Understanding Resilience in Food Security Shocks

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Enhancing Resilience
Enhancing Resilience
to Food Security Shocks
to Food Security Shocks
 
 
“...the ability of individuals, households, communities or systems to bounce back or
recover following a shock or stress, and build positively on this experience.”
      
Frankenberger et al. 2007
“…the capacity to anticipate, manage, adapt to, cope with, and recover from risks to
livelihoods…the capacity of a system to absorb a disturbance and reorganize so as to
still retain essential functions, structure, identity and feedbacks.”
      
    FAO/WFP/UNICEF 2012
“…the ability of countries, communities, and households to manage change, by
maintaining or transforming living standards in the face of shocks or stresses – such
as earthquakes, drought or violent conflict – without compromising their long-term
prospects.”
       
           DFID 2011
 
Defining Resilience
Defining Resilience
 
Continuous cycles of crisis in the Horn of Africa, the Sahel, south Asia;
not enough time to fully recover between shocks
Crises not the result of weather-related events 
only
; complex
interactions between political, economic, social and environmental
factors
Conflict and chronic poverty in many regions magnifies the impact of
drought and other shocks
Recent drought crises in the HoA and the Sahel exposed shortcomings of
international aid practices and national/regional policies
 
 
Why ‘Resilience’?
Why ‘Resilience’?
 
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e.g., survive, cope, recover,
learn, transform
 
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e.g., ability to deal
with disturbance
 
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e.g., natural
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e.g., social,
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TANGO 2012. Adapted from DFID Disaster Resilience Framework (2011) , TANGO Livelihoods Framework (2007), DFID Sustainable Livelihoods Framework (1999) and CARE
Household Livelihood Security Framework (2002)
 
(-)
 
( + )
 
Understanding of the Conceptual
Understanding of the Conceptual
Framework for Resilience
Framework for Resilience
 
Resilience: a new paradigm for
Resilience: a new paradigm for
development
development
 
Given: natural disasters, conflict, price increases, political instability and
                   other stresses/shocks are likely to continue
Consensus: temporary shocks should not have permanent adverse
                            consequences for vulnerable households
New Paradigm: humanitarian emergency assistance and longer-term
                                  development programming can and should be further
integrated with the common goal of helping people
anticipate, cope with and respond positively to
changes/shocks and avoid future disasters.
 
It requires:
Projects implemented at scale and over long timeframes in order to
have lasting impact.
Projects that empower communities, i.e., promote community
engagement, solidarity, ownership of resources, and capacity to
organize.
A shift from humanitarian responses to longer-term responses that
build capacity to cope with current and minimize future stresses and
shocks.
Mechanisms for long-term funding (e.g., sequencing, layering, pre-
positioning).
Healthy ecosystems and effective governance structures.
 
 
 
 
 
Resilience is a 
Resilience is a 
process
process
 
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Integrated and complementary partnerships, networks and
strategies
Formation of mutually advantageous partnerships among a range of actors
(
communities, civil society, academic research institutions, government and the
private sector) 
with complementary capacities and skills
Achievement of sustainable impact through adequate scale
and duration
Strengthening linkages between local, national, regional and international levels and
implementing multi-sectoral resilience strategies over a period of 7-10 years.
Promotion of healthy ecosystems
Adoption of ecosystem-based planning, payment for environmental services, farmer-
managed natural regeneration, and other climate-smart agricultural practices.
 
Common Characteristics of Resilience
Common Characteristics of Resilience
Programming - continued
Programming - continued
 
Effective formal and informal governance
Commitment to representative, responsive, transparent and accountable
governance structures, inclusive and participatory decision making, and resolution
of conflicts/power imbalances.
Gender equity
Creation of opportunities for women to control resources, diversify livelihoods,
acquire education and skills training, and achieve greater influence in problem
assessment, development planning and policy formulation
Social Protection
Provision of reliable food and non-food (cash, vouchers) transfers to enable
vulnerable households to cope with temporary shocks and make investments in
longer-term food and livelihood security
 
Core Principles for Resilience Programming
Core Principles for Resilience Programming
 
Support a transition, over time, in the balance of effort and resources 
from
humanitarian assistance toward disaster risk management, climate change
adaptation, livelihood diversification, and social protection.
Recognize/respond to different needs, abilities, and aspirations 
of vulnerable
groups (e.g., women, children, elderly, disabled, orphans)
Support greater investment in human capital 
to enable households to maintain
health, diversify livelihood options and exercise their individual and collective
rights.
Enable community participation 
by identifying and engaging customary
institutions and valuable forms of traditional knowledge for coping with climate
variability, conflict, and food insecurity.
 
