promise can help improve the human condition at all levels—from micro- to meso- to macro-levels. It speaks to today’s need for the spirit of Mandela to permeate our lives and our world so that we find the way and the courage to empower and guide our experts to implement the appropriate solutions. Adenrele Awotona heeds Margaret Mead’s saying “Never doubt that a small group of thoughtful, committed citizens can change the world. Indeed, it is the only thing that ever has.” Let us follow him.

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NOTES 1

Please read about ideal types in Coser (1977): Weber’s three kinds of ideal types are distinguished by their levels of abstraction. First are the ideal types rooted in historical particularities, such as the “western city,” “the Protestant Ethic” or “modern capitalism” which refer to phenomena that appear only in specific historical periods and in particular cultural areas. A second kind involves abstract elements of social reality—such concepts as “bureaucracy” or “feudalism”—that may be found in a variety of historical and cultural contexts. Finally, there is a third kind of ideal type, which Raymond Aron calls “rationalizing reconstructions of a particular kind of behavior.” According to Weber, all propositions in economic theory, for example, fall into this category. They all refer to the ways in which men would behave were they actuated by purely economic motives, were they purely economic men. (1977: 224)

2

See www.humiliationstudies.org/whoweare/evelin02.php. Warwick Fox, in his paper “Intellectual Origins of the ‘Depth’ Theme in the Philosophy of Arne Næss,” explains: 3

The extent to which a person discriminates along a chain of precizations (and, therefore, in a particular direction of interpretation) is a measure of their depth of intention, that is, the depth to which that person can claim to have understood the intended meaning of the expression. (1992: 5) 4

See also Sidney Rosen, 1983. Kenneth Gergen and Mary Gergen write about the humiliating aspect of help-receiving in the mid-1970s; see their current work at www.swarthmore.edu/SocSci/kgergen1/text7.html. I owe this reference to Michael Harris Bond. 5 These terms have been coined by Johan Galtung. 1969. 6 The description of the historical transition from hunting-gathering to agriculturalism, and finally to the contemporary vision of a global knowledge society, as presented in the following paragraphs, has been adapted from Evelin Gerda Lindner, 2008b. 7 “World Conference on Racism, Racial Discrimination, Xenophobia and Related Intolerance” in Durban, South Africa, August 31–September 7, 2001. 8 See, for example, Manuel Castells, 1996. 9

Hitler zog aus dem Putschversuch, der blutigen Niederlage und der Haft in Landsberg eigene Schlüsse und den unerschütterlichen Glauben, das Schicksal

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habe ihn gezielt verschont, um seine ‘historische Bestimmung’ zu erfüllen, Deutschland zu retten. (Moorhouse, 2006: 23). 10

I explain this point in more depth in Lindner, 2008c. See, for example, SAPRIN (Structural Adjustment Participatory Review International Network), 2004. 12 See www.wto.org/english/tratop_e/dda_e/dda_e.htm. In June 2007, negotiations within the Doha round broke down at a conference in Potsdam, as a major impasse occurred between the US, the EU, India and Brazil. The main disagreements rage over opening up agricultural and industrial markets in various countries and how to cut rich nations’ farm subsidies. 13 Marshall McLuhan is credited with having coined the phrase “global village” in 1959, after borrowing it from Wyndham Lewis; the term appeared in The Gutenberg Galaxy (1962). 14 See, among others, Morton Deutsch, Peter T. Coleman and Eric C. Marcus, eds., 2006; Morton Deutsch, 2000; Morton Deutsch, 1999. 15 Linda Hartling, personal communication, April 27, 2008. 16 See, for example, www.latinamericapress.org/article.asp?IssCode=&lan Code=1&artCode=5630. 17 See also Lindner (2008a). 18 See the work on rankism by Robert W. Fuller (2003). 19 This paragraph has been adapted from Lindner (2006: 159). 20 For participatory action research, see for example Peter Reason, ed. (1994) in Kenneth J. Gergen and Mary M. Gergen (2000). See literature about action research in the ejournal Action Research International, www.scu.edu. au/schools/gcm/ar/ari/arihome.html, and Bill Atweh, Stephen Kemmis and Patricia Weeks (1998); Nicholas Boyarsky and Nicola Murphy (1998); Terrance R. Carson and Dennis J. Sumara (1997); Davydd J. Greenwood and Morten Levin (1998); Björn Gustavsen (1998); Ragnvald Kalleberg (1989); Alfred J. Marrow (1964); Jean McNiff (1992); Geoffrey E. Mills (2000); Neal, Watts and Calhoun (1995); Peter Reason ed. (1994); Peter Reason and John Rowan (1985); Peter Reason (1988); Suresh Srivastva and David L. Cooperrider (1990); Ernest T. Stringer, (1999); William R. Torbert (1991); William Foote Whyte (1991); and Ortrun Zuber-Skerritt (1991). 21 Maggie O’Neill (2006). 22 See www.unicc.org/unrisd/wsp/index.htm. 23 See, for example, “Unity in Diversity” by Michael Harris Bond (1998) and “Diversity within Unity” by James A. Banks et al. (2001). 24 Alan Page Fiske (1991). A useful introduction to the theory, overview of research, and a bibliography is found on www.rtm.ucla.edu. 25 See, for example, europa.eu/scadplus/glossary/subsidiarity_en.htm. 11

CHAPTER TWENTY-TWO SOCIAL AND ECONOMIC MOBILITY FOR THE ROMA IN HUNGARY: A LOOK AT GOVERNMENT INITIATIVES AND INTERNATIONAL RESPONSES While many groups in Hungary have benefited from economic modernization and development, others such as the Roma have not benefited as much from these advances. The Roma are the largest minority in Europe and are known in post-Communist countries such as Hungary as the biggest “losers” of the change from Communism to capitalism because of the loss of governmental welfare programs. Currently the Roma in Hungary face obstacles and challenges in access to healthcare, education, employment and adequate housing. However, over the past decade the European Union and the Hungarian government have taken steps to promote anti-discrimination legislation and social programs focusing on equality and diversity. Additionally, international non-governmental organizations have also played an important role in minority rights in Central and Eastern Europe providing advocacy, resources and policy development. Introduction Over the past ten years the EU has significantly changed by the addition of new Member States, legislation and increased funding for social welfare programs. The EU is no longer solely an economic institution but now has mechanisms in place to monitor human rights, security initiatives and social policies. In 2004, ten new Member States in Central and Eastern Europe (Poland, Hungary, Slovakia, Czech Republic, Estonia, Latvia, Lithuania, Malta, Slovenia, Cyprus) joined the EU. Since then those countries have faced achievements and struggles in their economies with migration in the labor market, inflation and poverty rates. In 2007, Romania and Bulgaria were welcomed into the EU with the hope of achieving long-term economic growth by improving job opportunities

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and equality in society. However, for any country to achieve economic growth many circumstances need to be taken into consideration. As a result of enlargement, the EU has created new legislation and policies to ensure all citizens receive equality in all areas of life. With an expanding EU, minority rights have become a focus with anti-discrimination directives and social justice initiatives playing important roles. In order to support equality, the EU named 2007 “The Year of Equality for All” and is sponsoring programs to support diversity and abolish discrimination. While many encounter discrimination on a daily basis, in Europe the Roma population feels its effects in every area of life. The Roma population is the largest minority in Europe. Historically, the Roma migrated at the end of the fourteenth century from northern India into Europe (Ringold, Orenstein & Wilkens, 2005). Today, according to the World Bank, there are between seven and nine million Roma living in Europe with estimates of 70 percent of that population residing in Central and Eastern Europe, mostly in Slovakia, Romania, Hungary and Bulgaria (The World Bank, 2006). In addition, poverty rates for Roma range between four and five times that of non-Roma in Bulgaria, Hungary and Romania (Ibid.). The Roma are often discriminated against in the housing market, the health care and educational systems and in employment opportunities. However, over the past couple of years there has been an increase of support for protection and social inclusion for the Roma population from activists, international governmental and nongovernmental organizations and not-for-profit organizations. Protection of minority rights is an important component of the EU’s agenda. The EU has reconstructed its identity by creating antidiscrimination legislation for the protection and social inclusion of the Roma population. Additionally, the EU has developed social programming in order to provide assistance, opportunities and services to the Roma. By creating these new laws and policies, the EU is supporting an identity that discourages discrimination and supports diversity. However, while the protection of minority rights has become a popular topic for establishing anti-discrimination legislation in the EU, how is the legislation being enforced? Throughout Europe, regional and local authorities are responsible for implementing this legislation and supporting equal opportunities throughout the communities. Additionally, in some communities, local authorities are responsible for applying for funding to increase economic development and social programs in the community. While structurally the EU is responsible for developing the legislation and programming, local authorities are responsible for

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implementation. Moreover, how is the EU anti-discrimination agenda translating into reality for Roma communities? Throughout this article I will examine the evolving identities of the EU and the Roma population by looking at three factors: 1) The current situation of the Roma in Hungary with regard to the condition of housing, health care, employment and education; 2) EU anti-discrimination legislation and other resources, programs and initiatives that are being provided for the Roma; 3) Initiatives and support from the international community and nongovernmental organizations and their effect thus far. The Current Situation of the Roma in Hungary Hungary has experienced many political, economic and social changes over the past twenty years. With the end of Communism in 1989 and the transition from a centrally planned economy to a market-based economy, Hungary faced the challenge of achieving structural reform and economic stabilization. These changes brought much success and established Hungary’s economic growth. Moreover, the changes made Hungary a leader in Central Europe, allowing the country to spearhead reforms in enterprise and the public sector. As a result, Hungary joined the EU in May 2004. Since then Hungary began to place an equal focus on social and economic policies, understanding that both play an intricate role in their success. While many groups in Hungary have benefited from economic modernization and development, others such as the Roma have not benefited as much from these advances. Today, there are between 400,000 and 600,000 Roma living in Hungary (Ringold, Orenstein & Wilkens, 2005: 124). It is often said that the Roma are the biggest “losers” of the change from Communism to capitalism because of the loss of governmental welfare programs. For example, during Communism a majority of the Roma were employed, becoming socially and economically secure and creating a working class (Project on Ethnic Relations, 1997: 10). However, many scholars dispute the actual standard of living for the Roma during Communism. While a working class was instantly created, cultural traditions and ethnic diversity were suppressed during this time. Moreover, the economic situation that seemed to be an instant fix was unsustainable for economic growth in the region (United Nations Development Program, 2003: 21).

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The transition out of Communism left many Roma unemployed and homeless in Hungary. The previous command economy needed unskilled labor that the Roma could provide; with the privatization of land ownership and the dismantling of large agricultural farms, industrial plants and construction companies, unskilled labor was no longer needed (Project on Ethnic Relations, 1997: 11). As a result, unemployment rates for the Roma skyrocketed as they were seen as unwanted, uneducated and unneeded. Because many employers during Communism also provided housing, many who lost jobs also became homeless (Ibid.). Anti-Roma sentiment grew with the unemployed and homeless begging on the streets and it increased further with asylum-seekers and migrants heading toward the West. Stereotypes and prejudice against the Roma exist in society today. Many people have cynical views and opinions of the Roma, which leads to discrimination on a regular basis. Peter Vermeersch, author of The Romani Movement: Minority Politics and Ethnic Mobilization in Central Europe, notes that continuing to define the Roma in a negative way “perpetuates misleading stereotypical images of them” (2006: 3). Because of this, many Roma do not want to identify themselves as Roma. Their identity becomes not only what they see themselves as, but what society constructs for them. Additionally, statistical representation of the population becomes skewed. For example, the 2001 Hungarian census stated that only 190,046 Roma were living in Hungary (UNDP, 2003: 25). However, different organizations in Hungary indicate the number lies between 400,000 and 500,000 but could be as high as 800,000 (Ibid.). With such contradictory demographic information about the population, governmental services become problematic because the group is underrepresented. Vermeersch also notes: Stereotyping and discrimination is seen by many organizations and independent scholars as the underlying cause of two other problems: the concentration of poverty and unemployment among the Roma (2006: 23).

