canford chiroro_food security in a changing climate_what can participation do
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Climate change undermines development efforts and in particular, threatens the attainment of food security through increasing the risk of failure of livelihoods systems to produce adequate food or earn adequate incomes to purchase adequate food. The need to adapt and cope with the changes in climate is imperative but there is a lack of clarity on what needs to be done. This research paper focuses on the role that social capital oriented approaches could play in ensuring effective community level adaptation strategies. (Masters dissertation)TRANSCRIPT
FOOD SECURITY IN A CHANGING CLIMATE:
WHAT CAN PARTICIPATION DO?
By Canford Chiroro
UB5000072
Submitted to the
Bradford Centre for International Development University of Bradford
in partial fulfillment of the requirements for the award of the MSc in Development and Project Planning
September, 2006
Word count: 14873
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Declaration
© Canford Chiroro
No part of this dissertation may be reproduced without the permission of the author.
I declare that this dissertation is substantially my original work and has not been
submitted in any other form for an award at any other academic institution. Where
material has been drawn from other sources, this has been fully acknowledged.
Signature�����������..
Date ��������..
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TABLE OF CONTENTS TABLE OF CONTENTS ................................................................................................. i Dedications ..................................................................................................................... iii Acknowledgements......................................................................................................... iv LIST OF ABBREVIATIONS ..........................................................................................v List of Figures................................................................................................................ vii List of Tables ................................................................................................................. vii List of Boxes................................................................................................................... vii Abstract ........................................................................................................................ viii CHAPTER ONE...............................................................................................................1
1.0. Introduction ........................................................................................................1 1.1. Background and Justification ...................................................................................3 1.3. Research Objectives.................................................................................................6 1.4. Research Questions..................................................................................................7 1.5. Methodology ...........................................................................................................7
CHAPTER TWO..............................................................................................................9 FOOD SECURITY AND CLIMATE CHANGE ............................................................9
2.0. Introduction .............................................................................................................9 2.1. Food Security ........................................................................................................10
2.1.1 Defining food security......................................................................................10 2.1.2. Food Security Situation in Selected Southern African Countries .....................11 2.1.3. What causes food insecurity? ..........................................................................12 2.2.0. Factors determining food security ...................................................................14
2. 3. HIV AIDS and Food Security ...............................................................................14 2.4. Does the environment matter? Linking food security and climate change...............16 2. 5. Climate Change ....................................................................................................16
What is climate change?.................................................................................................17 2.6. Climate Change and Development .........................................................................19 2.7. How Does Climate Change Impact On Food Security? ..........................................20
2.7.1. Agriculture, climate change and food security .................................................21 2.7.2. Health, climate change and food security ........................................................23 2.7.3. Farm labour, climate change and food security................................................25 2.7.4. Water resources, climate change and food security..........................................27 2.7.5. Sea level rise and floods and food security ......................................................28 2.7.6. Fisheries in a changing climate........................................................................29 2.7.7. Declining forests in a changing climate: impacts on food security ...................30
2.8. Conclusion.............................................................................................................31 CHAPTER THREE .......................................................................................................32 ADAPTATION AND CLIMATE CHANGE ................................................................32
3.0. Introduction ...........................................................................................................32 3.1. What is adaptation?................................................................................................33
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3.2. The Adaptation Response Space ............................................................................34 3.2.1. Who participates?............................................................................................35 3.2.2. Assets and resources .......................................................................................36 3.2.3. Institutionalizing adaptation ............................................................................37 3.2.4 Capacity building and funding adaptation ........................................................38 3.2.5 Policy and Adaptation......................................................................................39 3.2.6 Local knowledge and adaptation ......................................................................41 3.2.7. Early warning systems and adaptation.............................................................42 3.2.8. Gender and climate change adaptation ............................................................44
3.3. Conclusion.............................................................................................................46 CHAPTER FOUR ..........................................................................................................48 PARTICIPATION AND CLIMATE CHANGE ADAPTATION ................................48
4.0. Introduction ...........................................................................................................48 4.1. The Response Space, Projects and Participation.....................................................49 4.2. Social Capital and Adaptation................................................................................51
4.2.1. Community-based Disaster Preparedness and Climate Change Adaptation......55 4.4. The Role of the Private Sector in Adaptation: The Norwegian Development Cooperation Perspective ...............................................................................................57 4.3. Mainstreaming Climate Change Adaptation...........................................................59
4.3.1. Mainstreaming Climate Change in National Policy .........................................60 4.3. 2. Mainstreaming climate change in projects......................................................62
4.0. Conclusion.............................................................................................................64 CHAPTER FIVE............................................................................................................66 CONCLUSION...............................................................................................................66
5.0. Creating a climate for change.................................................................................66 REFERENCES...............................................................................................................69
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Dedications
To the one in whom I developed
From whose eyes I see the face of development
But because of her gender
Is seen in �development� as vulnerable
Yet she is so strong to weather any storm
Unshaken in the ever changing climate
In her pursuit to keep me food secure
I dedicate this work to my mother
And all the women in Africa
Without you, mother
I would never have come this far!!
Thank you so much ever more.
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Acknowledgements
I am grateful to the Canon Collins Trust/ Foreign Commonwealth Office
(Chevening) for the funding to pursue studies here in the UK. Without you, I would
not have come this far, thank you for investing in me.
My interest in this subject, one in which I have become so completely absorbed,
was inspired by Dr. Pablo Suarez with whom I worked on a climate risk and
decision making study in Zimbabwe. For this, I thank him.
In writing this dissertation, I am very grateful to the support I received from Anna
Toner, my supervisor. I thank you for your excellent advice, guidance and insightful
reviews which helped me develop a critical perspective of this debate.
To my family, friends and colleagues here in the UK and home, you kept the
climate cool and thank you for �pulling it�!
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LIST OF ABBREVIATIONS
ACC/SCN Administrative Committee on Coordination: Sub-Committee on
Nutrition
AfDB African Development Bank
CAMPFIRE Communal Areas Management Programme for Indigenous
Resources
CBDP Community-Based Disaster Preparedness
CEEPA Centre for Environmental Economics and Policy in Africa
DFID Department for International Development
EC European commission
EWS Early Warning System
FAO Food and Agriculture Organisation
FEWSNET Famine Early Warning System Network
GDP Gross Domestic Product
GHG Greenhouse gases
HIV/AIDS Human Immunodeficiency Virus/ Acquired Immune Deficiency
Syndrome
ICRISAT International Crops Research Institute for the Semi-Arid
Tropics
IFPRI International Food Policy Research Institute
IPCC Intergovernmental Panel on Climate Change
MDG Millennium Development Goals
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MMET Ministry of Mines, Environment and Tourism
MOHCW Ministry of Health and Child Welfare
MT Metric Tonne
NGOs Non- Governmental Organisations
NORAD Norwegian Agency for Development Cooperation
OECD Organisation for Economic Co-operation and Development
PRSP Poverty Reduction Strategy Paper
SADC -FANR Southern African Development Community-Food, Agriculture
and Natural Resources
SSA Sub-Saharan Africa
UNDP United Nations Development Programme
UNFCCC United Nations Framework Convention on Climate Change
USAID United States Agency for International Development
WFP World Food Programme
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List of Figures
Figure 1 Percentage of Population Undernourished in the Developing Regions
Figure 2 Conceptual Framework for Characterising Vulnerability to Food
Insecurity
Figure 3 Changes in annual mean temperature and annual rainfall, 1901-1998
across Zimbabwe.