 
Facilitate livelihood diversification 
through improved access to public and
productive infrastructure (roads, markets, water infrastructure, power, etc.), access
to financial services and greater participation in markets.
Utilize a broader range of assistance modalities
, including (but not limited to)
distribution of cash and/or vouchers.
Strengthen smallholder access to and participation in value chains 
through
creation of market infrastructure, greater access to price information, and
provision of assets and financial services.
Look for means of engaging the private sector 
in order to complement donor
funding and provide market incentives for investment in livelihoods.
Contribute to improved knowledge management 
by ensuring that evidence gained
through comprehensive and consistent monitoring and evaluation is reflected in
improved policy and project design
 
 
 
Core Principles for Resilience
Core Principles for Resilience
Programming – continued
Programming – continued
 
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Community Challenges
-
Environmental degradation
-
Insecure rights of access to and use of natural resources (land, water)
-
Imbalanced power relations in prevailing social structures
-
Gender inequality
Government Challenges
-
Ineffective policies and strategies
-
Lack of political will
-
Corruption
Donor Challenges
-
Lack of flexible and timely funding mechanisms
-
Limited geographic overlap between funding for emergency and development operations
-
Potential for competition, negative trade-offs between humanitarian and development
initiatives
 
Ecosystem-based planning for improved access to and management of natural
resources; will require addressing cross-border issues
Compensate communities for conserving landscapes and ecosystem services
Effectively link humanitarian and development activities (e.g., PSNP, HABP, and
value chains in Ethiopia)
Risk financing mechanisms (e.g., weather-indexed crop and livestock insurance)
Skills training for off-farm income generation, especially for vulnerable populations
(e.g., women, youths, displaced)
 
 
 
Key Entry Points for Resilience
Key Entry Points for Resilience
Programming
Programming
 
Increased opportunities for cash/voucher approaches
Address multiple aspects of malnutrition rather than just treating the symptoms
Support pastoralists/agro-pastoralists in livelihood diversification (e.g., value
addition, out-migration)
Enable greater participation in markets by pastoralists and small-holder farmers
through improved access to financial services, market information and
infrastructure
Create opportunities for more public-private partnerships to increase investment
 
 
 
Key Entry Points for Resilience
Key Entry Points for Resilience
Programming - continued
Programming - continued
 
Cluster investments for greater geographic coherence and economies of scale
More timely, efficient, and flexible procurement of resources (e.g., crisis modifiers)
based on early warning trigger indicators
Scale-up initiatives with promising results to provide “quick wins”
Contribute to knowledge management by addressing research gaps, replicating and
bringing to scale promising resilience programs
 
 
 
Key Entry Points for Resilience
Key Entry Points for Resilience
Programming - continued
Programming - continued
 
Measuring Resilience
Measuring Resilience
 
 
Context specific
M&E systems must be tailored to the specific programming context 
and
 the nature of the
shock (e.g., drought, price volatility, conflict).
Shock dependent
Resilience outcomes can’t be measured without adequate baseline assessments and in the
absence of a shock.
Inclusive and participatory
Priority should be given to approaches that involve the affected communities themselves
in assessing the success of interventions in ways that are meaningful to them
Robust indicators
Learning “what works” and “what doesn’t” for building resilience is dependent on a robust
mix of quantitative and qualitative indicators.
 
Outcome-oriented
Rather than focus on outputs (e.g., emergency programming) resilience programming must
prioritize measurement of outcomes and impacts.
 