Currently in Hungary the rate of unemployment for the Roma is three to five times higher than that of the non-Roma (Joint Memorandum…”, 2003: 34). There are three contributing factors that cause this unemployment rate: lack of educational opportunities, racial discrimination and lack of job opportunities. With regard to education, many Roma face classroom or even school segregation in their communities. In addition, according to the Implementation of the International Covenant on Economic, Social and Cultural Rights,

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Some 84–85 percent of Roma children completing their primary education go on studying at secondary level, but only one-fifth of them choose schools providing a secondary school leaving certificate that would allow studies in higher education. The majority of Roma secondary school pupils get qualified in subjects that provide them with only limited chances for employment. Less than 1 percent of Roma hold higher educational certificates (United Nations Economic and Social Council, 2006: 108).

Therefore, school segregation along with lack of educational opportunities make trying to enter the workforce difficult. Additionally, discrimination, both direct and indirect, plays a substantial role in the unemployment rate. While anti-discrimination legislation exists in both Hungarian and EU law, many employers do not follow these laws, continuing to allow social exclusion of the Roma. Finally, different regions of Hungary are challenged with lack of job opportunities, specifically Northern Hungary where a large majority of the Roma live. Roma women are often faced with additional challenges in employment. Not only are they faced with gender-based discrimination, but they also encounter racial discrimination. According to the Open Society Institute Network Women’s Program, Many Roma women remain entirely excluded from the formal economy, constrained by limited educational opportunities, inadequate housing, poor healthcare, traditional gender roles and general marginalization from the majority community. (1999: 1)

Moreover, while men face long-term unemployment more often, women experience low participation rates in the formal labor markets. As a result women participate in the informal or “grey” market, which does not provide economic security, social benefits or dependability. Roma women are often susceptible and vulnerable to the market’s inconsistencies and fluctuations. Long-term unemployment coupled with low participation rates in the formal economy only drives the Roma community further into poverty and away from social inclusion. In addition to the employment challenges, the Roma also encounter challenges for the right to adequate housing. According to the World Bank report, Roma in an Expanding Europe, in Hungary 54.9 percent of Romani households do not have access to hot running water; 64.7 percent do not have central or gas heating; 66.6 percent do not have adequate sewerage; 49.8 percent do not have bathrooms or showers in their homes; 50.1 percent do not have indoor toilets and 13.2 percent have one or more members sleeping on earthen

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floors in their homes (Ringold, Orenstein & Wilkens, 2005: 37). Additionally in Hungary, poor housing conditions are coupled with forced evictions and lack of governmental housing programs. According to a survey conducted by the Ministry of Agriculture and Rural Development in 2000, 60 percent of the Roma population lives in disadvantaged areas with little educational or work opportunities and 20 percent (100,000) of the Roma population live in segregated settlements (Joint Memorandum…, 2003: 14). Adequate housing in economically disadvantaged areas is difficult to find, especially in a large city. In Budapest, Hungary’s capital, the city is divided into districts. The Eighth district has a large Roma population. Dilapidated housing conditions coupled with overcrowding and poor health conditions leave sections in the Eighth district in need of development. However, since 2004 the Hungarian government has created community programs which aim to improve living and health conditions in settlements that need improvement. One way the government is doing this is by increasing government housing and upgrading the existing housing stock. According to the Implementation of the International Covenant of Economic, Social and Cultural Rights, improving the Eighth district of Budapest is a focus of the development programs. The main goals of the programs are to improve the quality of life, to solve the housing problems while strengthening public security, social cohesion and improving the labor market potentials in the district. (UNESC, 2006: 74)

While these actions seem like meaningful and progressive initiatives, the fate of these programs falls within the local authorities. Some local authorities recognize the need for the governmental assistance and apply for the grants; however, many do not. Additionally, in the past many local authorities have sold off public housing in order to compensate for declining revenues. This creates a problem with meeting the housing needs for the low-income and poor, rendering many homeless. By losing the security of a legal residence, other rights and services are lost as well. Logistically, without an address, registering for services becomes impossible and this includes engaging in income-generating activities (The Organization for Security and Co-operation in Europe, 2006). Inadequate housing or lack of housing leads to many problems. Poor and hazardous housing conditions contribute to threats to public health and the increased spread of communicable diseases. Furthermore, housing inequalities and discrimination lead to the lack of access to and decreased standards of health care for the Roma. The right to health care is

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guaranteed by several international laws, but Romani people often find themselves excluded for several reasons. One of the most common reasons for lack of health care for the Roma population in Hungary is lack of access to healthcare facilities in small villages outside the city centers (European Roma Rights Center, 2006: 34). Moreover, where there are healthcare facilities in small villages, the building structures and resources are usually poor (Ibid.: 21). In addition, racial discrimination in healthcare leads to inferior quality of treatment and services from healthcare providers. For example, the European Roma Rights Center notes in their report Ambulance Not on the Way that some healthcare emergency workers will not respond or respond inadequately to emergency calls (Ibid.: 51). Moreover, reproductive health for Roma women is often compromised because of lack of access to resources, lack of information and illegal sterilizations. According to the European Roma Rights Center, On 14 August 2006, the UN Committee to End Discrimination against Women (CEDAW) condemned Hungary for violating the Convention on the Elimination of all forms of Discrimination against Women for forced sterilization of Romani women in 2001. (Ibid.: 45)

While the Hungarian government has not directly responded to the CEDAW remarks, according to Anita Danka, Staff Attorney for the European Roma Rights Center, a response has been prepared. Ms. Danka also notes that policy changes on this subject are imperative. 1 Recognizing that public health is an important issue, there have been several measures taken in recent years to improve the quality of healthcare for the Roma population in Hungary. For example, a program entitled Tolerance for Health was launched in five areas’ hospitals in the hope of improving access to healthcare services (UNESC, 2006: 99). Additionally, health development programs have been set up in six settlements with over 2500 participants in the hope of providing information and improving the health conditions of the Roma population (Ibid.: 100). While proactive measures are being taken in some communities, the disparities in access to healthcare information, services and facilities still persist. Discrimination and segregation play active roles in the lives of the Roma population, especially for Roma children. In Hungary school segregation is one of the main problems for Roma children in the education system (Ibid.: 107). Many Roma children are often labeled as “mentally handicapped” and forced into different classrooms or even different schools where educational resources, textbooks and staff are at a

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minimum. According to the European Roma Rights Center and the European Network against Discrimination: In the case of Hungary, desegregation policy has been made operative primarily through financial incentive mechanisms, with few or no sanctions applied to schools refusing to implement or otherwise opting out of the integration policy. (ERRC and European Network against Racism: 2006: 3)

Therefore, while as an educational policy segregation is not used, it still exists. Understanding that education is a vital foundation for the future of a student’s life, the Hungarian government along with many NGOs has developed programs and scholarships for students in the Roma community. Currently, in addition to many undergraduate university scholarships that exist in Hungary, the Central European University has the Roma Access Program. This program is for Roma students, both from Hungary and other European countries, who have already completed their undergraduate degree and would like to see if they want to pursue a graduate degree. Within this program the students audit classes at CEU and increase their English skills. After completion of the program, they are equipped with the tools to apply for a graduate program at CEU. Moreover, the educational program From the Last Row aims to decrease classroom and school segregation by bringing in independent experts to re-evaluate students who had been labeled as handicapped (UNESC, 2006: 111). In 2005, an Anti-Discrimination Warning System was also created in order to train 600 participants who can then provide legal advice for people affected by discrimination (Ibid.). Additionally, the Ministry of Education has recognized that integrating Romani studies (Romology) into school curricula is an important way of increasing understanding and awareness of the Romani culture (Ibid.: 108). Therefore, the National Core Curriculum mandates that elements of the Roma culture and history be built into the curriculum (Ibid.). Governmental funding for education is important for many reasons. Specifically, if money is not spent on educational opportunities for the Roma, the poverty cycle will continue because those children will have developed no skills and so will become an uneducated and unemployable workforce (UNDP, 2003: 34). Furthermore, by examining the current situation of the Roma in Hungary, one can see that they face challenges and obstacles in everyday life. Discrimination in employment, housing, education and healthcare exists along with other institutional and personal discrimination and prejudice in society. While the current situation looks dismal, many

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governmental agencies and NGOs recognize the urgency of their attention to the Roma population. Thus committing resources, funding and attention to the matter has for the past decade become an important issue for the political and economic situation in Europe. Governmental Initiatives The Roma populations across Europe face similar social exclusion and discrimination as they face in Hungary. The European Commission’s Equality and Non-Discrimination Annual Report states EU enlargement has helped to focus attention on the discrimination and exclusion faced by the Roma communities in both “new” and “old” member states. (European Commission, 2005: 25)

Therefore, in addition to national governments taking proactive measures such as creating economic development and community programming, the EU has invested a lot of funding and resources in projects and initiatives for the Roma population. According to the European Roma Information Office: The Roma issue has been on the agenda of European institutions for the last decade, and according to the European Commission, over €270 million have been invested between 2001 and 2006 (within the framework of European Funds) in projects exclusively targeting Roma communities. (ERIO, 2007: 1)

Funding from the EU exists on many levels. One source of funding is the EU Structural Funds, which aims to narrow development disparities among regions and Member States. The Structural Funds are then divided into different groups of funding. The European Social Fund (ESF) is one of the EU Structural Funds. The money is used for developing long-term projects across EU Member States. Specifically, the funding supports projects in both old and new Member States for improving access for the Roma to employment opportunities, especially through education and training (European Social Fund, 2000). Some of the objectives of these programs are women’s participation in the formal market, developing social inclusion and improvement in the labor market. The EQUAL initiative, which is financed through the ESF, develops new approaches to fighting discrimination and inequalities in the employment market (European Commission, 2003: 2). Another initiative is the Community Action Program, which aims to combat discrimination by improving

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understanding of social exclusion and poverty. This program funds transnational projects for Roma integration by developing innovative approaches and helping to organize changes in policy. In addition to funding, anti-discrimination legislation has been implemented in the hope of ensuring social inclusion and equal treatment for all people in the EU. In 1997, EU Member States approved the Treaty of Amsterdam. Article 13 of the Treaty of Amsterdam approved the community to take proactive steps in order to combat discrimination on the basis of sex, religion, racial or ethnic origin, disability, sexual orientation or age (European Commission, n.d., “Anti-Discrimination Directives.”). Two directives or laws were created that enforced the principle of equal treatment and they came into force in 2000. The Directorate General of Employment, Social Affairs and Equal Opportunities states that The Racial Equality Directive 2000/43/EC implements the principle of equal treatment between people irrespective of racial or ethnic origin [and] gives protection against discrimination in employment and training, education, social protection (including social security and healthcare), social advantages, membership and involvement in organizations of workers and employers and access to goods and services, including housing. (Ibid., para. 2)

Therefore, this law prohibits discrimination in most areas of everyday life on the basis of race or ethnic origin. Additionally, the Employment Equality Directive 2000/78/EC implements the principle of equal treatment in employment and training irrespective of religion or belief, disability, age or sexual orientation in employment, training and membership and involvement in organizations of workers and employers. (Ibid., para. 3)

While the EU is able to develop these directives, implementation and reinforcement needs to come at local, regional and national levels. If EU Member States fail to implement these laws, infringement procedures such as financial penalties can be applied (Ibid.). Additionally, most Member States have their own anti-discrimination legislation forbidding discriminatory practices from occurring in their country. In Hungary, the Equal Treatment Act came into force in 2003 and was updated at the request of the European Commission in 2006 (The European Network of Experts in the Non-Discrimination Field, 2007: 77). As a result of this Act, the Equal Treatment Authority was set up by the Hungarian government to handle individual and public concerns about unequal treatment (The Council of Europe, n.d.).