Figure 4 The health impacts of climate change
Figure 5 Resource diversion due to HIV/AIDS
Figure 6 The conceptualized response space of adapting to climate change
List of Tables
Table 1 Water demand as a Percentage of Mean Annual Flow
List of Boxes
Box 1 Assessing and enhancing project impacts on local adaptive capacity
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Abstract
Climate change undermines development efforts and in particular, threatens the
attainment of food security through increasing the risk of failure of livelihoods
systems to produce adequate food or earn adequate incomes to purchase
adequate food. The need to adapt is imperative but there is a lack of clarity on
what needs to be done. Although efforts are notable, these are often met by
challenges some of which threaten to worsen vulnerability. How then can the
negative externalities be minimised? This paper focuses critically on the role of
bottom-up participatory approaches in climate change adaptation. It investigates
how social capital, which arguably increases capacity for collective action or
participation, can work in the development of community centred and relevant
adaptation strategies. However, local communities� capacities to adapt are not
entirely adequate. It is argued in this paper that local knowledge and the �bottom�s�
capacity to sustain itself may be an overstretched view. In fact, this paper
advocates for a need to mainstream climate change at national policy level and, as
well, since most efforts occur at local project level, to incorporate climate risk
assessment in project planning and analysis. In recognition of the strong link
between livelihoods and food security, the need to improve livelihoods security
through small enterprise development is debated. Conclusions show the need to
�look before we leap� in implementing adaptation and, as well, approaches that
focus beyond the science, approaches that recognise the need to strengthen
livelihood systems as a primer to adaptation.
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CHAPTER ONE
1.0. Introduction
Food insecurity is not a buzzword in development theory and policy; it is a bitter
reality for over 800 million people suffering from hunger and malnutrition in more
than seventy developing countries, a quarter of them living in Sub Saharan Africa1.
It is increasingly clear that four decades of development efforts have not yielded
much to reduce this challenge; in fact the proportion of people suffering from
malnutrition, a proxy for food insecurity, has increased from 11% of the global total
to 25% between 1971 and 2004 for Sub Saharan Africa (WFP, 2006; ACC/SCN,
2000). This scenario raises the question: What has been wrong with the fertilizer
and seed improvement programmes, irrigation schemes, government and donor
investments in agricultural research and extension? In explaining this intricate
cycle of food insecurity and poverty, development theory has pointed at the need
to �make them participate more� in the interventions (Chambers, 1983) or focus on
strengthening capabilities and removing the �unfreedoms� which prevent the
pursuit of entitlements (Sen, 1999) while other scholars stress that we should
forget the jargon and work towards ensuring food security to every human being.
But the hungry are not willing to wait until we get development right!
Food insecurity remains a millennium development gap, and like poverty, paralysis
of analysis and faulty interventions have managed to keep the end, let alone the
1 According to FAO 2004 statistics there are 800million people globally suffering from hunger. Of these, 203 million are in SSA, 519 million are in Asia and the Pacific; 52.9 million in Latin America and the Caribbean; 33.1 million live in the Near East (WFP, 2006).
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means to the end, remote from the needy. According to Clover (2006), an
understanding of issues that goes beyond orthodox wisdom is required to make
more strategic planning and implementation of national, regional and international
policies. Burton and van Aalst (2004) argue that we need to understand the
problems before we leap into implementation of interventions.
Theories of food insecurity and arguments on sustainable development are in
accord that resilient and secure livelihood systems are the prerequisite for food
security (Devereux and Maxwell, 2004). Although previously viewed as a function
of national systems producing adequate food for all the citizens, food security is
increasingly seen as a result of livelihood systems enjoying �entitlements [that]
generate enough food to keep them well nourished� (Ibid: 13) at household level.
Various socio-economic, political and environmental factors deny the �poor and
vulnerable� the agency over their livelihoods and keeps them trapped in the
intricate cycle of food insecurity.
Indeed most of the food insecure people depend on the natural environment,
especially climate and land, for their food and livelihoods security. Unfortunately,
scientists agree that the climate is changing and as it does affects average
temperatures, rainfall amounts and patterns thus increasing the risk of food
insecurity. Climate change therefore presents, not only a future concern, but an
immediate threat to food security especially in the more risk averse regions such
as most of SSA. Eriksen and Naes (2003) argue that although climate change is a
global issue, adaptation should take place at a local level. Food insecurity as a
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consequence of climate change has localized effects. Several programmes to
assist local communities adapt to climate change have been implemented but how
do we get interventions to work sustainably for the hungry and food insecure?
1.1. Background and Justification
There is a growing global consensus among scientists that the climate is changing
as a consequence of human activities that emit green-house gases (Parry, 1990;
IPCC, 2001; Maslin, 2004).The Inter-governmental Panel on Climate Change2
predicts that the severity and frequency of El-Nino induced drought and floods is
likely to increase in regions currently experiencing these adverse climate
phenomena. In Zimbabwe, for example, modeling studies show that annual mean
temperature has increased by 0.4°C while rainfall has declined by 5% since 1900.
Rainfall is likely to fall by between 5 and 18% of its 1961-90 average by the year
2080 (Hulme and Sheard, 1999:4). This represents a major threat to food security
since livelihoods are predominantly based on rain-fed and labour intensive farming.
Although most recent literature seems to suggest a correlation between climate
change and food insecurity, its role (climate change) should not be
overemphasized because of the obscurity that the interwoven symbiotic
relationship with livelihoods security and the overarching roles of social, economic
and environmental factors presents. Clover (2006:5) concurs that most people buy
food rather than produce it. Climate change, with its multi-faceted impacts, reduces
the capacity of livelihoods to earn adequate incomes to purchase food.
2 The Inter-governmental Panel for Climate Change was established by World Meteorological Organisation (WMO) and United Nations Environmental Program (UNEP) to assess scientific, technical and socio-economic information relevant to the understanding of climate change, its potential impacts and options for adaptation and mitigation (www.ipcc.ch/).
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In an environment with other significant stressors like constrained land access,
political instability and HIV /AIDS that Sub Saharan Africa is, climate change
threatens to paralyze development efforts and make interventions to improve food
security and livelihoods systems more challenging. The irony is that although
technological advances and knowledge on predicting the likelihood of adverse
weather have improved, the same cannot be said for our ability to identify and
where possible, eliminate the barriers which prevent local communities from
coping and adapting to these changes.
In recognition of the significance of climate change in undermining poverty and
hunger reduction, several climate change adaptation projects have been
implemented. In Zimbabwe, for example, DFID is funding the Protracted Relief
Program which seeks to reduce food insecurity risk for labour and HIV/AIDS
constrained vulnerable households through promoting a Conservation Farming
(CF) package. CF allows farmers to harvest rainfall and plant with the earliest
significant rains and as well, spread the limited labour over many months prior to
the planting season, thus increasing both the area planted and length of the
growing season.
Research in the past has concomitantly focused on what climate change can do
and until recently, what we can do. Unfortunately, gaps still exist in research and
policy. Downing (1991) argues that the fundamental question on the future of
hunger in light of potential climate change remains unanswered. He questions
(Downing, 2002) how participation could work to improve project implementation
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on the background that in spite of ongoing and completed research on climate
change, understanding of food and livelihoods security systems remains limited.