 
Promising Practices for Building
Promising Practices for Building
Resilience
Resilience
 
 
The Sahel Plan
Applies funding from the Humanitarian Food Assistance (HFA) budget of ECHO to a coordinated
regional approach to addressing the underlying causes of malnutrition.
Pastoral Livelihoods Initiative (PLI)
Uses crisis modifier approach to fund support for improved livestock production and marketing,
alternative livelihoods, and early warning systems.
Arid and Marginal Lands Recovery Consortium (ARC)
A consortium of five implementing NGOs, the program combines various funding streams (EC,
USAID) to implement short- and long-term approaches for building the capacity of pastoralists to
deal with drought-related shocks.
PSNP Plus
Combines food and cash transfers with market-oriented support to achieve beneficiary graduation.
Lessons learned through PSNP+ will be scaled up through the Household Asset Building Program
(HABP).
African Risk Capacity Project (ARC)
Provides a framework to finance drought risk responses through the provision of fast-dispersing
contingency funds to governments across Africa.
 
 
 
Promising Practices for Building
Promising Practices for Building
Resilience - continued
Resilience - continued
 
Using Food Aid to Stimulate Local Markets
Project in pastoral areas of northern Kenya is aimed at achieving sustainable improvements in
food security by utilizing vouchers to stimulate growth of, and participation in local markets
Enhancing Resilience to Drought in Southern Africa
OFDA’s Regional Disaster Risk Reduction (DRR) Strategy for Southern Africa Region is based on
four major components: conservation agriculture; small-scale water harvesting and irrigation;
crop diversification; and holistic land and livestock management (HLLM).
Hunger Safety Net Programme (HSNP)
The HSNP uses cash transfers to help communities build resilience through increasing asset
retention, reducing the poverty gap, increasing social inclusion, diversifying livelihoods,
stimulating the local cash economy and providing better access to health and education.
Enabling livestock-based economies in Kenya to adapt to climate change
Initiated by ILRI and partners  in 2011, this project employs a payment for environmental
services (PES) approach to solicit compensation for pastoralist communities in Kenya promoting
wildlife conservation to attract tourists and generate income while simultaneously managing
rangelands for their livestock.
 
 
Promising Practices for Building
Promising Practices for Building
Resilience - continued
Resilience - continued
 
Cross Border Drought Preparedness Project (ICRD)
Implemented by Vétérinaires San Frontières (VSF), the ICRD project helps communities avoid
conflict through development of reciprocal resource agreements for management of water a
and grazing areas.
Strengthening Institutions for Peace and Development (SIPED)
Funded by USAID, the peace-building process utilized by Mercy Corps in the SIPED project,
included strengthening government and customary institutions, community dialogues (including
clan leaders, elders, women and youths), joint livelihood activities, formation of peace
committees, and development of peace accords and resource use plans.
Arid Lands Resource Management Project (ALRMP)
Supported by the World Bank, the Arids Land Resource Management Project is a community-
based drought management project of the Government of Kenya. The components of the drought
management system includes development and operationalization of relevant polices and
strategies, an early warning system, a funded contingency plan and overall drought coordination
and response structure.
 
Moving the Resilience Agenda Forward
Moving the Resilience Agenda Forward
 
Constraint:
 
Lack of clarity on how donors and policy makers can best
prioritize investment in resilience building in light of scarce
resources.
 
Next steps:
-
Carry out 
resilience assessments 
based on contextually appropriate resilience
framework
-
Improve 
knowledge management 
by identifying and addressing critical knowledge
gaps, making program-based knowledge available in a timely fashion and reader-
friendly format.
-
Contribute to integrated, long-term resilience strategies by identifying the proper
(most effective) 
sequencing and combination 
of interventions.
 
Moving the Resilience Agenda Forward -
Moving the Resilience Agenda Forward -
continued
continued
 
Constraint:
 
Lack of inclusive and integrated institutional framework for
implementing resilience oriented programs
 
Next steps:
-
Seek consensus on a 
locally appropriate framework for resilience
-
Identify and advocate for mutually beneficial outcomes of resilience 
among diverse
range of stakeholders (government, civil society, community leaders, academic
institutions, private sector)
-
Ensure 
internal and external coherence of resilience strategies 
with policies at the
national, regional and international levels.
 