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In order to assist with implementation of the EU Anti-Discrimination Directives, the non-governmental community provided resources and assistance. A project entitled Implementing European Anti-Discrimination Laws organized by the European Roma Rights Center, Interights and the Migration Policy Group began in January 2001. The project targeted the fifteen EU Member States and eleven candidate countries (Turkey and ten in Central and Eastern Europe) and aimed to host information workshops for judges, activists, governmental officials and lawyers, to advocate the legislation to policy-makers and to test the legislation in European courts (ERRC, Interights and the Migration Policy Group, n.d.). With the EU’s ever-growing diversity, many projects and initiatives have been created to promote diversity and discourage discrimination. Some examples of those initiatives are the Breaking Stereotypes Photo Competition which encouraged students in the EU to submit photos about breaking stereotypes; the EU Journalist Award which honored journalists who used their journalism to create a public understanding of the benefits of diversity and the EU Diversity Truck Tour which visited cities to provide information and activities about diversity and anti-discrimination laws in the EU. Finally, 2007 was named the “European Year of Equal Opportunities for All.” This initiative had three aims: a) to raise awareness about anti-discrimination laws and make sure those laws are put into action; b) to promote equal opportunities for all; and c) to encourage dialogue amongst European societies and individuals about the benefits of diversity (European Commission, 2007). Overall, the aim was to promote equal treatment and celebrate diversity. The EU has invested a great deal of funding and resources into programs, legislation, and initiatives for the Roma population. However, according to the European Roma Information Office, “unfortunately, the outcome has not been proportional to the significant investment” (ERIO, 2007: 1). Many organizations and scholars feel that even though the government is supporting programs to promote diversity and equal opportunities, they are not having a positive effect in society. Furthermore, the report Current Attitudes Toward the Roma in Central Europe: A Report of Research with non-Roma and Roma Respondents, which was constructed by Ipsos Szonda, a media, opinion and market research Institute, states “programs promoted and supported by the EU may be received with a fair amount of cynicism” (2005: 2). Moreover, some governmental programs are met with the attitude that the situation for the Roma will not necessarily improve. Finally, a significant barrier in evaluating and tracking the successes and failures in governmental programming is the lack of statistical

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representation for the Roma population in local communities. As previously mentioned, the number of the Roma population is significantly skewed in Hungary. This becomes important when deciding how to allocate resources for the population through social programming. Additionally, many local and regional governmental authorities do not keep statistical records on the ethnicity of their citizens. According to the European Roma Rights Center and the European Network against Racism, A major obstacle to measuring the magnitude of discriminatory treatment and social exclusion affecting Roma is the failure of governments in many EU Member States to generate and make available in a form readily comprehensible to the general public aggregate data on the situation of Roma and other minority groups in fields such as education, healthcare, housing, social services and in other areas relevant for social inclusion. Moreover, the lack of statistical data on the situation of Roma in various sectoral fields makes the design, monitoring and evaluation of policies and programs difficult and unreliable. According to interpretation of data protection laws frequently promoted by governments, gathering data according to ethnicity is “illegal”. In its data protection rules however, the EU has consistently affirmed that data protection rules apply to personal data, not to aggregate data about groups, nor data disaggregated by ethnicity or other criteria. (ERRC & European Network against Racism, 2006: 6)

Therefore without this quantitative data, evaluating social programs is difficult to accomplish, especially on a national or regional scale. With governmental programs being met with skepticism, logistical obstacles and lack of implementation, many supporters in the international community have stepped up to support and work with the Roma population. International Support Over the past ten years, international support for the Roma has increased exponentially. Many NGOs and not-for-profits have been launched in Central and Eastern Europe focusing on providing resources and advocacy for the Roma population. Some examples of organizations are the European Roma Rights Center, the European Roma Information Office, the Roma Educational Fund and the Legal Defense Bureau for National and Ethnic Minorities. Each organization focuses on a different agenda, ranging from international advocacy, litigation, research, education, policy development and training for Roma activists. The

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presence of these organizations and others like them has definitely had an impact on the accessibility of resources and support in the region. Furthermore, programs and training sponsored by these organizations have such a positive effect on the community because of their highly regarded reputations. One major non-governmental financial contributor and policy advocate to Central, Eastern and Southeastern Europe has been the Open Society Institute. Their Roma Initiative has developed many projects supporting issues such as access to health care, education, legal rights and equality. For example, The Roma Participation Program offers fifteen internships to Roma students at the European Commission and the Council of Europe (Open Society Institute, 2007a). Additionally, The Network Women’s Program: Roma Women’s Initiative supports several programs and techniques for empowering women throughout Central and Eastern Europe (Open Society Institute, 2007b). This support from the international community prompted many larger international bodies and governments to take action on the matter. Governments from Southeastern and Central Europe along with the World Bank, the Open Society Institute, the United Nations Development Program, the Council of Europe, Council of Europe Development Bank, the European Roma Rights Center, the Roma Education Fund, the European Roma Information Office, the European Roma and Travellers Forum, the Contact Point for Roma and Sinti Issues of the Office for Democratic Institutions and Human Rights of the Organization for Security and Co-operation of Europe founded The Decade of Roma Inclusion 2005–2015. This initiative is a political commitment by governments in Central and Southeastern Europe to combat Roma poverty, exclusion and discrimination within a regional framework. The Decade is an international initiative that brings together governments, intergovernmental and nongovernmental organizations as well as Romani civil society to accelerate progress toward improving the welfare of Roma and to review such progress in a transparent and quantifiable way. (The Decade of Roma…”, n.d., para. 1)

Countries that are taking part in this initiative are Albania, Hungary, Romania, Bosnia and Herzegovina, Serbia, Bulgaria, Croatia, the Czech Republic, Macedonia, Montenegro, Spain and Slovakia (Ibid., para. 3). While still in its early phases, the initiative has received international notoriety and recognition by hosting events that bring together activists, governmental officials and Romani leaders for conferences and workshops. Yet local communities have mixed views on The Decade of

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Roma Inclusion. For example, Ipsos Szonda’s report Current Attitudes toward the Roma in Central Europe: A Report of Research with non-Roma and Roma Respondents, states: Both Roma and non-Roma respondents insisted that the program should also address the needs and concerns of other citizens in the region suffering from similar social and economic disadvantage. Programs and services that are perceived as “preferential” are seen by both Roma and non-Roma respondents to be counterproductive with the potential to increase discrimination and hostility toward the Roma over time. (2005: 4)

While this attitude to The Decade of Roma Inclusion may reflect an isolated opinion, it does highlight an overarching theme about access to rights by the Roma population. If non-Roma and Roma community members are not behind the social programs and initiatives such as The Decade of Roma Inclusion, it could be interpreted that the Roma are being favored. This “positive discrimination” could be as harmful as negative discrimination if community members are not committed to these projects. Moreover, the response from regional and local communities to international initiatives and programs will be a contributing factor for the future of the Roma. Conclusion The Roma population in Hungary faces poverty and obstacles when trying to access everyday resources. Access to education, healthcare, safe and adequate housing and employment opportunities become difficult when they are faced with discrimination and prejudice. Continuous poverty has disastrous effects on both this generation and future generations of the Roma community in Hungary. However, the EU as well the Hungarian government has over the past ten years invested resources and funding for the Roma population. Anti-discrimination legislation along with diversity initiatives have been developed and implemented in the EU Member States. Moreover, the international non-governmental community has provided advocacy, support and policy development. While the identity of the institution of the EU has changed over the last decade, what about the rest of Europe? Implementation of antidiscrimination laws and equal treatment needs to exist not only on a national level, but also on a local and community level. Unfortunately, the changing of an institution does not always change the discriminatory

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actions of people. Progressive initiatives and rhetoric are not enough. Governmental organizations, NGOs and activists believing in social justice and equal rights for the Roma are not sufficient. If people do not believe in equality in the educational and healthcare systems, housing markets and employment opportunities, the overall situation for the Roma will not get better. Social inclusion and equality for the Roma will only come when anti-discrimination laws and programs are embraced, supported and practiced throughout the region.

NOTES 1

Notes from Ms. Anita Danka, Staff Attorney for the European Roma Rights Center on March 26, 2007.

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LIST OF CONTRIBUTORS Grace Oyebola Adetula, an affiliate of the Center, is an International Expert on Drug Control and Crime Prevention, Youth and Children Matters. She was formerly at the Commission of African Union (AU) in Addis Ababa, Ethiopia, where she was responsible for the establishment of the Drug Control and Crime Prevention Unit. She also led efforts to mainstream components of drug control and crime prevention into the various programs and activities carried out by the AU. These included, but were not limited to, resolution and management of conflict, trafficking in persons and child labor, agriculture, women’s issues, children and youth matters, money laundering, terrorism, corruption, population, health, labor and social affairs, and doping in sports. Similarly, she was responsible for formulating policies, monitoring and coordinating drug control and crime prevention programs and activities among the fifty-three Member States of the AU. In the course of her duties, she organized, supervised or attended no less than seventy-five seminars, workshops, symposia and conferences across the globe. For example, she planned the First AU Ministerial Conference on Drug Control in Africa, which was held in Yamoussoukro, Cote D’Ivoire in May 2002, and the subsequent one that was held in Mauritius from December 14 to 18, 2004. Some of her recent publications/presentations include: “Preventive Drug Education Curricula in Nigerian Schools, and Life Skills Education in Schools,” (World Health Organization (WHO), Geneva, 1992); “Women Trafficking, Drugs and Crime; Challenges within the context of War and Conflict” (the Third meeting of African Union Women’s Committee, Tunis, Tunisia, 24–25 April 2008); “The Impact of Alcohol and Drugs on The Spread of HIV/AIDS among Ex-Child Soldiers” (Workshop on HIV/AIDS and its impact on Ex-Child Soldiers/Captives in the Great Lakes Region of Africa, in Kampala, Uganda from February, 21–22 2008); “Drugs in Conflicts: The Challenges of Demobilization, Disarmament and Reintegration (DDR) of Female Ex-child Soldiers in Africa” (Workshop on the Rehabilitation and Reintegration of female ExChild Soldiers/Captives in the Great Lakes Region, Kigali, Rwanda from December 6–7, 2007); and “Women Trafficking, Drugs and Crime: Challenges for the African Parliament” (the Conference on the Popularization and Implementation of the Solemn Declaration on Gender and Equality in Africa, Addis Ababa, Ethiopia from October 10–12, 2007.)