This reiterates the growing recognition that technological interventions are
inadequate for effective adaptation where the causes of vulnerability are not
understood (Eriksen and Naess, 2003:5). Less has been done to understand why
technological interventions are inadequate and thus fail to identify why some
communities remain more food insecure and more vulnerable than others. Halving
the proportion of humanity living under extreme hunger and poverty, as inspired by
the Millennium Development Goals, remains barely conceivable if such gaps in
knowledge, policy and practice remain. In an attempt to reduce these �millennium
development gaps�, there is a need to focus on why and how interventions could
be made more effective and sustainable. Burton and van Aalst (2004:12) warn that
although there is recognition that action is needed, clarity on how to proceed is
something of a quandary. The price of maladaptation may be increased
vulnerability. This study explores how participation, that contentious concept, can
work to achieve this end.
This paper seeks to provide a framework, based on livelihood systems approach,
for analyzing how food security may be achieved through development
interventions in a changing climate. It seeks to usher in, beyond the framework,
environmental, socio economic and political reality which affects entitlements.
Determination on how these may be minimized emerges as the final product of this
debate. As a means to achieve this end, the first chapter lays the foundation on
which the debates will be based. This is followed by an analysis of the
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determinants of food security. To understand the challenge of climate change on
development and food security, the impacts on agriculture, forestries and fisheries
from which most food is sourced is reviewed. Changes in sea level rise and water
resource availability and how health, in particular the role of HIV/AIDS affects
labour availability will all be discussed in Chapter Two. As will be shown in the
succeeding chapter, the need to adapt is a quandary. For example, who
participates in adaptation projects? What challenge does access to assets and
resources, institutions and their capacity to function have on adaptation efforts?
Beyond these, the question of indigenous knowledge or ignorance and the
�wisdom� of early warning systems as well as the role of gender sensitivity and
policy can play in adaptation are critically analyzed. With an understanding of what
can go wrong in current adaptation strategies, Chapter Four focuses on what can
be done in the name of participation to �get things right�. The section focuses on
the potential role that social capital can play in strengthening participatory
approaches and bringing the issue of climate change as well as the future of
adaptation to the communities themselves. In recognition of the general reluctance
to incorporate climate risk in government and donor intervention, the chapter
proceeds to identify potential entry points for mainstreaming climate change risk in
policy and project planning and analysis. Conclusions drawn from these debates
are summarized in Chapter Five.
1.3. Research Objectives
1. Review and assess critically the view that climate change renders
communities more vulnerable to food insecurity.
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2. Identify opportunities for and assess the potential role that participation can
play in developing more sustainable and effective interventions for reducing
vulnerability to food insecurity resulting from climate change.
1.4. Research Questions
1. To what extent and on what basis, can claims that climate change has
resulted in food insecurity in Sub-Saharan Africa be substantiated?
2. Is there a relationship between the level, format and extent of participation
and the success of project interventions that seek to reduce vulnerability to
climate change?
3. What socio-economic and environmental factors determine the
effectiveness of adaptation interventions?
4. How and to what extent can social capital and mainstreaming of climate
change in projects and policy be used to enhance stronger participation for
more effective adaptation?
1.5. Methodology
A qualitative and critical review and analysis of existing literature was used for this
study. Although based on examples drawn primarily from Zimbabwe, experiences
from other countries in the region were used due to the marked similarity in
experiences and stresses in spite of the varied livelihoods systems.
The unit of study was the household then scaled up to the community level to allow
an analysis of community participatory approaches and mechanisms. The
household as a unit of study was chosen because, �most decisions about
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household production, investment and consumption are made at this level in most
agrarian societies, particularly under long-lasting drought conditions� (Ziervogel et
al, 2006).
To understand how participation may work to improve project effectiveness in the
context of adaptation to climate change, a livelihoods systems approach was
proposed. As Chambers (1989) argues, this approach emphasizes the importance
of looking at individuals� capacity for managing risks and extensive threats to
livelihoods such as drought and floods. On the background of climate change
impacts, the following chapter focuses on how food security may be impacted by
climate change.
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CHAPTER TWO
FOOD SECURITY AND CLIMATE CHANGE
2.0. Introduction
Sub-Saharan Africa is synonymous with food insecurity and poverty. Devereux and
Maxwell (2001) in Food Security in Sub-Saharan Africa, argue that it is the only
region in the world currently facing chronic hunger and persistent threats of famine.
As shown on Table 1 overleaf, African countries have lagged behind other regions
in securing food for their citizens. Livelihoods in most of SSA are based on labour
intensive and rain fed agriculture and thus current and future changes in climate,
especially rainfall and temperature exacerbated by widespread poverty therefore
render large populations vulnerable to food insecurity. But do these changes in
climate explain why Africa�s contribution to the world�s hungry rose from 11% to
28% between 1971 and 1992 (FAO, 1996) in spite of notable improvements in
infrastructure, irrigation and fertilizer use, agricultural research and extension and
widespread development assistance?
This chapter critically examines the relationship between climate change and food
security. Initially, socio-economic, political and environmental factors determining
food (in)security are discussed, among them HIV/AIDS followed by an analysis of
literature on climate change and implications for food security and development. In
particular, the impact of climate change on agriculture, health and availability of
farm labour, water resources and fisheries as well as forests will be debated. The
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arguments are centred on how each of these affects rural livelihoods based on
farming under a changing climate regime. Conclusions drawn from this section
form the basis on attempting to identify policy and development interventions in the
quandary that adaptation for food security presents.
Figure 1. Percentage of Population Undernourished in the Developing
Regions
Source: FAO, 2002.
2.1. Food Security
2.1.1 Defining food security
Food security can be defined as the success of livelihoods to guarantee access to
sufficient food at household level (Devereux and Maxwell, 2001). The World Bank
(1986) emphasizes the need for its availability �at all times� and view attainment of
�an active, healthy life� as a product of attaining food security. Application of Sen�s
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capability approach3 in this context would point that food security is strongly
correlated to the ability of people to pursue livelihoods activities. On this basis,
food security is related to poverty reduction and thus any factor which reduces
capabilities to access adequate food has an effect on poverty and, broadly on
development. Devereux and Maxwell (2001:2) however, warn that food security is
not merely a subset of poverty, but maintain that the precondition for tackling
poverty in Africa lies in improving production, marketing and consumption of food
at national, but more importantly, household level. A deduction that food security is
a product of secure livelihoods may be made.
2.1.2. Food Security Situation in Selected Southern African Countries
IFPRI predicts that malnutrition in SSA will increase by 30% by 2020 while US
Department of Agriculture estimates that 60% of its population will be consuming
less than the required quantities by 2009 (Devereux and Maxwell, 2001:3).In the
Southern African sub-region, the current situation is equally precarious.
Southern Africa is experiencing the worst food security emergency in the
decade with an estimated 13 million people, about 25% of the population of Malawi,
Zambia and Zimbabwe combined, receiving food assistance (SADC, 2003). In
Zimbabwe, for example, the 2006 yield achieved was higher than the 550
000Metric tonnes (MT) harvested last year but well below the 1990s average and
national food requirement of between 1 600 000MT and 1 700 000MT. By
February 2006, cumulative imports of maize from South Africa had reached 868
980MT and if the trend of imports continues, a deficit of 40 000MT will be suffered
3 Sen argues that poverty is a result of deprivation of capabilities rather than simply lowness of incomes.
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in the 2005/6 maize consumption. By February 2006, 52% of the rural population
in Zimbabwe received food assistance (FEWSNET: 2006:1). Compounding the
problem is the extremely high maize price in a hyper-inflationary economy (inflation
is about 1200%)4 making the limited maize available on the market unaffordable to
the poor. FEWSNET (2006) identifies wild mushrooms, mangoes and edible
caterpillars as some coping mechanisms that rural communities have resorted to in
the quest for food and income security.