Moving the Resilience Agenda Forward -
Moving the Resilience Agenda Forward -
continued
continued
 
Constraint:
 Competition and/or ‘trade-offs’ between investments in
vulnerability reduction and economic growth
 
Next steps:
-
Provided evidence to 
overcome stereotypes and misconceptions regarding the
potential of private investment 
in marginal rural areas.
-
Work with government and civil society to 
identify and create direct and indirect
incentives for private investment
 in resilience building initiatives.
-
Seek opportunities to 
cluster investments 
in social protection, disaster risk reduction,
livelihoods, and climate change adaptation within specific geographic areas.
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Resilience in the context of food security shocks involves the ability of individuals, households, communities, and systems to bounce back and recover from various stressors. This resilience is crucial in regions facing continuous crises like the Horn of Africa and the Sahel, where factors beyond weather events impact food security. The concept of resilience encompasses adaptive capacity, reactions to disturbances, livelihood outcomes, and the pathway to achieving food security amidst shocks. Recognizing resilience as a new paradigm for development emphasizes the integration of humanitarian aid and long-term development efforts to help vulnerable populations anticipate, cope with, and respond positively to changes.


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  1. Enhancing Resilience to Food Security Shocks

  2. Defining Resilience ...the ability of individuals, households, communities or systems to bounce back or recover following a shock or stress, and build positively on this experience. Frankenberger et al. 2007 the capacity to anticipate, manage, adapt to, cope with, and recover from risks to livelihoods the capacity of a system to absorb a disturbance and reorganize so as to still retain essential functions, structure, identity and feedbacks. FAO/WFP/UNICEF 2012 the ability of countries, communities, and households to manage change, by maintaining or transforming living standards in the face of shocks or stresses such as earthquakes, drought or violent conflict without compromising their long-term prospects. DFID 2011

  3. Why Resilience? Continuous cycles of crisis in the Horn of Africa, the Sahel, south Asia; not enough time to fully recover between shocks Crises not the result of weather-related events only; complex interactions between political, economic, social and environmental factors Conflict and chronic poverty in many regions magnifies the impact of drought and other shocks Recent drought crises in the HoA and the Sahel exposed shortcomings of international aid practices and national/regional policies

  4. Understanding of the Conceptual Framework for Resilience Context e.g., social, environment, political, etc. Disturbance e.g., natural hazard, conflict, food shortage, fuel price increase Adaptive capacity e.g., ability to deal with disturbance Adaptive state to shock Reaction to disturbance e.g., survive, cope, recover, learn, transform Livelihood Outcomes (-) Food Security Bounce back better Level of aggregation Adequate nutrition Resilience pathway Structures/processes Livelihood Strategies Shocks Livelihood Assets Context Environmental security Bounce back Sensitivity Exposure Recover but worse than before Stresses Food Insecurity Vulnerability pathway Malnutrition Collapse Environmental degradation ( + ) TANGO 2012. Adapted from DFID Disaster Resilience Framework (2011) , TANGO Livelihoods Framework (2007), DFID Sustainable Livelihoods Framework (1999) and CARE Household Livelihood Security Framework (2002)

  5. Resilience: a new paradigm for development Given: natural disasters, conflict, price increases, political instability and other stresses/shocks are likely to continue Consensus: temporary shocks should not have permanent adverse consequences for vulnerable households New Paradigm: humanitarian emergency assistance and longer-term development programming can and should be further integrated with the common goal of helping people anticipate, cope with and respond positively to changes/shocks and avoid future disasters.

  6. Resilience is a process It requires: Projects implemented at scale and over long timeframes in order to have lasting impact. Projects that empower communities, i.e., promote community engagement, solidarity, ownership of resources, and capacity to organize. A shift from humanitarian responses to longer-term responses that build capacity to cope with current and minimize future stresses and shocks. Mechanisms for long-term funding (e.g., sequencing, layering, pre- positioning). Healthy ecosystems and effective governance structures.

  7. Common Characteristics of Resilience Programming Integrated and complementary partnerships, networks and strategies Formation of mutually advantageous partnerships among a range of actors (communities, civil society, academic research institutions, government and the private sector) with complementary capacities and skills Achievement of sustainable impact through adequate scale and duration Strengthening linkages between local, national, regional and international levels and implementing multi-sectoral resilience strategies over a period of 7-10 years. Promotion of healthy ecosystems Adoption of ecosystem-based planning, payment for environmental services, farmer- managed natural regeneration, and other climate-smart agricultural practices.