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Contributors

Grace Adetula now works as a consultant on Drug Control and Crime Prevention, Children and Youth Issues with Freedom Foundation, an NGO that focuses on Rehabilitation, Education and Empowerment of the vulnerable groups of the society. Sanjaya Aryal is a child rights activist from Nepal. He has served as coordinator in National Coalition for Children as Zones of Peace (CZOP), and in the Coalition for advocacy and lobby to protect the rights of children during the armed conflict in Nepal. Prior to joining the CZOP in 2005, he was working in various capacities in human rights, social- and development-oriented NGOs in Nepal since 1996. He holds two master’s degrees, one in Human Rights from the Office of Human Rights Studies and Social Development at Mahidol University, Thailand and the other in Sociology from Tribhuvan University, Nepal. He holds a bachelor’s degree in Social Work from Kathmandu University, Nepal. He was awarded with SIDA/RWI scholarship to study for the human rights degree. Sanjaya has conducted researches on the following in Nepal: child soldiers, local governance system, and role of cooperatives in the empowerment of women. He is founder-chairman of the National Association of Social Workers in Nepal. Adenrele Awotona is the founder and director of the Center for Rebuilding Sustainable Communities after Disasters. He is a former Dean of the College of Public and Community Service at the University of Massachusetts, Boston. Before then, he was at Southern University in Baton Rouge, Louisiana, where he served as the Dean of the School of Architecture and at the University of Newcastle upon Tyne in the United Kingdom where he was director of graduate studies in architecture and urban design as well as director of the Center for Architectural Research and Development Overseas. His fields of technical expertise include sustainable community-based planning, post-disaster reconstruction and architectural design methods. He has been a principal investigator (or co-PI/researcher) on major projects funded by various agencies. These include the Boston Foundation, the US Department of Energy, the US Department of Housing and Urban Development, the US Department of Education, the British Government Department for International Development, the United Nations Center for Human Settlements, the United Nations Development Program, and, the European Union. A stream of publications has, therefore, emanated from his work. Similarly, through research,

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consultancy and teaching, he has professional experience in many countries of Europe, Africa, Asia, the Middle East, South America, and the Caribbean. Adenrele Awotona’s publications include: Rebuilding Sustainable Communities in Iraq: Policies, Programs and International Perspectives (edited, Cambridge Scholars Publishing, 2008); Tradition, Location and Community: Place-making and Development (edited with Necdet Teymur, Avebury, 1997); Reconstruction after Disaster: Issues and Practices (edited, Ashgate, 1997); Housing Provision and Bottom-up Approaches: Case Studies from Africa, Asia and South America (edited, Ashgate, 1999); Proceedings of the International Conference on ‘Rebuilding Sustainable Communities in Iraq: Policies, Programs and Projects’ (edited, College of Public and Community Service, University of Massachusetts Boston, 2007). Furthermore, Adenrele Awotona has been an external reviewer/examiner of over 200 masters’ and doctoral dissertations internationally. In public and community service, Professor Awotona was a former member of the Design and Planning Selection Board of the City-Parish of East Baton Rouge. He was also an Educator/Coordinator of Seminars (on community development, etc.) at the annual American Institute of Architects National Conventions for several years. Similarly, he has been a member of the US National Architectural Accrediting Board’s program review team internationally. He is currently a member of the Editorial Advisory Board of the Academic Leader, the national newsletter for academic deans. At the global level, he is a member of the Global Advisory Board of the Human Dignity and Humiliation Studies. He was a Director of Studies for British Council International Seminars (Reconstruction after disasters) in the United Kingdom, a technical consultant to the British Council Committee for International Cooperation in Higher Education, and, an Associate Adviser to the British Council on various aspects of the built environment. He has been named an outstanding intellectual by the International Biographical Center (IBC), Cambridge, United Kingdom. His profile appeared in the IBC reference book 2000 Outstanding Intellectuals of the 21st Century. Robert Bachelder is Minister and President of the Worcester Area Mission Society (WAMS), an agency of the United Church of Christ. In the 1980s, Worcester, Massachusetts, suffered from the steepest rate of manufacturing job loss of any of the nation’s major metropolitan areas. WAMS developed an integrated, asset-based approach to community

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renewal that creates new sources of neighborhood, social, and human capital. The effort was informed in part by a participatory model of community planning pioneered in Kenyan villages by Egerton University, and it was augmented by conferences that brought together Kenyan and Worcester activists. WAMS’ programs were the first in the US to be recognized by the National Council of Churches for “best practice public ministry”. Robert Bachelder was educated at Dartmouth College and Yale University, has been a trustee for a wide range of institutions, and writes on the subject of ethics and economics. A recent article calls attention to the excessive commercialization of outer space, a phenomenon that hinders access by developing countries to satellite data that is critical for sustainable development and crisis management. He is included in Who’s Who in America and Who’s Who in the World. John W. Barbee is currently a civil society consultant who has most recently worked for Counterpart International in Kabul, Afghanistan. He has held various posts, including Central Asia IOM Regional Representative for disaster mitigation and with Counterpart International since 1994. His work for Counterpart includes Country Director for Tajikistan, Consultant/Advisor in Iraq and Consultant for project development for Iraq. Mr. Barbee has also worked as a civil society specialist for USAID/Iraq. In the 1960s he served in the Peace Corps as a volunteer in Afghanistan and subsequently served with the PC staff in Afghanistan, Washington and Malawi (Africa). His specializations include community development programming, conflict mitigation, training, and local capacity building. Barbee has two master’s degrees, one in Education and Training Technology from the Educational Technology Center at Catholic University of America, and the other in Counseling Psychology from the University of Northern Florida. He earned a BA in Business from the University of Northern Colorado. Mr. Barbee’s spoken languages include Tajiki, Dari (Afghan Farsi) and Chichewa. Paul Block has been a pastor in the South Bronx for seven years. After graduating from Harvard Divinity School in 1997, Paul attended Pacific Lutheran Theological Seminary in Berkeley, CA, part of the Graduate Theological Union in the Bay area. He returned to the East Coast in 1999 to complete his internship at Transfiguration Lutheran Church in the South Bronx, whose ministry has been chronicled in “Breathing Space: A Spiritual Journey through the South Bronx” by the Rev. Heidi Neumark.

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In 2001, Paul received his first call at Bethlehem Lutheran Church in the Bronx. The following year, he married the Rev. Theodora N. Brooks, an Episcopal priest from Liberia also serving in the Bronx. After serving Bethlehem for three years, Paul returned to Transfiguration Lutheran Church, which serves a community that remains in the poorest congressional district in the country. Founded primarily by Puerto Rican Lutherans in 1940, Transfiguration is now a bilingual, multicultural congregation. Paul is active in community organizing through South Bronx Churches, an Industrial Areas Foundation-affiliated organization. Paul and Theodora have two children, Miles-Erik and Isaiah. Beryl Cheal’s academic work includes a BA in Education from the University of La Verne; an MA in Early Childhood Education from University of Washington; an MS in International Studies from the University of Washington; and the International Trauma Studies Program, Columbia University. She is an educational administrator, consultant and trainer. As a former teacher she has taught Head Start, elementary school, preschool and child care staffs as well as college and university students. Her disaster response has included: working with children after September 11, New York City; working with Kosovo refugees, Toronto, Canada; directing a preschool system in refugee camps for the UN; developing emergency management plans for children’s programs, and; training preschool and public school staffs in working with children after disaster. She served in the Peace Corps in the Republic of Moldova. Ms. Cheal has published the book Developing an Emergency Management Plan: A Workbook for Programs Working with Young Children and a series of booklets on What You Can Do With Your Children after Disasters. She also authored the DVD/Video “Helping Children Cope with Frightening Events: What You Can Do!”, a staff development film, and has developed a curriculum, “Developing Programs for Young Children that Help in Healing After Disaster.” Currently she makes her home in Seattle, Washington. Sonja Darai has been with the City of Somerville in Massachusetts for over four years. She has a Master’s in Intercultural Management and Sustainable Development. In her career, she’s focused on issues such as emergency preparedness, family economic issues, the environment, indigenous people’s cultural survival, and sustainable community development. She worked and researched in Nepal for over two years in community development in the water and sanitation field. While there, she designed and produced a technical picture-book manual for non-literate

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villagers on how to build a smokeless cook-stove with simple lines of text for those villagers who’d had some adult literacy education. In the City of Somerville, Ms. Darai was the Executive Director for the Somerville Commission for Women until June 2008. For the Women’s Commission, Ms. Darai has chaired the Somerville Anti-Violence Taskforce and the Somerville Financial Literacy Taskforce. Also, she has run the Teens against Dating Abuse (TADA) program at Somerville High School. Ms. Darai works also at the state level on coalitions and networks for equal pay, paid sick days, anti-violence advocacy and services, immigrant access to domestic violence services, and other issues impacting women. In July 2008, Ms. Darai was appointed the Acting Executive Director of Somerville Commissions for Women, Human Rights, Multicultural Affairs, and People with Disabilities; with LGBT Issues. In this role, Ms. Darai works to provide leadership, support, and advocacy on key issues impacting human rights, women, diverse communities, persons with disabilities, and people from the lesbian/gay/bi/transgender communities. A key function of this role is to outreach to diverse communities and recruit Somerville residents to serve on the Commissions she serves. Justin Dargin is a research fellow at the Belfer Center for Science and International Affairs–Harvard University, where he researches energy policy in the Persian Gulf region. Specializing in international law and energy law, he is a prolific author on energy affairs. He is a co-founder and director of the non-profit International Institute of Ideas (Interintel) which seeks to address the concerns of global energy poverty and sustainable development by providing developing communities access to inexpensive energy supplies. During his graduate legal studies, Justin interned in the legal department at the Organization of Petroleum Exporting Countries, where he advised senior staff on the implications of European Union and American law in multilateral relations. Justin was also a researcher at the Oxford Institute for Energy Studies, where he studied Middle East gas issues, and based on his research authored, “The Dolphin Project: The Development of a Gulf Gas Initiative” (OIES Press 2008). Justin is trilingual, fluent in Spanish, English and Arabic, and has been active in a multitude of energy issues involving Latin America and the Middle East. Michael F. Donlan is an experienced attorney and an Adjunct Professor and Research Affiliate at UMass Boston. He is an individual legal

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practitioner and a Member of the Bar for Massachusetts, Federal District and US Supreme Courts. His principal legal career was with the Boston law firm of Rich May for which he served as Managing Partner and head of its Energy, Real Estate and Public Sector Departments. He holds a Juris Doctor Degree from Harvard Law School, and a B.S. Degree from College of the Holy Cross (majoring in Physics and Economics). He received highest recognition from Best Lawyers in America— Energy (Woodward and White); Preeminent Lawyers (MartindaleHubbell); Red Book (counsel qualified for tax-exempt financings); and was recognized by the Massachusetts Bar Association for achievements in regional conflict resolution. His legal experience has specialized in i) industrial, commercial and mixed-use development—principally as lead counsel, including pioneering of new concepts of public/private, planned-unit developments; ii) in energy development, principally as lead counsel for all sources of energy development—gas, oil and electricity, domestic and international; and iii) extensive public service, including representing the Governor of Mass. as appointee to the Boston Redevelopment Authority (BRA). He provided pro bono legal service to Nobel Laureate John Hume of Derry, Northern Ireland, providing both legal and negotiating services. He formed and served as Chairman of Boston Ireland Ventures (in collaboration with both UMass Boston and the Director of the BRA) to provide a self-help economic project for the cities of Galway and Derry as part of a cross-border peace initiative (1987–1994). He has served University of Massachusetts in multiple roles for three decades: as Trustee, Visiting Fellow and now as Adjunct Professor in the College of Public and Community Service and, in addition, as Research Affiliate to the Center for Rebuilding Sustainable Communities after Disasters. He has authored contributions to and edited several specialized volumes i) on Public Utility Deregulation, Published by Massachusetts Continuing Legal Education (MCLE 410 pp.; 1999); (MCLE 297 pp.; 1997); and (MCLE 636 pp.; 1996); ii) Real Estate Development in Boston and the Boston Redevelopment Authority (MCLE 88 pp.; 1998); and iii) Weapons of Mass Destruction and Public International Law, New England Journal of Public Policy, Special Issue on War, Volume Two, p. 189 (2005). John Drury is Senior Lecturer in Social Psychology in the Department of Psychology, University of Sussex, UK. His PhD research (University of