The immediate cause of food insecurity cited by SADC is poor rainfall and more
precisely, the increased unevenness of distribution within the growing season, its
absence or excess. This has been attributed by both scientists and development
practitioners to climate change. This assertion, however, should not mask the
impact of weak government safety nets, government policy that inhibit free market
performance , chronic poverty and HIV/AIDS as well as the cumulative effect of
previous droughts (1992) and structural adjustment programmes (SADC, 2003:3).
2.1.3. What causes food insecurity?
The multi-faceted nature of food security makes a single answer inappropriate. As
shown in the definition of food security, the vulnerability of livelihoods, that is the
degree to which an exposure unit (household) is susceptible to harm (hunger) due
to exposure to a perturbation or stress and the ability (or lack thereof) of the
4 The year on year inflation for Zimbabwe is the highest in the world. On 11July, 2006 it was at 1184.6%, an 8.9% drop from the previous year. In the past six years, the economy has shrunk by an estimated 35% in terms of real Gross Domestic Product (Central Statistical Office, 2006). The high inflation has impoverished many people in a country facing shortages of foreign currency, fuel, food, electricity, drugs and raw materials.
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exposure unit to cope, recover or fundamentally adapt (Downing and Patwardhan,
2003:28), is central in understanding food security challenges.
The conceptual framework for analyzing the causes of and vulnerability to
food insecurity is centered on an understanding of the inter-relationship (Fig. 2
below) between livelihoods strategies, resource endowments, social dynamics,
hazards and coping strategies, how these influence the availability, access and
utilization of food within a social, political, economic and environmental context at
national and household level. Specific factors which determine food security are
discussed in the next section.
Source: Downing and Patwardhan, 2003:39)
Figure 2. (left) shows the WFP Conceptual Framework for Characterising Vulnerability to Food Insecurity
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2.2.0. Factors determining food security
Although determined by broad and strongly inter-related factors, food security is a
function of availability, access and utilization. Its availability is achieved when
�sufficient quantities of appropriate, necessary types of food from domestic
production, commercial imports or donors are available to the individual or within
reasonable proximity to them or are within their reach� (USAID,
1992:1).Unfavourable climatic conditions like drought and floods which affect
agricultural productivity compounded by the limited capacity to predict the
likelihood of such calamities occurring or the ability to assess and cope with
situations which disrupt food supply are major constraints to food availability. The
Cyclone Eline induced floods in early 2000, for example, damaged crops and
livestock leading to food shortages in southern Africa, especially in Mozambique.
Recently in Zimbabwe the high rainfall received in the 2005-6 seasons, according
to FEWSNET (2006), led to leaching of soil nutrients in most parts reducing yield.
In some cases, food may be available but lowness of incomes or post-harvest
damage may prevent the poor from purchasing it, thus limiting access. Even where
access to food is achieved, improper use, processing and storage may render it
less nutritious and the consumers remain food insecure (USAID, 1992).
2. 3. HIV AIDS and Food Security
The contribution of HIV/AIDS to food insecurity in rural households is indisputable
in the context of recent food emergencies in most of southern Africa. In Zimbabwe,
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over 50% of the population requires food assistance (SADC-FANR, 2003:5,
FEWSNET, 2006). Although it may be treated by its own right as a shock (Baylies,
2002), it has distinct features like no other. As Haddard and Gillespie (2001) argue,
livelihoods based analysis of linkages between food security and HIV/AIDS show
that the impact is systemic, affecting all parts of rural livelihoods. In Zimbabwe,
58% of the population is in rural areas characterized mainly by rain-fed and labour
intensive agriculture. Of this population, 21% of the adults are infected with HIV
(MOHCW, 2004:44). Considering the time lost in funeral attendance, caring for the
patients and loss of more productive labour, it is justifiable that yield losses of up to
50% are expected in households affected by this disease (Ibid). In Zimbabwe,
women are 35% more likely to be infected than men and this has serious
implications on food security since women form the bulk of farm labour. HIV/AIDS
thus reduces the economic return for labour and, following Sen, the �production
entitlement� thus lowering the capacity to produce adequate food or income
generating opportunities that allow purchasing of food. This is also compounded by
the high income loss to medical care, transport and funeral costs (Baylies, 2002).
Development assistance for promoting food security through agriculture projects is
being targeted at these vulnerable groups. The viability of these ventures may be
questioned in favour of a more� safety net� based approach through small
businesses which recognizes the inherent labour limitations in such set ups.
Access to income sources may be equally important in ensuring food security as it
strengthens the economic resources of the �vulnerable�.
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2.4. Does the environment matter? Linking food security and climate change
Entitlements to food in rural SSA are centred on crop and livestock production
systems heavily dependent on the natural environment, most importantly rainfall
and temperature. This presents higher vulnerability to food insecurity as the
climate changes. But does climate change, as questioned by Devereux and
Maxwell (2001:93), like other �climate determinism� hypotheses suffer from a
tendency of viewing the poor and vulnerable as passive victims who will take no
action in response to long term threats to their livelihoods? On the contrary, should
we nurse such views that �In current development jargon, Africans do not starve,
they cope� (Seaman, 1993:27). An important question central in the scope of this
paper is: is climate change an issue in food security and should development
practitioners and governments be worried? The following session seeks to
conceptualize climate change in food security and development context. Its
impacts on food security are discussed as a background for an analysis of the
challenges to effective adaptation.
2. 5. Climate Change
Global losses due to climate related disasters have increased by a factor of 40
since the 1960s (Munasinghe and Swart, 2005). This implies increased
vulnerability to risk by societies, especially in developing countries, to calamities of
climate and it is only appropriate that climate change should be pushed high on the
development agenda. Van Aalst (2006) points that over the past two decades,
evidence has mounted that the global climate is changing. This change presents a
challenge to achieving secure livelihoods and thus constrains the process of
17
development. There is a need to identify intervention strategies that can be
employed to prepare for these changes.
Although much of the greenhouse gas (GHG) emission that has contributed to the
global warming and subsequent weather extremes is due to industrial emissions
from the developed countries, the effects have been felt more in the developing
countries because of various factors that define their vulnerability. Of reference in
this paper is the high dependence on the climate and human labour by agricultural
farming systems. This section places in context climate change in development
thinking and practice and then shows how it (climate change) impacts on food
security in particular and development in general. On this platform, the need to
adapt and the policy framework on which this is being undertaken as well as
challenges to effective adaptation will then be discussed.
What is climate change?
Identified as �one of the greatest threats to the planet� by Greenpeace and as one
of the two5 crises that �will nudge humanity even closer to the outer limits of what
the earth can stand� by UNDP (Lomborg, 2001: 258), climate change is simply the
change in the average weather6. This change in climate is a result of enhanced
GHG emissions7 due to human activities, such as the combustion of fossil fuels
like coal and oil, which release carbon dioxide, methane and nitrous oxides to the
5 The other crisis is population growth. 6 Weather is the state of the atmosphere in space and time. The critical variables measured are temperature, precipitation, wind speed and direction and humidity. 7GHGs are a key condition for life on earth, otherwise the earth would be 34 °C lower than today�s. Since the industrial revolution in 1750, the quantity of greenhouse gases has been enhanced to detrimental levels which aggravate global climate change (Eriksen and Naes, 2003:3)
18
atmosphere (van Aalst, 2006). According to the IPCC (2001:39) the carbon dioxide
concentration has increased by one third, from 280 parts per million (ppm) in 1750
to 368ppm today, the highest level in the past 420 000 years, and possibly the past
20million years. These GHGs act as a blanket wrapping the earth and trap
outgoing heat thus contributing to a warming effect. Enhanced GHG emissions
thus imply more heat is trapped and climate change results. Models predict that
the temperature will increase by between 1.4 to 5.8°C over the next 100 years,
while the sea level is projected to rise by between 9 and 88cm in the same period
(Eriksen and Naes, 2003:3). The increased frequency of El Nino related weather
calamities like the floods in Mozambique in early 2000 and drought in much of
southern Africa in recent years are some of the effects of this phenomenon.