  8. Common Characteristics of Resilience Programming - continued Effective formal and informal governance Commitment to representative, responsive, transparent and accountable governance structures, inclusive and participatory decision making, and resolution of conflicts/power imbalances. Gender equity Creation of opportunities for women to control resources, diversify livelihoods, acquire education and skills training, and achieve greater influence in problem assessment, development planning and policy formulation Social Protection Provision of reliable food and non-food (cash, vouchers) transfers to enable vulnerable households to cope with temporary shocks and make investments in longer-term food and livelihood security

  9. Core Principles for Resilience Programming Support a transition, over time, in the balance of effort and resources from humanitarian assistance toward disaster risk management, climate change adaptation, livelihood diversification, and social protection. Recognize/respond to different needs, abilities, and aspirations of vulnerable groups (e.g., women, children, elderly, disabled, orphans) Support greater investment in human capital to enable households to maintain health, diversify livelihood options and exercise their individual and collective rights. Enable community participation by identifying and engaging customary institutions and valuable forms of traditional knowledge for coping with climate variability, conflict, and food insecurity.

  10. Core Principles for Resilience Programming continued Facilitate livelihood diversification through improved access to public and productive infrastructure (roads, markets, water infrastructure, power, etc.), access to financial services and greater participation in markets. Utilize a broader range of assistance modalities, including (but not limited to) distribution of cash and/or vouchers. Strengthen smallholder access to and participation in value chains through creation of market infrastructure, greater access to price information, and provision of assets and financial services. Look for means of engaging the private sector in order to complement donor funding and provide market incentives for investment in livelihoods. Contribute to improved knowledge management by ensuring that evidence gained through comprehensive and consistent monitoring and evaluation is reflected in improved policy and project design

  11. Challenges to Resilience Programming Community Challenges - Environmental degradation - Insecure rights of access to and use of natural resources (land, water) - Imbalanced power relations in prevailing social structures - Gender inequality Government Challenges - Ineffective policies and strategies - Lack of political will - Corruption Donor Challenges - Lack of flexible and timely funding mechanisms - Limited geographic overlap between funding for emergency and development operations - Potential for competition, negative trade-offs between humanitarian and development initiatives

  12. Key Entry Points for Resilience Programming Ecosystem-based planning for improved access to and management of natural resources; will require addressing cross-border issues Compensate communities for conserving landscapes and ecosystem services Effectively link humanitarian and development activities (e.g., PSNP, HABP, and value chains in Ethiopia) Risk financing mechanisms (e.g., weather-indexed crop and livestock insurance) Skills training for off-farm income generation, especially for vulnerable populations (e.g., women, youths, displaced)

  13. Key Entry Points for Resilience Programming - continued Increased opportunities for cash/voucher approaches Address multiple aspects of malnutrition rather than just treating the symptoms Support pastoralists/agro-pastoralists in livelihood diversification (e.g., value addition, out-migration) Enable greater participation in markets by pastoralists and small-holder farmers through improved access to financial services, market information and infrastructure Create opportunities for more public-private partnerships to increase investment

  14. Key Entry Points for Resilience Programming - continued Cluster investments for greater geographic coherence and economies of scale More timely, efficient, and flexible procurement of resources (e.g., crisis modifiers) based on early warning trigger indicators Scale-up initiatives with promising results to provide quick wins Contribute to knowledge management by addressing research gaps, replicating and bringing to scale promising resilience programs

  15. Measuring Resilience Context specific M&E systems must be tailored to the specific programming context and the nature of the shock (e.g., drought, price volatility, conflict). Shock dependent Resilience outcomes can t be measured without adequate baseline assessments and in the absence of a shock. Inclusive and participatory Priority should be given to approaches that involve the affected communities themselves in assessing the success of interventions in ways that are meaningful to them Robust indicators Learning what works and what doesn t for building resilience is dependent on a robust mix of quantitative and qualitative indicators. Outcome-oriented Rather than focus on outputs (e.g., emergency programming) resilience programming must prioritize measurement of outcomes and impacts.