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Exeter, 1996) concerned processes of psychological change amongst participants in conflictual crowd events. His main research interests are in positive features of crowd behavior and experience: i) protest crowds as locations of social psychological change (e.g. empowerment, wellbeing); ii) crowds as sources of resilience in emergencies; and iii) “crowding” as a potentially enjoyable experience. He also publishes and teaches in the area of critical discourse analysis. He has nearly forty papers published in edited books and peer-reviewed journals. Elaine Enarson is an American disaster sociologist whose personal experience in Hurricane Andrew sparked her extensive work on gender, vulnerability and community resilience in the US and Canada. The author of Woods-Working Women: Sexual Integration in the U.S. Forest Service (1984), she was the first director of the women’s studies program at the University of Nevada, served as coordinator of the Nevada Network against Domestic Violence, and has taught sociology and women’s studies in Nevada and Colorado. After two (cold) years in Manitoba teaching disaster sociology at Brandon University, she returned to independent research and writing based in Lyons, Colorado. Dr. Enarson is co-editor of the international reader The Gendered Terrain of Disaster: Through Women’s Eyes (1998), and has written widely on the impacts of Hurricane Andrew on women, response and preparedness in US and Canadian domestic violence agencies, women’s paid and paid work in the Red River Valley flood, gender patterns in flood evacuation, women’s human rights in disasters, the impacts of drought and earthquake on rural Indian women, gender, work and employment in disasters, strategies for gender mainstreaming emergency management and the farming families hit by the BSE (“mad cow”) crisis in the Canadian prairies. A founding member of the Gender and Disaster Network and the GDN of Canada, Dr. Enarson also works as a trainer to build community resilience to disaster and has co-convened numerous workshops on gender and disaster risk reduction. She consults with UN agencies, was lead course developer of a FEMA course on social vulnerability, and initiated and directed a grassroots risk assessment project with women in the Caribbean as well as the on-line Gender and Disaster Sourcebook. In 2006, Elaine was the recipient of the Mary Fran Myers Gender and Disaster Award. Currently, she is co-editing a second international reader (Women, Gender and Disaster: Global Issues and Initiatives with Dhar Chakrabarti), examining the gender dimensions of heat waves, and teaching part-time for the Disaster and Emergency Management graduate program of the Royal Roads University in Victoria, BC.

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Nichole Fiore was on a Fulbright Fellowship during the 2006–07 academic year in Budapest, Hungary. While in Budapest, Nichole researched the social and economic mobility of the Roma population in Hungary by looking at governmental welfare programs offered by the Hungarian government and the European Union. During the Fulbright Fellowship, Nichole was affiliated with the Hungarian-American Fulbright Commission, Central European University, and the European Roma Rights Center. In 2006, Nichole received her MA in Economics with a focus in Economic Development from Fordham University in New York. She also holds a BA in Sociology and Economics from Fordham University. Her presentation is based on her research findings from the Fulbright Fellowship. Currently, Nichole is an analyst at Abt Associates working on domestic housing and homeless issues. Mindy Thompson Fullilove is a research psychiatrist at the New York State Psychiatric Institute and a professor of clinical psychiatry and public health at Columbia University. She was educated at Bryn Mawr College (AB, 1971) and Columbia University (MS, 1971; MD 1978). She is a board-certified psychiatrist, having received her training at New York Hospital–Westchester Division (1978–1981) and Montefiore Hospital (1981–1982). She has conducted research on AIDS and other epidemics of poor communities, with a special interest in the relationship between the collapse of communities and decline in health. From her research, she has published Root Shock: How Tearing Up City Neighborhoods Hurts America and What We Can Do about It (2004), and The House of Joshua: Meditations on Family and Place (1999). She is a co-author of Rodrick Wallace’s Collective Consciousness and Its Discontents: Institutional Distributed Cognition, Racial Policy and Public Health in the United States (2008). She has published numerous articles, book chapters, and monographs. She has received many awards, including inclusion on “Best Doctors” lists and two honorary doctorates (Chatham College, 1999, and Bank Street College of Education, 2002). Her work in AIDS in featured in Jacob Levenson’s The Secret Epidemic: The Story of AIDS in Black America. Her current work focuses on the connection between urban function and mental health. Robert E. Fullilove, EdD is the Associate Dean for Community and Minority Affairs and Professor of Clinical Sociomedical Sciences at the Mailman School of Public Health of Columbia University. He currently

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co-directs the Community Research Group and the degree program in Urbanism and the Built Environment in the Department of Sociomedical Sciences. In 1998 he was appointed to the Advisory Committee on HIV and STD Prevention (ACHSP) at the Centers for Disease Control, and was its co-chair from 2000 to 2004. Dr Fullilove serves on the editorial boards of the journals Sexually Transmitted Diseases, and the Journal of Public Health Policy. He has twice been awarded the Distinguished Teaching Award from the graduating class at the Mailman School of Public Health, and in May, 2002, he was awarded an honorary doctorate from Bank Street College of Education. Alvaro Gallardo is professor of Economics at the Colombian School of Engineering and Andes University. He has worked on social policy issues related particularly to displaced population for the advisory office CODHES and he was the coordinator of social and productive insertion area for population who has been detached from the irregular armed organizations in a project sponsored by the Colombian Institute of Family Welfare (ICBF) and the EU. He has worked as a consultant for a foundation dedicated to non-partisan research in the fields of economics in Colombia (FEDESARROLLO). Also, he has worked as a consultant with the Colombian’s Fiscal Control Office (Contraloría General de la República). He is a member of the Research Center for Development and the Observatory of Economic Thought at the National University of Colombia. Alvaro Gallardo has a BA in economics from the National University of Colombia. Currently, he is finishing his Masters studies of Philosophy at Javeriana University and is working in Academic Planning for the Francisco Jose de Caldas University. Humberto García is Associate Professor of Economics at Jorge Tadeo Lozano University, Bogotá-Colombia. He works for the Economics Department and also for the Humanities Department in the field of AfroColombian History. He has worked as a consultant with the Colombian’s Fiscal Control Office (Contraloría General de la República) and with the Colombia’s Ministry of Education in the area of education expenditure. He is involved in the minorities rights movements trough his affiliation to an Afro-Colombian Grassroots Group (Colectivo de Estudantes AfroColombianos–CEUNA), which dedicates its efforts to study human rights inequalities facing Colombians of African descent. His work with the Research Center for Development at the National University of Colombia

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deals with the study of social and economic policy issues, specifically those concerning minority’s inequalities. Humberto García holds a Master of Economic Sciences from Universidad Nacional de Colombia and a BA in economics from Universidad del Rosario. Mr. García joins the Regis College faculty as 2008–2009 Fulbright Exchange Lecturer in “History of Latin American Development”. Pat Gibbons, PhD, is employed by the University College Dublin (UCD) as Director of the Humanitarian Action Program (NOHA). In addition he is currently the President of the Joint European Master's in International Humanitarian Action. His background was in rural and community development, having managed projects in West and East Africa in the 1980s and 1990s. His research interests include humanitarian principles and concepts, local governance and community development. Shelby Grossman is a first-year doctoral student in the Department of Government at Harvard University. Prior to starting graduate school she worked with The Harry Frank Guggenheim Foundation, an organization that supports research on violence. She also has worked for a year in Liberia with Global Rights, an international NGO, and has interned in Nigeria with Constitutional Rights Project, a local human rights group. Shelby has written articles as a freelance reporter from Turkey, Uganda, The Netherlands, Liberia, and several US cities. She blogs about Liberian politics from www.shelbygrossman.com http://www.shelbygrossman.com/ and can be contacted at [email protected]. Chester Hartman, an urban planner and author, is Director of Research for the Poverty & Race Research Action Council (where he was founding Executive Director from 1989–2003) in Washington, DC, and Adjunct Professor, Dept. of Sociology, George Washington University. Prior to taking his present position, he was a Fellow of the Institute for Policy Studies in Washington, and of the Transnational Institute in Amsterdam. He holds a Ph.D. in City and Regional Planning from Harvard and served on the faculty there as well as at Yale, the University of North Carolina, Cornell, the University of California-Berkeley, American University, and Columbia University. His books include: Mandate for Change: Policies and Leadership for 2009 and Beyond (Lexington Books, forthcoming Jan. 2009); Housing Urban America (Aldine, 1973; rev. ed 1980); The World of the Urban Working Class (Harvard Univ. Press, 1973); Yerba Buena: Land Grab and

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Community Resistance in San Francisco (Glide, 1974); Housing and Social Policy (Prentice-Hall, 1975); Displacement: How to Fight It (National Housing Law Project, 1982); America’s Housing Crisis: What Is To Be Done? (Routledge & Kegan Paul, 1983); The Transformation of San Francisco (Rowman & Allanheld, 1984); Critical Perspectives on Housing (Temple University Press, 1986); Winning America: Ideas & Leadership for the 1990s (South End Press, 1988); Housing Issues of the 1990s (Praeger, 1989); Paradigms Lost: The Post Cold War Era (Pluto, 1992); Double Exposure: Poverty and Race in America (M.E. Sharpe, 1997); Challenges to Equality: Poverty & Race in America (M.E. Sharpe, 2001); Between Eminence & Notoriety: Four Decades of Radical Urban Planning (Rutgers University Center for Urban Policy Research, 2002); City for Sale: The Transformation of San Francisco (University of California Press, 2002); A Right to Housing: Foundation for a New Social Agenda (Temple University Press, 2006); Poverty & Race in America: The Emerging Agendas (Lexington Books, 2006); There Is No Such Thing As a Natural Disaster: Race, Class and Hurricane Katrina (Routledge, 2006); and, Pathways to Hope: An Agenda for Justice, Peace and the Environment (in preparation, Lexington Books, 2008). His articles have appeared in The Nation, Social Work, Virginia Law Review, Journal of the American Planning Association, University of Wisconsin Law Review, Progressive Architecture, The Utne Reader, The Village Voice, Encyclopedia of Social Work, Social Policy, Society, Dissent, Mother Jones, Planning, Yale Law Journal, Journal of Housing, The Progressive, Land Economics, The Gerontologist, Shelterforce, Clearinghouse Review, The Urban Lawyer, Journal of Urban Affairs, Public Welfare, Vanderbilt Law Review, Social Work, Journal of Public Health Policy, Seton Hall Law Review, Housing Policy Debate, University of North Carolina Law Review, The Encyclopedia of Housing, Civil Rights Journal, The Journal of Negro Education, Souls, and numerous other academic and popular journals and newspapers. Dr. Hartman is the founder and former Chair of the Planners Network, a national organization of progressive urban and rural planners and community organizers. He serves/has served on the Editorial Board of the Journal of Negro Education, Journal of Urban Affairs, Housing Policy Debate, Urban Affairs Quarterly, Housing Studies, and is a former Board member/Secretary of the National Low Income Housing Coalition. He has been a consultant to numerous public and private agencies, including the Department of Housing and Urban Development, the US Civil Rights Commission, Stanford Research Institute, Arthur D. Little, California Rural Legal Assistance, the Urban Coalition, the California