Climate Change Scenarios for Zimbabwe
According to the IPCC8, Zimbabwe is a warmer country at the end of the twentieth
century than it was at the beginning. Since 1900, the temperature has increased
by 0.4°C while a 5% decline in rainfall is notable across Zimbabwe through the
same period in spite of some wet seasons in the 1920s, 1950s and 1970s. The
early 1990s were probably the driest period due mainly to the prolonged El-Nino
conditions that prevailed during these years in the Pacific Ocean (Hulme and
Sheard, 1999). Figure 3 overleaf shows the changes in mean annual temperature
and rainfall between 1901 and 1998 in Zimbabwe.
8 The Intergovernmental Panel on Climate Change is the UN climate change organ. Its reports are the foundation for most public policies on climate change and the basis for most of the arguments put forward on by environmental organisations.
19
2.6. Climate Change and Development
The impact that climate change has on development is increasingly becoming
apparent as is the need to adapt to its impacts, especially increased vulnerability to
food insecurity, at local level. Although what needs to be done to adapt to climate
change remains more of a quandary (van Aalst and Burton, 2004), the linkages
between development and climate change are significant.
The challenges that climate change presents make imperative the need to adapt.
Klein (2006:1) argues that adaptive capacity is often limited by a lack of resources,
poor institutions, inadequate infrastructure and related factors which are often the
focus of development interventions. Vulnerability to food insecurity and other
development challenges is often a function of resource ownership. Klein (2006)
argues that development projects work to improve livelihoods systems and may
thus improve indirectly the capacity to adapt to climate change impacts. Van Aalst
Figure 3. Changes in annual mean temperature, 1901-1998(top), and annual rainfall, 1901-1998 (bottom), across Zimbabwe. Changes are with respect to the average 1961-90 climate values of 21.3ºC and 622mm, respectively (Hulme and Sheard, 1999:1)
20
and Burton (2004) warn that although development interventions may reduce
vulnerability, in some cases they may increase it. Understanding livelihoods
systems and then appropriately mainstreaming climate change in their
interventions may move development organisations from the quandary on what
precisely they should be doing about climate change.
It is increasingly appreciated that climate change may threaten the delivery of
development assistance. Klein (2006) identifies such development projects as
water supply, food security, human health, natural resource management and
protection against natural hazards as particularly at risk thus impacts on the state
of natural resources, people and their assets and conversely, their capacity to
adapt (Eriksen and Naes, 2003:1). There is a need, therefore, for official
development assistance to target the promotion of renewable energy, for example,
solar powered cookers. The impact is the reduction in the emissions of GHGs
although these developing countries do not have an obligation to reduce their
emissions under the Climate Change Convention (Eriksen and Naes, 2003:1).
2.7. How Does Climate Change Impact On Food Security?
Exposure to climate variability and extremes poses a plethora of threats to food
security especially to insecure livelihoods in Southern Africa. Although diverse and
multi-dimensional, the impacts are centered on the deprivation of an enabling
environment for capabilities to produce, access or acquire adequate and proper
food. This section focuses on the climate change impacts on agriculture, health,
labour, water resources, sea level, fisheries and forests on food security. It is
21
based on the theoretical framework that argues that changes in these sectors will
consequently affect livelihoods systems, activities, means, entitlements and assets,
in a manner that renders communities food insecure.
2.7.1. Agriculture, climate change and food security
Food security in SSA is based primarily on farming systems providing adequate
food. In most of Africa where technology and capacity to irrigate remain limited,
production of crops and livestock relies heavily on the natural environment.
Climate change thus presents serious constraints to food security. Although some
scientists claim that increased atmospheric carbon dioxide is good for
photosynthesis9 (Lomborg, 2001:288), evidence suggests that this may not be
possible where water availability is low (Cline, 1992). The warmer temperatures
tend to accelerate the growing cycle of plants thus reducing time for development
before maturity and poor grain filling thus reducing yield by up to 50% (Ibid:87). In
Kenya, a 2°C rise in temperature is expected to reduce the area available for tea
production, a sector providing jobs to 3million people (a tenth of the population)
and contributing 25% of the GDP. It is especially the 400,000 smallholder farmers
whose livelihoods are based on tea production who will be impacted more in terms
of the attainment of food security (Simms, 2005:7).
A study on rainfall behaviour in Zimbabwe, Botswana and northern South Africa
concluded that between 1971 and 95 there was no significant change in rainfall
behaviour but rather a reduction in rainfall totals and intensities accompanied by 9 Photosynthesis is the primary process by which plants produce food by combining carbon dioxide and water to produce carbohydrates or sugars using their leaves.
22
increased length and intensity of mid-season dry spells (Foxall, 2004). The high
uncertainty in the timing and amount of rainfall as well as its distribution and
effectiveness, has implications on the ability to produce food. The IPCC (2001)
warns that climate change induced temperature increase will reduce yield of
Africa�s staple crops, potatoes, wheat, maize and beans while skeptics predict that
rice will disappear from Africa. In Zimbabwe, a 2-4°C warming will significantly
reduce maize yields and because of limited capacity to use fertilizer and irrigation,
will render the low-lying area around Masvingo, which constitutes 42% of all
communal areas, unsuitable for maize production. This scenario is worsened by
the predicted 25% shorter seasons (MMET, 1998:67; IPCC, 2001:505).
Unfortunately, hardier sorghum and millets are not promoted by the pricing policies.
In an environment where farming is labour constrained, the rise in temperature will
reduce effectiveness of draught power. According to IPCC (2001:507) higher
temperatures will increase the incidence of vector borne livestock diseases like
nagana and tick borne East Coast fever. Tsetse fly (Glossina.spp) is expected to
move southwards 10 in Zimbabwe and north east in Tanzania while crop pest
incidence is expected to increase thus threatening crop production (CEEPA, 2002).
Although it is clear that climate change will affect food security, an understanding
of livelihoods should investigate why in spite of knowledge of predicted poor
rainfall conditions rural communities remain vulnerable. Is it enough for the
weatherman to say the rains will be above normal without giving an indication of its
10 The southern parts of Zimbabwe are generally semi-arid and farming is centred on livestock production. Although maize is grown, the area is hardly suitable although it supports sorghum and millets.
23
distribution? What socio-economic and technical limitations do farmers face in
utilizing any weather information to prepare for and prevent incidence of food
insecurity?
2.7.2. Health, climate change and food security
Poor health narrows the production entitlement (based on capacity to work) and
limits the freedoms to pursue other income generating activities. Agrawala et al
(2003) state that it may be complicated to gauge and predict the health impacts
that climate change presents but it is clear that it threatens human health either
directly or indirectly as summarized on the Figure 4 overleaf.