  16. Promising Practices for Building Resilience The Sahel Plan Applies funding from the Humanitarian Food Assistance (HFA) budget of ECHO to a coordinated regional approach to addressing the underlying causes of malnutrition. Pastoral Livelihoods Initiative (PLI) Uses crisis modifier approach to fund support for improved livestock production and marketing, alternative livelihoods, and early warning systems. Arid and Marginal Lands Recovery Consortium (ARC) A consortium of five implementing NGOs, the program combines various funding streams (EC, USAID) to implement short- and long-term approaches for building the capacity of pastoralists to deal with drought-related shocks. PSNP Plus Combines food and cash transfers with market-oriented support to achieve beneficiary graduation. Lessons learned through PSNP+ will be scaled up through the Household Asset Building Program (HABP). African Risk Capacity Project (ARC) Provides a framework to finance drought risk responses through the provision of fast-dispersing contingency funds to governments across Africa.

  17. Promising Practices for Building Resilience - continued Using Food Aid to Stimulate Local Markets Project in pastoral areas of northern Kenya is aimed at achieving sustainable improvements in food security by utilizing vouchers to stimulate growth of, and participation in local markets Enhancing Resilience to Drought in Southern Africa OFDA s Regional Disaster Risk Reduction (DRR) Strategy for Southern Africa Region is based on four major components: conservation agriculture; small-scale water harvesting and irrigation; crop diversification; and holistic land and livestock management (HLLM). Hunger Safety Net Programme (HSNP) The HSNP uses cash transfers to help communities build resilience through increasing asset retention, reducing the poverty gap, increasing social inclusion, diversifying livelihoods, stimulating the local cash economy and providing better access to health and education. Enabling livestock-based economies in Kenya to adapt to climate change Initiated by ILRI and partners in 2011, this project employs a payment for environmental services (PES) approach to solicit compensation for pastoralist communities in Kenya promoting wildlife conservation to attract tourists and generate income while simultaneously managing rangelands for their livestock.

  18. Promising Practices for Building Resilience - continued Cross Border Drought Preparedness Project (ICRD) Implemented by V t rinaires San Fronti res (VSF), the ICRD project helps communities avoid conflict through development of reciprocal resource agreements for management of water a and grazing areas. Strengthening Institutions for Peace and Development (SIPED) Funded by USAID, the peace-building process utilized by Mercy Corps in the SIPED project, included strengthening government and customary institutions, community dialogues (including clan leaders, elders, women and youths), joint livelihood activities, formation of peace committees, and development of peace accords and resource use plans. Arid Lands Resource Management Project (ALRMP) Supported by the World Bank, the Arids Land Resource Management Project is a community- based drought management project of the Government of Kenya. The components of the drought management system includes development and operationalization of relevant polices and strategies, an early warning system, a funded contingency plan and overall drought coordination and response structure.

  19. Moving the Resilience Agenda Forward Constraint:Lack of clarity on how donors and policy makers can best prioritize investment in resilience building in light of scarce resources. Next steps: - Carry out resilience assessments based on contextually appropriate resilience framework - Improve knowledge management by identifying and addressing critical knowledge gaps, making program-based knowledge available in a timely fashion and reader- friendly format. - Contribute to integrated, long-term resilience strategies by identifying the proper (most effective) sequencing and combination of interventions.

  20. Moving the Resilience Agenda Forward - continued Constraint:Lack of inclusive and integrated institutional framework for implementing resilience oriented programs Next steps: Seek consensus on a locally appropriate framework for resilience - Identify and advocate for mutually beneficial outcomes of resilience among diverse range of stakeholders (government, civil society, community leaders, academic institutions, private sector) - Ensure internal and external coherence of resilience strategies with policies at the national, regional and international levels. -

  21. Moving the Resilience Agenda Forward - continued Constraint:Competition and/or trade-offs between investments in vulnerability reduction and economic growth Next steps: Provided evidence to overcome stereotypes and misconceptions regarding the potential of private investment in marginal rural areas. - Work with government and civil society to identify and create direct and indirect incentives for private investment in resilience building initiatives. - Seek opportunities to cluster investments in social protection, disaster risk reduction, livelihoods, and climate change adaptation within specific geographic areas. -

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