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Department of Housing and Community Development, and the Legal Aid Society of New York. Mahmood Hosseini was born on December 22, 1960 in Kashan, Iran. He started his academic studies in 1978 in the Civil Engineering Department of the Faculty of Engineering, University of Tehran, where he got his M.Sc. degree in Structural Engineering in 1986. He continued his studies and got his Ph.D. degree from the Islamic Azad University (IAU) in Structural Dynamics and Earthquake Engineering in 1991, as the first PhD graduate from an Iranian university in the “engineering field”. He joined academia in the same year and started teaching and conducting research in the field of Earthquake Engineering and related areas, including Lifeline Earthquake Engineering and Earthquake Risk Management. He was at Cornell University, USA, from June 2001 to September 2002 where he spent his sabbatical leave and taught two courses. He has authored or co-authored more than 130 conference papers, around thirty journal papers, about ten research reports, and five books, monographs, and conference proceedings. He is presently an associate professor in the International Institute of Earthquake Engineering and Seismology (IIEES), and a Board Member of the Center of Excellence on Risk Management there. He serves as a member on the Editorial Boards of a number of scientific journals, including the International Journal Seismology and Earthquake Engineering (JSEE), published quarterly by the IIEES. He is also a member of several Engineering Associations and Societies to which has been serving as the vice-director, treasurer, or board member. In addition to his academic assignments, he has been engaged in ‘engineering work’ since 1984, as either design engineer or technical inspector, and has the experience of working as the Project Manager in one of the regional programs of UNDP in Central and South East Asia with regard to Disaster Risk Reduction. Yasamin O. Izadkhah is an Assistant Professor in the Risk Management Research Centre, International Institute of Earthquake Engineering and Seismology (IIEES) in Iran where she has been working since 1990. She is also a Research Consultant in the Resilience Center at Cranfield University in the UK. In relation to her research activities, she has traveled widely to more than twenty-five countries around the world and has obtained certificates in various academic courses related to Disaster Risk Reduction issues. Her main fields of interest are children and disasters, risk education and training, school safety earthquake education, and

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general disaster awareness and preparedness. She is the author/co-author of more than sixty research papers presented and published in national and international conferences, bulletins and academic journals. She has contributed to various joint projects with UNDP, UNESCO and UNICEF. She is the author of a booklet “Earth, Science and Safety”, a joint project of IIEES, UNDP, and UNESCO in 1998. She is also the co-author of the book “Guidelines on Earthquakes and Safety for Kindergarten Teachers”, published in May 2007. She has experience in major earthquake situations such as Izmit, Gujarat, Bam and South Asian Tsunami. Yasamin also lectures in Disaster Education, Public Awareness and Disaster Case Studies in the UK and Iran. Diane Levin, PhD, is a professor of education at Wheelock College. She has taught early childhood education and human development courses for over twenty-five years. An internationally recognized expert, she helps professionals and parents understand and deal with the effects of violence, media, and commercial culture on children. She is the author or coauthor of eight books including: From Conflict to Peace Building: Lessons from Early Childhood Programs around the World; The War Play Dilemma: What Every Parent and Teacher Needs to Know; Teaching Young Children in Violent Times: Building a Peaceable Classroom; and Remote Control Childhood? Combating the Hazards of Media Culture. Her newest book, So Sexy So Soon: The New Sexualized Childhood and What Parents Can Do to Protect Their Kids was released in August 2008. Levin has consulted for the ACT against Violence Program at the American Psychological Association and for Consumer Report’s annual toy review article. She co-wrote “The ‘So Far’ Guide for Helping Children and Youth Cope with the Deployment of a Parent in the Military Reserves” and has developed a violence prevention training course for childcare providers in the state of Maine. At Wheelock, she organizes an annual service-learning program in Northern Ireland which explores how to promote children’s healing in communities affected by conflict and violence. Levin has been an Advisor for four PBS Parents’ Web site guides, including “Understanding and Raising Girls,” “Talking to Kids about War and Violence,” and “The Parents Guide to School.” She is a co-founder of the Campaign for a CommercialFree Childhood (CCFC), which works for an end to the commercial exploitation of children and Teachers Resisting Unhealthy Children’s Entertainment (TRUCE), which helps parents deal with the impact of media and commercial culture on their children.

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Evelin G. Lindner is a social scientist with an interdisciplinary orientation. She holds two PhDs, one in medicine and a second in psychology. She is the Founding Director and President of Human Dignity and Humiliation Studies (HumanDHS, http://www.humiliationstudies .org), a global transdisciplinary network of academics and practitioners who wish to promote dignity and transcend humiliation. Details of her personal background and work are to be found on http://www. humiliationstudies.org/whoweare/evelin.php. Lindner is the recipient of the 2006 SBAP Award. Her book Making Enemies: Humiliation and International Conflict was published by Praeger/Greenwood in 2006, and honored as Outstanding Academic Publication in the 2008 list of the journal Choice. Lindner designs her life as a global citizen in order to be able to develop HumanDHS globally. She teaches as guest professor wherever her path leads her on all continents, among others, at universities in Norway (University of Oslo, and Norwegian University of Science and Technology (NTNU) in Trondheim), the Columbia University Conflict Resolution Network in New York, and the Maison des Sciences de l’Homme in Paris. She has taught, for example, in Japan (International Christian University, and Rikkyo University, Tokyo), Israel (Hebrew University, Jerusalem), Australia (Queensland University), or Costa Rica (United Nations-mandated University for Peace). Lindner began with her work on humiliation in 1996/1997, with her doctoral research on the genocidal killings in Rwanda (1994), and Somalia (1988), on the backdrop of Nazi-Germany. She defended her dissertation entitled The Psychology of Humiliation: Somalia, Rwanda/Burundi, and Hitler’s Germany in 2001. Since then, she has expanded her studies, among others, in Europe, South East Asia, and the US. She is currently building a theory of humiliation that is transcultural and transdisciplinary, entailing elements from anthropology, history, social philosophy, social psychology, sociology, and political science. In 2001, Lindner set out to develop Human Dignity and Humiliation Studies (HumanDHS, http://www.humiliationstudies.org). This network has since grown to approximately 1,000 invited members from all over the world, with the website enjoying more than 80,000 page views (of average two minutes) from 183 countries during the year of 2007. The HumanDHS members believe that the sustainability of social cohesion and ecological survival requires a focus on human dignity, implemented with a mindset of cooperation and humility, rather than disrespect and humiliation. HumanDHS researchers and practitioners attempt to create public awareness for the destructive effects of

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humiliation, and to promote alternative approaches that generate and embody human dignity and respect. The central human rights message is expressed in Article 1 of the of the Human Rights Declaration, which states that every human being is born with equal dignity (and ought not be humiliated). At the current point in human history, this ideal requires concerted action to be implemented, not just in the field of legal regulations, but in every sphere of human life, including architecture and the way we create our built environments. After disasters, communities are prone to suffer violations of dignity in numerous ways; however, disasters also offer a chance to implement novel solutions that highlight attention to human dignity as never before. Myra Margolin is a doctoral student in Community Psychology. Her research focuses on participatory video as a tool to amplify the voices of those who do not have a say in issues and decisions that impact their lives. Currently, she is working with young women who have had recent involvement with the juvenile justice system. In the past she created collaborative, personal documentaries with teenagers in southern Brazil and taught documentary and animation production to children and teens in Chicago. In 2004 she created an informed consent video for a study on HIV in women in Kigali, Rwanda. Myra holds a BFA in film and video production from New York University. Her films have been shown on PBS and at film festivals throughout the US. Cecile de Milliano is currently a Marie Curie PhD research fellow in the Humanitarian Action and Conflict Studies Network (HUMCRICON) at the University College Dublin (UCD, Ireland). She holds a degree in Master of Science and a degree in Master of Arts in Humanitarian Action. Her master in science was completed in 2005 at the faculty of ‘Social and Behavioural Science’ at the University of Groningen. She participated in a research project for the Dutch Ministry of Education at the University of Helsinki (Finland), and specializes in gender equality. Ms. de Milliano’s strong interest in theories and concepts on natural and man-made disasters, was the reason for choosing for the masters in ‘Humanitarian Action’ (NOHA) in 2005. This International master’s degree was pursued at three different universities in the Netherlands, Ireland and South Africa and allowed her to focus on policies of humanitarian action and disaster risk reduction. She gained practical experience through an internship at the United Nations Children’s Fund (UNICEF) in Zimbabwe in 2006 and through a position as project manager at a fundraising organization for NGOs in the

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Netherlands in 2007. Thereafter, over a seven-month period Ms. de Milliano performed an evaluation for a network of eleven organizations, on the definition and affects of child participation in an informal urban settlement in Ecuador. Finally in March 2008 Cecile de Milliano started her PhD research at the University of Groningen (the Netherlands), which aims to get a deeper understanding of children’s resilience to natural hazards. Philippe Régnier is a full professor in the School of international development and global studies at the University of Ottawa, Canada. Until mid-2008, he was a full professor at the Graduate Institute of International and Development Studies in Geneva, Switzerland, where he was the director of its Centre for Contemporary Asian Studies for twelve years. His research work deals with the socio-economic development of emerging countries (in Asia), with the role of private sector and development finance (including ethics and corporate responsibility), with the economics of small and medium-sized enterprises in developing countries, and more recently with South-South economic and financial cooperation, and with post-natural disaster livelihood and economic recovery in developing countries. Russell K. Schutt is Professor of Sociology at the University of Massachusetts, Boston, where he has also served as Chair and Graduate Program Director and where he received the 2007 Chancellor’s Award for Distinguished Service. Since 1990, he has also been a Lecturer on Sociology in the Department of Psychiatry at the Harvard Medical School, where he conducts research on mental health services and psychiatric disability. His primary research foci are organizations and work, mental health services, and legal processes; he is also an expert on the application of social science research methods. His research on organizations and work has focused on subjective reactions to work and the organization of work in settings ranging from mental health, public health and public welfare agencies to homeless shelters, vocational rehabilitation programs and the construction trades. His research in mental health services has examined the effects of the social environment on neurocognition, the housing preferences of homeless mentally ill persons and their correspondence to clinician preferences, and influences on housing loss. He is the author of a leading social science research methods text, Investigating the Social World: The Process and Practice of Research, now in its fifth edition, and three

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Contributors

coauthored derivative versions for other disciplines. He is also author of Organization in a Changing Environment: The Unionization of Welfare Employees, coeditor of The Organizational Response to Social Problems, and coauthor of Responding to the Homeless: Policy and Practice. In addition, he has authored and coauthored more than 50 journal articles and book chapters on homelessness, mental health, organizations, law, and teaching research methods. His recent research projects include a National Cancer Institutefunded study of community health workers’ orientations to cancer clinical trials, co-directing a multi-method investigation of case management in the Massachusetts Women’s Health Network program, leading a large expert panel charged with improving that program, and studying long-term effects of housing experiences among persons with chronic mental illness. His recent scholarly articles have focused on the impact of housing, vocational, and service options on the functioning of persons diagnosed as severely mentally ill and on the housing preferences and recommendations of homeless persons and service personnel. He has also studied decision making in juvenile justice and in union admissions, processes of organizational change; media representations of mental illness; and HIV/AIDS prevention. Russell Schutt completed his BA, MA, and PhD at the University of Illinois at Chicago and was a Postdoctoral Fellow in the Sociology of Social Control Training Program at Yale University. Gregory D. Squires is a Professor of Sociology, and Public Policy and Public Administration at George Washington University. Currently he is a member of the Board of Directors of the Woodstock Institute, the Advisory Board of the John Marshall Law School Fair Housing Legal Support Center in Chicago, Illinois, and the Social Science Advisory Board of the Poverty & Race Research Action Council in Washington, D.C. He has served as a consultant for civil rights organizations around the country and as a member of the Federal Reserve Board’s Consumer Advisory Council. He has written for several academic journals and general interest publications including Housing Policy Debate, Urban Studies, Social Science Quarterly, Urban Affairs Review, Journal of Urban Affairs, New York Times, and Washington Post. His recent books include Insurance Redlining (Urban Institute Press 1997), Color and Money (with Sally O’Connor–SUNY Press 2001), Urban Sprawl (Urban Institute Press 2002), Organizing Access to Capital (Temple University Press 2003), Why the Poor Pay More: How to Stop Predatory Lending (Praeger 2004), Privileged Places: Race, Residence and the Structure of