Prolonged and intensive heat waves coupled with humidity may increase morbidity
and mortality. As temperature and rainfall (floods) increase, the geographic range
of vector borne diseases like malaria and dengue fever increases as more
breeding grounds are created. It is argued that the increased frequency and
severity of the malaria epidemic in the last thirty years in East Africa is related to
the persistence of the El Nino (Agrawala et al, 2003). There are noticeable
changes in the areas of suitability for mosquito, ticks and tsetse under conditions
of climate change, affecting both humans and livestock (Hulme, 1996: xi).
Compounding the problem is the increased incidence of floods and drought.
Access to potable water and sanitation is poor during floods as public water
supplies may be contaminated. With drought, unhygienic practices due to water
shortage are common. In both cases the risk of cholera and other enteric
epidemics is increased (Chigwada, 2004, MMET, 1998). According to Maslin
24
(2004:96), there is a strong correlation between increased sea surface
temperature and the annual severity of cholera epidemics in Bangladesh.
Fig. 4 .The health impacts of climate change (Source: Chigwada, 2004:27).
In the scenarios discussed, it may be noted that climate change impacts on health
by reducing the quantity of farm labour and its effectiveness. The loss in farm
labour hours, especially during the cropping season when most malaria cases are
25
reported11, and the medical costs attached which divert income from food, all work
to increase vulnerability to food insecurity. Destruction of crops and livestock,
spoilage of stored food and loss of lives and livelihoods all increase the risk of food
insecurity and make climate change an issue beyond �development as usual�. The
humanitarian crises following floods in Mozambique and Zimbabwe and other
southern African countries in early 2000 and the drought in the succeeding
seasons are testimony to this.
2.7.3. Farm labour, climate change and food security
The area and range of crops planted are a function of labour availability.
Households lacking labour tend to cultivate smaller areas and grow crops requiring
minimal attention and are thus at higher risk of food insecurity. Reduction in crop
and livestock productivity and accompanying low incomes stimulate a pursuit for
alternatives like rural-urban migration (Ziervogel et al (2006:15). Although this may
reduce the availability of on-farm labour, it may improve food security in rural areas
where remittances are sent. In a case like Zimbabwe where 21% of adults in rural
areas are HIV/AIDS infected (MOHCW, 2004), the effect of remittances may be
minimal as most of the money is diverted to health and transport expenses and
funeral expenses in the eventuality of death. The figure (Fig. 5) overleaf
summarizes the labour loss and implications on food and incomes in a farm-
household system.
11 1,4 million cases and 6000 deaths in Zimbabwe were recorded for 1996 (MMET, 1998:70).
26
Du Guerny (1998) recognizes the importance of children as farm labour in many
developing countries. Literature remains grey on the role of climate change in
availability of children for the purpose of farm labour. The shift in seasons, for
example delayed or too early rainfall events reduces chances of children working
on farm as these changes are not in synchrony with school calendars.
"The effects of HIV/AIDS on farming systems in Eastern Africa", Source: FAO,
1995
Fig. 5. Resource diversion due to AIDS in a farm-household system
Traditionally, the important rains were received most usually during a period when
children were on school holiday (December to January in Zimbabwe). A delay in
main rains means such operations as weeding may be delayed or poorly done
thus compromising on yields. The norm, however, is that children may be
temporarily withdrawn from school to assist in the fields. Du Guerny (1998)
laments that this practice jeopardizes rural children�s entitlements to education. An
examination of these climate changes could make recommendations towards a
27
new food security centred approach to the school calendar that recognizes
livelihoods systems.
2.7.4. Water resources, climate change and food security
Climate change not only threatens to make the poor of the world hungrier, but
thirstier as well. According to Eriksen and Naes (2003:16), climate change induced
reductions in rainfall amount and raised temperature will lead to reduced runoff
and increased water stress. This will disrupt water dependent activities including
those on which livelihoods and food security are based. In the semi-arid conditions
in which much of SSA lies, this will exacerbate the challenge to produce or access
adequate food since irrigation activities will be affected. Chigwada (2004:27)
argues that agricultural production will decrease as a consequence. Using the
case of Malawi, where only 45% of the rural population has access to safe drinking
water, he argues that the rapidly growing population will increase the demand for
irrigation and water resources will be inadequate and scarce leading to a
significant loss in livestock and crop productivity especially in the low rainfall areas.
In Zimbabwe, simulation studies show that the doubling of atmospheric carbon
dioxide will reduce the regime of perennial rivers in the Eastern Highlands to
seasonal as with the case for dry regions (MMET, 1998:63). The table overleaf
(MMET, 1998:64) shows the projected changes in river discharge versus demand
with and without climate change for some of the major catchments in Zimbabwe.
28
Table 1. Water demand as a Percentage of Mean Annual Flow
Catchment Area 1995 existing
demand
2075 without
climate change
2075 with climate
change
Sebakwe 21 106 202
Odzi 19 102 204
Gwayi 24 121 240
2.7.5. Sea level rise and floods and food security
The global temperature is expected to increase by between 1.3°C and 4.6°C by
2100. Such an increase would raise the sea level by between 2cm and 10cm per
decade (Hulme and Sheard, 1999). The impact would be felt mainly by the 25% of
Africa�s population which lives within a hundred kilometers from the sea coast
(Singh et al, 1999). Implications of this are centred on the damage to crops and
livestock, spoilage and loss of stored food and as well the infrastructural and asset
loss which affects livelihood systems thus reducing income availability to purchase
food. According to the IPCC (2001:515), the number of people affected by flooding
will increase from 1 million in 1990 to 70 million annually in 2080 with Egypt and
the east African coastline being more affected. In Mozambique 600 people died
and 2 million were displaced and severely affected by the early 2000 floods. By
October 2000 about US$167 million had been spent on relief assistance, the
29
opportunity cost being development projects in a range of sectors. Even where
humanitarian assistance is available the movement of food to remote areas may
be limited by poor or flood destroyed road and rail networks. Such calamities make
imperative the need to adapt to reduce the potential impact of climate change on
food security, livelihoods and lives.
2.7.6. Fisheries in a changing climate
Fisheries are inextricably linked to climate change since fish production is a
function of, among other factors, water quantity and quality as well as temperature,
variables that are inherently the primary target of climate change. In Lake Kariba,
Zimbabwe, Magadza (1996) notes that a reduction in fisheries catch coincides with
a drought spell. Previous studies (Magadza, 1977:24) indicate that the
reproductive capacity of a common fish species, Moinia dubia ceases at 28°C
although the optimum temperature is only 4°C lower. Temperature increases and
increased incidences of floods and drought as a consequence of climate change
thus pose a threat to both food and livelihoods security. According to Chigwada
(2004:9), the fish industry in Malawi contributes 4% of the GDP, employs 300,000
people directly and provides 36-40% of the total available protein to people�s diet
while comprising between 60 and 70% of all protein consumed. A reduction in
fisheries production thus translates to a fall in the GDP and a concomitant increase
in poverty and food (especially protein) insecurity. Loss of incomes will tend to
reduce livelihoods� capacity to access food to meet household requirement.
30
2.7.7. Declining forests in a changing climate: impacts on food security
According to FAO (1999) one sixth of Africa is forest, but unfortunately, as Cline
(1992) reports, these forests are migrating pole-wards and changing their
composition as the earth continues to warm up. This scenario presents
implications on food security on the basis that these forests provide over 70% of
the energy used in households (especially for food preparation and processing),
provide staple foods like bananas, yams; drought emergency foods; medicinal
plants for the maintenance of a healthy farm labour force among other benefits.