Contributors

447

Opportunity (with Charis E. Kubrin—Lynne Rienner, 2006) and There is No Such Thing as a Natural Disaster: Race, Class, and Hurricane Katrina (with Chester Hartman—Routledge, 2006). Richard Williams has been a child and adolescent psychiatrist for thirtythree years and a strategic leader and manager with responsibilities for developing, implementing or monitoring aspects of health services’ policy, design, delivery and governance for the last 17 years. He is the Professor of Mental Health Strategy in the University of Glamorgan, Honorary Professor of Child and Adolescent Mental Health in the University of Central Lancashire, and a Consultant Child and Adolescent Psychiatrist with Gwent Healthcare NHS Trust. Richard Williams is also Scientific Adviser on Psychosocial and Mental Health and Disasters to the Department of Health in England and the Lead Officer of the Royal College of Psychiatrists for Disaster Management. He is Special Adviser on Child and Adolescent Mental Health to Welsh Assembly Government and chairs the Ethics Committee of Welsh Assembly Government’s Healthcare Standards Advisory Board. His recent research and writing is in healthcare policy and strategy, service development, clinical governance, professionalism, and user and carer participation in service design, continuing professional education. Richard Williams has had a special interest in disaster health and psychosocial care for more than twenty years and much of his current work is on the psychosocial impacts of trauma, terrorism and conflict. He is an Advanced Trauma Life Support Instructor for the Royal College of Surgeons of London, and a member of the Board of Examiners of the Worshipful Society of Apothecaries of London for the Diploma in the Medical Care of Catastrophes. He is a member of the Department of Health’s Emergency Planning Clinical Leadership Advisory Group and advises the government in England on managing major incidents, psychosocial resilience, post-incident recovery, and models of postdisaster psychosocial and mental healthcare. He is also advising NATO’s Joint Medical Committee on psychosocial resilience and models of care for managing the psychosocial aspects of disasters. He is a member of the English government’s Committee on the Ethical Aspects of Pandemic Influenza, has been advising the Department of Health on developing its guidance on mental healthcare services during a pandemic, and is a member of the Pandemic Influenza Clinical and Operational Advice Group that is chaired by the Chief Medical Officer for England.

448

Contributors

Jonathan T. Wortmann is an advisor, speaker, and co-author of Mastering Communication at Work: How to Lead, Manage, and Influence (2009). He was trained at Harvard University and has consulted with educational, non-profit, startup, and Fortune 100 organizations. He is principal at Muse Arts, LLC, a think tank and consultancy for leaders.

INDEX 9/11 (see September 11, 2001) Abdallah, Mansour, Lebanese Ambassador to Liberia 248 Abu Ghraib prison, Iraq 344 Aceh 106, 108–109, 111–13, 115–18 (see also Sumatra-Andaman earthquake) Addis Ababa, Ethiopia 268 Afghanistan 20, 95, 97, 104, 269 Africa 95, 187, 210, 215, 239–276, 335, 344, 347–8, 354 African Union Commission 268 African-Americans 17, 20, 30, 32–33, 37, 62, 71, 160 Alabama 165 Alaska 168, 171, 291 Alinsky, Saul 51 American Academy of Pediatrics 177 American Society of Civil Engineers 7–8 Annie Casey Foundation 59 Anti-Discrimination Warning System 366 Asian Tsunami — see Sumatra-Andaman earthquake Aspen Institute on Comprehensive Community Initiatives 54 Asthma 29, 46, 164 Atlanta, Georgia 299 Attorney General of the Commonwealth 57 Baer, Ishmael 263 Banda Aceh — see Aceh, Sumatra-Andaman earthquake Bangladesh 120 Barry, David 6–7 Barry, John 3–5, 8–9 Beijing Platform for Action 13 Belafonte, Harry 40 Berlin Wall, the 31, 37 Bloomberg, Michael, Mayor of New York City, 51 Bogotá, Colombia 278–79 Bosnia and Herzegovina 371 Boxing Day Tsunami — see Sumatra-Andaman earthquake Brazil 72, 257, 358n, Bryant, Gyude, President of Liberia 252 Budapest, Hungary 364 Buffalo Creek disaster (1973) 3–5, 9–11 Bulgaria 359–60, 371 Burma 337, 342 Burundi 210, 336 Bush, George Walker, President of the United States 168, 294, 311

450

Index

Cairo, Egypt 336 California 161, 291, 303, 308, 312, 314, 318, 321–22, 329, 330n–32n Canada 72, 257, 300n Canadian International Development Agency 13 Cannabis — see Marijuana Cantal-Dupart, Michel 40 CARE International 335 Caribbean, the 173 Caritas 112 Carter, James, President of the United States 51 Center for Rebuilding Sustainable Communities after Disasters (University of Massachusetts, Boston) 335, 337 Central Congregational Church 62 Central European University (CEU) 366 Challenger disaster 4 Charles Taylor, President of Liberia 239, 252–53 Charlotte, North Carolina 299 Charter on Violence against Women Post-Tsunami 16 Chattanooga, Tennessee 299 Chicago, Illinois 10, 72 Great Fire of 1871 159 Heat wave of 1993 3, 6–7 Water and Sewage Treatment System 7 Children 14, 16, 18–23, 26–7, 34, 36–7, 43, 45–6, 48–50, 55, 57–8, 61–2, 64, 69– 81, 84–5, 89, 94, 104, 132, 141, 146, 151–235, 259–76, 278–9, 305, 340, 356, 363–4, 366 Child Soldiers 207–22, 259–276 China 55, 315, 335 Earthquake in May 2008 176 City Life is Moving Bodies (CLIMB) 40 Civil war 118, 259 In Lebanon 243 US Civil War 64 Cleveland, Ohio 291 Climate change 13, 119, 305. See also Global warming Clinton, William Jefferson, President of the United States 36, 294 “Coastal Women for Change” 20 Cocoanut Grove fire (1942) 136 Colombia 268–69, 277–286 Colombian Institute of Family Welfare, the (ICBF) 278 Villavicencio, Colombia 279–80 Columbia disaster 4 Columbia University School of Public Health 164, 168 Committee of Donor Agencies for Small Enterprise Development 109 Communism 209, 219, 359, 361–62 Community Action Program, the 368

Index

451

Community Loan Fund, the 56–58 Community organization 17, 22, 43, 50–1, 65, 72, 178, 180 Conflict resolution 15, 260 Costa, Antonio Maria 269 Cote D’Ivoire 243, 250, 253 Council of Europe, the 371 Council of Europe Development Bank, the 371 Cocaine 29, 45, 264, 269 Cuba 173, 175 Havana 175 Cyclone Nargis (2008) 342 Cyprus 359 Czech Republic 359, 371 Decentralized energy assets 290, 296–9 Democratic Republic of Congo 210, 218 Depression 10, 96, 125–6, 128, 133 Deutsch, Morton 348 Disabilities, persons with 16, 28, 85, 89 Disaster Mitigation Institute 24 Division for the Advancement of Women 13 Doe, Samuel K., President of Liberia 245–6, 252 Drought 4, 171, 186, 292 Drugs 34–35, 59, 195, 248, 264, 268, 274, 277n. See also Cocaine, Marijuana Dustbowl, the 159 Eads Bridge 7 Earthquakes 70, 89,114, 117, 136, 171–2, 174, 177, 186, 223–35, 298, 305. See also individual incidents Earthquake-resistant housing 27, 172 Education 7, 17, 19, 27–28, 32, 43–44, 51, 53, 55, 83, 89, 90–4, 123, 130, 141, 159–62, 167, 169, 176 Egypt 335–36, 345 Elderly, the 6, 11, 17, 28, 61–2, 83, 85, 174, 330n Ellen Johnson Sirleaf, President of Liberia 239, 246, 254–5 Emergency Community Health Outreach (ECHO) 92 Emergency management agencies 19. See also Federal Emergency Management Agency (FEMA) Emergency preparedness 13, 16–7, 20, 83–94, 119–20, 123, 141, 145, 171–3, 175, 178–80, 225, 266, 291, 339 Emergency services 89, 92–3, 139, 143–4, 298 Environmental disasters — see Natural disasters) Environmental Protection Agency (EPA) 311, 318, 332n EQUAL Initiative, the 367 Erikson, Kai 3, 5–6, 9–11, 351 Estonia 359 Ethnicity 5, 17, 22, 27, 32, 48–9, 72, 87, 90, 210, 215, 240–58, 359–373. See also Race, Racism

452

Index

EU Structural Funds 367 European Roma and Travellers Forum 371 European Roma Information Office 367, 369–71 European Roma Rights Center 365–6, 369–71 European Social Fund (ESF) 368 European Union (EU) 356, 358n, 359–61, 363, 367–70, 372 Faith 7, 27, 39, 72, 84, 133, 250, 368 as a factor in recovery from disaster 43–67, 92, 191 Family networks as a factor in survival of and recovery from disaster 9–10, 19, 39, 48, 130, 131–2, 138, 146, 180–81, 183, 191, 203 Famine 4 Federal Emergency Management Agency (FEMA) 8–9, 11, 18–9, 61, 159, 165–6, 225, 234–5, 306, 318, 328 Financial Crisis of 2009, the 159 Flooding 3–6, 8–11, 19, 59, 64, 159, 172, 182, 298 Florida 161, 165 Fogo Island, Newfoundland, Canada 72 France 177, 336 G8, the 349 Gangs 33, 45, 59, 72, 195 Gender 5, 13–28, 54, 71–2, 131, 203, 208, 363 and violence 259–276 Gender and Development Network 23 Gender and Disaster Sourcebook 23 Gender and Disaster Network 13 Geneva, Switzerland 107n Geneva Convention (1949) 207, 212, 218 Additional Protocol I and II (1977) 207, 212–3, 218, 222 Genocide 70–1, 242 Georgia (US) 161 Atlanta 299 Germany 336, 346 Gingrich, Newt (former Speaker of the House, US) 299 Global warming 225, 295, 299n, 303–6, 308, 314–15, 318, 350. See also Climate change. Government 4–5, 24, 26–7, 31–2, 36–7, 50–3, 55–6, 59, 64–5, 72, 84, 87–9, 95–6, 98–9, 100, 102, 110–2, 114–5, 117, 120, 141, 148, 159, 165, 167, 169, 176–8, 193, 207, 209–12, 214, 219–21, 222n, 239–46, 250–6, 263, 268, 271, 277n, 278, 283, 289, 293, 297–8, 305–6, 308–10, 318–9, 322, 329–30, 332n, 340, 344, 351, 359–73 Great Depression, the 159 Green Communities Act (2008) (Massachusetts) 308, 312, 320–1, 324, 326–9, 331n Guayaquil, Ecuador 185–205 Gujarat 114–5, 117 Gulf Coast Hurricanes — see Hurricanes