Livelihoods based on these forests, for example, in timber production, gum and nut
for the export market, earn Africa about 6% of its economic product (IPCC,
2001:506) and thus the shift in the indigenous species, reduction in productivity
and spread of deserts caused by climate change exposes these livelihoods and
renders them food and livelihood insecure. In Zimbabwe wild mushrooms,
although seasonal, form an important component of the diet and contribute to
household income generation, especially in areas where they occur widely in
Zimbabwe (Chiroro, 2004:19). In the southern parts of the country, the mopane
worm (Imbrasia belina.spp) is often harvested in the wet season and, like
mushrooms contributes to household protein source and incomes. Although no
scientific study has been conducted to analyse the trends in species composition
and productivity, personal communication with farmers reveals that quantities
harvested for both mushrooms and mopane worms have continued to decline as
rainfall patterns become more erratic and mid-season dry spells are longer and
31
more intense. Some mushroom species are now rare and this may be attributed to
the reproductive failure of spores under a warmer and drier climatic regime.
2.8. Conclusion
The first milestone in developing sustainable approaches for interventions that aim
at building resilience and strengthening coping strategies in a changing climate is
an understanding of how livelihoods are impacted. Although previously seen as
ends or impacts of climate change, the discussions raised indicate that climate
change ultimately affects food security through its interference with agriculture,
water resources, forestries and fisheries and reducing labour availability through
health and other socio-economic factors that include HIV/AIDS. It emerges, as well,
that security of livelihoods ultimately decides food security on the basis that secure
households have the productive and financial capabilities to access, make
available and utilise food properly. The observed and potential impact of climate
change persists more so for the poor and insecure in SSA because of their limited
capacity to cope. Attainment of a stable balance in food security in the context of
climate change is hinged squarely on a clear understanding of how changes in
climate are likely to impact the vulnerable communities. It is on this basis that the
next chapter analyses the challenges to effective adaptation.
32
CHAPTER THREE
ADAPTATION AND CLIMATE CHANGE
3.0. Introduction
The buzz word in climate change theory and policy is �adaptation�. Although there
is agreement that something should be done, the �how-to� part remains something
of a quandary. The nature of the challenge of climate change, as shown in the
previous chapter, provides a platform on which discussions on the limitations to
effective adaptation may be based. An appreciation of these limitations is crucial in
the quest to make climate change adaptation work for the food insecure. But the
hungry may not be prepared to wait until we get �development� right! At the same
time, as Burton and van Aalst (2004) warn, we should �look before we leap�12.
In response to the need to create an enabling climate for rural communities in
developing countries to adapt, several development organisations are
implementing climate change adaptation projects and albeit some with notable
�success�. Questions on who participates and the relationship between adaptation
and asset ownership, institutions and policy have been raised. The role of local
knowledge and decision making systems and factors influencing them as well as
the gender aspects in adaptation interventions are issues related to this debate.
This chapter sets out to investigate these limitations as a basis for isolating
potential entry points for adaptation in an increasingly �small is beautiful� and
12Phrase used by Burton and van Aalst (2004). See references.
33
�bottom-up� warmer, drier and flooded global village. As a primer, the concept of
adaptation will be contextualized in climate change. Succeeding arguments will
thus focus on showing how we can make the adaptation process work for the
vulnerable in pursuit of food security and �development�.
3.1. What is adaptation?
The precarious nature of �adaptation� is a function of three interlocking factors.
Yamin and Depledge (2004:213) identify the lack of agreement about the meaning,
scope and timing of adaptation, limited capacity in developing countries to
undertake vulnerability assessments and planning, and bottlenecks in the
availability of funding as hindrances in pursuit of �adaptation�. These issues are
also responsible, to some extent, for the �quandary� in the process of adaptation.
Adaptation is defined as �adjustments in practices, processes, or structures [which]
can moderate or offset the potential for damage or take advantage of opportunities
created by a given change in climate (IPCC, 2001b). Since poverty reduces
livelihoods� buffer to shocks, adaptation may be seen as �a process that involves
changes in a system to increase its coping range, as distinct from temporary
adaptation of historically familiar measures to cope with a transient threat� (Yamin
and Depledge, 2004:214).
In dealing with the burden of climate change, coping, a �temporary response to
either a familiar disturbance or a transient threat� (Thomas, Osbahr, Twyman,
Adger and Hewitson, 2005:8) and vulnerability, primarily the susceptibility of
people to the harmful impacts of climate change determined by capacity to adapt,
34
the degree and level of risk and the sensitivity of livelihood systems (Ibid), are
discussed.
3.2. The Adaptation Response Space
The risks and impacts of climate change and the need to react by coping and
adaptation creates a �response space� into which interventions fall. The nature of
responses as shown in the conceptualized model (Figure 6 below) depends on
understanding vulnerability and sensitivity of systems and how these ultimately
determine adaptation, coping and mitigation.
Figure 6. The conceptualized response space of adapting to climate change.
(Source: Thomas, Twyman, Adger and Hewitson, 2005:14)
35
An understanding of the process of adaptation is hinged on appreciating the
characteristics of risks to livelihoods in terms of disturbance or change, its
sensitivity to change and vulnerability of the system to socio-cultural change
(Thomas et al, 2005: 13). Although viewed as responses at household level that
are based on availability of assets, cohesion , values and ambition, social
structures, networks and flows of information, altruism, self-efficacy and individual
experience and knowledge (Ibid), the response space includes issues related to
the role of policy, institutions, targeting, nature of interventions, local knowledge
systems and gender in decision making.
In tackling what is done in the response space a number of challenges need to be
addressed. These are discussed in the following section.
3.2.1. Who participates?
To beautify the human face of development the �new� paradigms are biased
towards the inclusion of the poor, the vulnerable, and those with insecure
livelihoods. Insecure livelihoods imply a poor capacity to diversify and spread the
risk of possible climate change impacts. The vulnerable thus have limited adaptive
capacity. Is it callous, therefore, to argue that investing in the vulnerable may be
misdirecting resources? In fact, should the focus not be on socially protecting the
poor? Although this may be a contentious debate, it remains clear, as Pottier et al
(2005) argues, that since food insecurity is a result of social inequalities which
restrict access to labour, the vulnerable, who often lack labour have limited
capabilities to participate in agricultural development projects. Preliminary results
36
from a Conservation Agriculture project implemented in partnership by DFID, FAO,
ICRISAT and some NGOs show that where the elderly, households affected by
HIV/AIDS and child headed households were targeted, complaints of labour strain
were common and low yield gains were achieved as compared to slightly richer
households, although the technology was implemented as a labour saving
intervention. The challenge thus lies with the targeting of households to participate
in adaptation projects. As Devereux and Maxwell (2001:273) argue, although
aimed at reducing leakage of the program benefits and thus improving cost
effectiveness, targeting has a high risk of over-coverage or exclusion of the needy.
3.2.2. Assets and resources
The cornerstone to constructing sustainable adaptation rests on the extent to
which individuals can command and mobilize assets and if these are available in
the first instance. According to Valdivia et al (2004:2), adaptation depends on risk
management strategies, diversification of livelihoods bases being the most
prominent. However, sensitivity to such risks as climate change is influenced by
how much assets or resources are commanded and the influence that such
ownerships have on community collective adaptation decision making.