Index

453

Habitat for Humanity 60 Habitat for Humanity International 62 Habitat Chapter of New Orleans (NOAHH) 62 Health 15–9, 22–3, 24, 27–8, 31, 33, 35, 37, 39, 41, 43, 53–5, 83–85, 87–92, 94, 116, 130–1, 133–4, 137, 142, 144–7, 156, 160–1, 163 as impacted by disaster 18, 123–4, 127–8 reproductive 14, 18–9, 28 HIV/AIDS 23, 45–6, 261, 265–6, 269. See also Health Home Owner’s Loan Corporation (HOLC) 31 Homelessness 34–6, 43, 46, 62, 83, 85, 92, 164, 166, 362, 364 Hoover, Herbert, President of the United States, 8 Housing — see Shelter Human rights 13–28, 196–7, 211–2, 218, 260, 269, 277, 337–8, 341–59, 371 Hungary 359–73 Hurricanes 3–5, 45, 70, 159, 163, 167, 173–4 Andrew (1995) 10, 19 Georges (1996) 175 Gustav (2008) 63–4, 301n Ike (2008) 289, 291, 299, 301n Isabel (2003) 173 Katrina (2005) 4–5, 8, 10–1, 13–4, 17–8, 20–23, 44, 59–60, 62–4, 70, 74, 79, 122, 159–169, 172–3, 289, 291, 299, 305, 339 Rita (2005) 3, 161 Stan (2005) 174, 183, 225, 291, 292, 296, 298, 305, 350 Immigrant populations 9, 31–2, 53, 55, 85, 83–94, 239–258 Indian Ocean tsunami (see Sumatra-Andaman earthquake) Indonesian Tsunami (see Sumatra-Andaman earthquake) Industrial Areas Foundation 51 Influenza (flu) 90, 93–4 International Federation of Red Cross and Red Crescent Societies — see Red Cross and Red Crescent respectively. International Committee of the Red Cross (ICRC) — see Red Cross International Federation Terre des Hommes (IFTdH) 105n International Finance Corporation 109 International Institute of Earthquake Engineering and Seismology (IIEES) 224, 226, 229–30, 233 International Labor Organization (ILO) 207, 212, 215, 218 Iran 177, 224–5 Iraq 20, 95, 97, 104, 344 Italy 105, 109–10, 186 Jafna, Sri Lanka 109 Junior-Senior Enterprise program 55, 57 Katrina — see Hurricanes Kazakhstan 104 Kenya 336 King, Charles, President of Liberia 245

454

Index

Kitgum, Uganda 263 Klein, Joel, Schools Chancellor of New York City 51 Kyrgyzstan 104 Langi, Simeulue island (Indonesia) 174 Latvia 360 Lebanon 239–258 Legal Defense Bureau for National and Ethnic Minorities 370 Lesbian, Gay, Bisexual, Transgender, Intersexual, Queer and Questioning community (LGBTIQQ) 18, 84 Liberia 239–258, 262, 265 Lima, Peru 349 Lithuania 359 Looting 11, 250, 253, 261 Lord’s Resistance Army, the (Uganda) 261 Louisiana 43, 122, 159–169, 291. See also Hurricanes New Orleans 4–8, 17, 20, 43–5, 59–64, 66, 70, 74, 122, 159–69, 305–6, 339 Ninth Ward 60, 62, 74 Macedonia 371 Madrid, Spain 125 2004 train bombings 124, 137 Malawi 95 Malta 359 Mandela, Nelson 344, 349, 356 Manhattan — see New York City Manizales, Colombia 278, 280 Man-made disasters 15, 70, 120, 123, 171, 259, 289–301, 303–32, 338–9 Marijuana (cannabis, pot) 264 Mead, Margaret 356 Mental health 19, 22, 27–8, 39, 46, 84, 86–7, 121–4, 126, 128, 131, 133, 135, 144– 7, 164, 169, 181, 183–4, 366. See also Depression, PTSD, Shock, Suicide Metropolitan Transport Authority of New York City (MTA) 51 Ministry of Agriculture and Rural Development (Hungary) 364 Ministry of Education (Colombia) 280, 283 Ministry of Education (Hungary) 366 Minorities 10, 16–7, 22, 32–3, 35, 59, 87, 121–3, 137, 142, 144, 147, 240–4, 254, 257, 327, 359–60, 362, 370 Mississippi 3–10, 165 great flood (1927) 3–8, 159 Montenegro 371 Mozambique 120, 176 Mumbai (2008 attacks on) 76 Næss, Arne 336–7, 357n National Commission on Children and Disasters 159, 168–9 National Guard, the (US) 9, 11 National Transitional Government of Liberia 244, 246, 252

Index

455

Natural disasters 3–11, 12, 14, 70, 115, 129, 171, 176, 180, 186, 225, 259, 269, 290, 296, 318, 328–9, 339, 355 Nepal 86–7, 90, 177, 207–22 New Orleans — see Louisiana New York City 29–30, 33, 35, 40, 122, 124–5, 164 Attacks on, see September 11, 2001 Brooklyn 31 Brooklyn Bridge 7 Bronx 38, 43–52, 64, 66 Manhattan 29–30, 39–40, 70, 184 rapid-transit lines 7 New York State Energy Research and Development Agency (NYSERDA) 321–2 NGO Coordination and Resource Centre (NCRC) 117 NGOs 104, 108–12, 19, 101–2, 105, 107, 109–10, 112–9, 173, 177, 190, 192, 194, 198, 200–1, 207–22, 256, 344, 353, 366–7, 370, 373 Nigeria 250, 263 Non-English speaking groups 86 North American Trade Organization (NATO) 123, 125, 127–8, 144–5 North Korea 337 Northeast power blackout (US) (2003) 289–90, 300n Norway 214, 336, 343 NYC Recovers 39 Obesity 29, 46 Oxfam America 173–5 Pakistan-Kashmir earthquake (2005) 3 Panama Canal 7 Pearl Street Station (1882) 296 Plague 4 Poland 359 Politics 16, 21, 23, 71, 309, 346, 362 Post-traumatic stress disorder (PTSD) 29, 71, 124–8, 153, 350–1 Pot (see Marijuana) Poverty 18, 26, 43–67, 88, 109, 115, 156, 186, 209, 215, 216, 259, 285, 346–7, 350, 356, 359–60, 362–3, 366, 368, 371–2 Project Liberty 39 Prostitution 18, 48, 264 Psychological effects of disaster 10, 71, 75, 121–148, 175, 179, 181, 208, 242, 266–68, 281, 301n, 336, 341, 348, 354–6. See also Depression, Mental health, Post-traumatic stress disorder (PTSD), Shock, Suicide Psychological First Aid (PFA) 145 Public Utilities Regulatory Policy Act (PURPA) (1978) 293 Public Utility Holding Company Act (PUHCA) 292 Puerto Rico 46 Public Health Reports: Focus on Healthy Communities (2000) 94 Race 5, 9, 17, 72, 78, 85, 162–3, 368 Racial discrimination 48, 160, 216–7, 269, 359, 360–73

456

Index

Racial Equality Directive, the 2000/43/EC 368 Rape 18, 71, 264–6, 273 As a weapon of war 71, 208, 261, 265 Realpolitik 347 Red Crescent 105n, 106 Red Cross, the 8, 61, 84, 105n, 106, 177, 249 Religion – see Faith Renewable energy 289–301, 303–332 Richardson, Bill 294 Rockefeller Foundation 53 Roma, the 359–373 Romania 359–60, 371 Rome Statute of the International Criminal Court (1998) 212–13 Rwanda 71, 210, 336, 353 San Francisco Earthquake and Fire (1906) 159 San Jose Costa Rica, El Salvador 174 Santa Fe, New Mexico 29 Save the Children 168, 177–9, 208–9, 214 Security issues as affected by disaster 13–5, 22, 106, 122–3, 209, 216, 242, 340 Shock 96, 106, 140 September 11, 2001 70 Sexually transmitted diseases 261, 265–6 See also HIV / AIDS Shelter 16–22, 24, 26, 28, 38, 46, 75, 83, 85–6, 108, 112, 116–7, 164, 183, 224, 230, 353–4 Sierra Leone 210, 241, 248, 262–76, Slovakia 259–60, 371 Social networks as a factor in recovery 20, 24, 27, 118 Somalia 210, 335–6, 354 Somerville, Massachusetts 83–94 Community Action Agency of Somerville (CAAS) 85 Spain 186, 371 Special populations (see also non-English speaking groups, homeless, immigrant populations, women, elderly, children, LGBTIQQ, disabled people) 22, 83– 94 Sri Lanka 109, 118, 178 Sudan 241, 337 Suicide 164, 260 Sumatra, Indonesia 109, 117, 173 Sumatra-Andaman earthquake (Indian Ocean tsunami, Boxing day tsunami, Aceh tsunami) 3, 7, 16, 109, 112 Switzerland 105, 109, 336 Tajikistan 95, 104 Tamil Nadu, India 108–9, 112, 114, 116–7 Technological disasters 11, 16, 289–332 (see also Columbia disaster, Challenger disaster, Northwest blackout) Tehran, Iran 226, 230, 232

Index

457

Texas 55, 161, 165, 291, 295, 300 Treaty of Amsterdam (1997) 368 Tsunami Evaluation Coalition (TEC) 105 Tuberculosis 29 Turkmenistan 104 Tutu, Desmond 348 Twin Towers — see September 11, 2001 U.S. Navy, the 8 Unemployment 25, 27, 54, 255, 282, 362–3 United Kingdom (UK) 122, 125, 147, 176, 268 2007 summer floods 122, 139, 147 July 7 London Bombings 122–3, 137–8, 143–4, 146 United Nations (UN) 19, 112, 214, 220–1, 222n, 241, 256, 264, 268, 330n, 349, 351 Children’s Fund (UNICEF) 207–8, 213, 214–7 Committee to End Discrimination against Women (CEDAW) 13, 19, 365 Convention on the Rights of the Child (UNCRC) (1989) 73, 188 Development Fund for Women (UNIFEM) 16 Development Program (UNDP) 16, 110, 112–3, 117, 353, 371 Cash for Work Program 113, 115, 117 General Assembly 338 Guiding Principles on Internal Displacement 18 International Strategy for Disaster Reduction (UNISDR) 21, 173, 175–6 Hyogo Framework for Action 173 Mission in Nepal (UNMIN) 218–9 Office on Drugs and Crime (UNODC) 269 Security Council 214 Resolutions 1261 (1999) 212 1314 (2000) 212 1325 on Women, Peace and Security 13 1379 (2001) 212 1460 (2003) 212 1539 (2004) 212 1612 (2005) 212 United States (US) 16–7, 29, 31, 37, 64, 83–5, 87, 89, 112, 122, 132, 153, 159, 161, 166, 173, 177, 186, 215, 225, 240–1, 268, 290–1, 294, 300n, 303–4, 306–8, 316, 325, 329, 336, 358n Department of Education 160 Department of Energy (DOE) 291, 310, 318, 324, 326, 332n Department of Homeland Security 306 United Way of America 59 Universal Declaration of Human Rights (UDHR) 338 University of Orange, the 40 Uzbekistan 104 Virginia 294, 296

458

Index

Violence 32–3, 36, 96–7, 111, 151–157, 162, 171, 180, 208, 241, 243, 259–76, 334–5, 338 domestic 16, 18, 20, 22, 28, 83, 86, 152, 156, 165, 343, 345 drug-related 29, 34 gender-based 14, 16, 18, 28 poverty-related 44, 163 racial/ethnic 17, 30, 32, 163, 240–44, 247, 250, 253 War 4, 14, 19, 40, 64, 70–1, 118, 144, 147, 151, 153–5, 171, 180–1, 207–22, 239– 86, 292, 340, 354 West Bank, the 155 Women 13–28, 46, 48, 83, 96–7, 131, 154, 167, 175, 203, 205, 207–9, 216, 251, 259–76, 278, 340–1, 343, 345, 363, 365, 367, 371 Reproductive health 14, 18–9, 28, 265, 365 Women’s groups 17, 19–20, 22, 24, 26, 28, 97, 263 Worcester, Massachusetts 43–4, 52–9, 64, 66 Working Group on Children Associated with Armed Forces and Armed Groups (CAAFAG Working Group) 210, 214–5, 217, 219–22 World Bank 109, 112, 247, 347, 360, 363, 371 World Trade Center – see September 11, 2001 attacks World War I 292 World War II 147, 153, 155, 303 Zimbabwe 337