Social inequalities which restrict contribution to project planning processes make a
mockery of targeting and the whole �participation� approach is rendered superficial
and cosmetic. Improving capabilities through projects which, for example,
encourage the establishment of small businesses may diversify livelihoods and
reduce the impact of shocks on food security under unfavourable climate regime.
37
As Chambers and Conway (1992) argue, resilience of livelihoods depends on their
capabilities to adapt to internal and external shocks and stresses. Development
interventions however, have been less effective in strengthening the tangible asset
base (natural, productive, physical livestock) and the intangible (social capital, non-
market institutions which allow access or control of assets and resources) (Valdivia
et al 2004:3). Related to asset ownership is the market, an institution which shapes
the livelihoods activities. According to Valdivia et al, households with access to the
market are likely to introduce new activities that do not dependent on agricultural
production thus diversifying the livelihoods and improving capacity to manage
idiosyncratic shock. Illegal gold panning along the Great Dyke in Zimbabwe is such
a result of the need to diversify livelihoods as agricultural productivity falls due to
erratic and less rainfall recently. This, unfortunately, unlike in the case of richer
households being involved in dairy production, has led to serious environmental
damage. It may be argued, therefore, that where interventions aimed at ensuring
food security in a changing climate ignore enhancing asset ownership or access,
risk management and therefore vulnerability to shocks by livelihoods may remain
high. Such strategies make unsustainable and costly the process of adaptation.
3.2.3. Institutionalizing adaptation
Getting institutions right for climate change adaptation presents a nebulous
challenge in the pursuit for livelihoods and food security. An emerging question
may be: how can we develop institutions that support the adaptation process?
38
Changes in laws and policies often ignore location specificity and this generic
nature in change disrupts the process of building local institutions, a precursor for
the right �climate� for adaptation. The perceived failure of development
interventions to tackle poverty and food insecurity at national and global level in
the past forty years has been attributed to the failure of institutions to target the
needs and interests of the poor and marginalized. Adaptation is thus affected by
limited institutional focus and targeting. Building effective institutions, on the other
hand is a long and unclear process often done at the expense of effective action
(IISD, 2003). The critical challenge in effective adaptation for climate change
impacts is thus to define the institutional process through which measures are
implemented, including where decision making is undertaken at national, local and
intermediary levels and the links between these levels (Ibid: 29).
3.2.4 Capacity building and funding adaptation
Institutions in developing countries generally lack the capacity to drive adaptation
interventions. In fact, even discussions on climate change are remote from these
institutions due to limited capacity and funding. Rukato (2001) in Popularizing the
Climate Change Debate argues for a more active role of civic society. Drawing on
Agenda 2113, she advocates for efforts to build capacity to research, analyse and
synthesize, understand the issues, identify interests, articulate concerns and
thereby develop informed, strategic positions on issues from the development view
point (Ibid). Capacity in NGOs and lobby groups is often weak due to limited
13 Agenda 21 states that � Civic society and NGOs have an important role to play in international environmental governance, particularly in the areas of policy making, decision making, implementation and evaluation of the UN system and relevant inter-governmental organisations� (UNFCCC website).
39
training facilities and funding on climate change issues. Where capacity building
has been attempted, Rukato argues that this has had less impact since it is done
within two or three year projects, a period too short to develop experts. In this
manner, the critical mass of experts required to drive the adaptation process is
decimated. In Zimbabwe, the capacity to assess topics on climate change like
mitigation analysis, vulnerability assessment and adaptation is highly restricted
(MMET, 1998:51). Although fairly less constrained than other developing countries,
Zimbabwe has 18 experts14 on methodologies, one on technology and technology
transfer and one on in-depth review of national communications (Frost, 2001:51).
Funding attendance to UNFCCC and other climate change workshop attendance
has been one factor (Rukato, 2001) while government prioritization of climate
change adaptation is another (Frost, 2001). Adaptation efforts should work on
developing adequate capacity and funding to drive the process. A significant
question is who pays for the cost of adaptation?
3.2.5 Policy and Adaptation
Policy plays a directive and allocative function in climate change adaptation. At
international level, the Climate Convention and the Kyoto Protocol 15 set the
momentum for the recognition of institutional capacity building, technology transfer
and general reduction of vulnerability in the developing countries. Issues of
financing adaptation, for example the Global Environment Facility in which Annex 1
14 This figure is not exhaustive but is based on the UNFCCC assessments. ( Source: www.unfccc.int/program/roster/full_loe.pdf) 15 For a detailed analysis of the Kyoto Protocol and related conventions, read Depledge and Yamin (2004). See references or visit the UNFCCC website above.
40
countries16 pledged an annual �450million by 2005 to support adaptation projects
in developing countries, are also covered within this umbrella (Eriksen and Naes,
2003:39). The Kyoto Protocol covers as well opportunities for developed countries
to invest in emission reduction in developing countries to earn �credits� although
the evaluation system for example, in forest carbon sequestration projects remains
a hot potato in these discussions. The Adaptation Policy Framework within the
UNDP system assist parties mainstream the development of strategies for
adaptation in the sustainable development policy context (Ibid). A number of policy
challenges, however, may belittle the adaptation process.
Politicians may influence allocation of resources away from adaptation as averting
a disaster does not impress the electorate as much as bringing food and health
relief after a flood or drought. Eriksen and Naes (2003) predict a likely diversion
away from climate change towards technical infrastructure. Donors may use
humanitarian assistance in the event of acclimate related crisis to influence local
policies (Ibid, 47).
Although the idea of �adaptation projects� sounds plausible, the costs may be high.
According to Eriksen and Naes (2003), large scale projects like carbon
sequestration forests, flood defences and irrigation schemes may push the poor
people out of the land that may be crucial in securing their livelihoods and benefit
larger producers more. Related to crop production, where policy favours hybrid
drought resistant seeds and other technological measures to adapt to climate
16 Developed countries mostly the EU, Japan, New Zealand, Australia and USA .(http://unfccc.int/parties_and_observers/parties/annex_i/items/2774.php)
41
change it may lead to a higher investment and input costs for the resource poor
farmers while compromising local agro-biodiversity (Ibid). The need to �look before
we leap� cannot be emphasized more in adaptation strategy formulations.
3.2.6 Local knowledge and adaptation
The failure of externally driven, transfer-of-technology focused top-down
development ushered an era of consideration of local knowledge (Pottier, Bicker
and Sillitoe, 2003:1). The custodians of this knowledge under the adopted new
development paradigm are expected to �contribute their knowledge through
participatory approaches� and make this knowledge work for the success of such
interventions, albeit those that seek to promote adaptation to climate change
impacts. But can a marriage, at least of convenience, between climate science and
indigenous knowledge last at least through the honeymoon- and strengthen
livelihoods for better adaptation? In Negotiating Local Knowledge (Pottier et al
2003:273), Novellino argues that the spaces under which people can express their
local knowledge, even through participation, may be difficult to create due to a host
of factors that jeopardize successful communication between development agents
and local people. On the contrary, Thomas et al (2005: 18) show evidence from
Khomele in South Africa those agricultural projects which utilized local knowledge
had higher success rates. Such traits as hardiness of livestock and grains are
known better by the local people. In Zimbabwe, for example, farmers may tell by
looking at the trees and flowers or by the incidence of mice and other such pests
whether a flood or drought may be expected and thus identify and work towards
implementing various coping and adaptation strategies. According to Chigwada
42
(2004:23) local knowledge is transferred through social structures and generations
thus influencing decision making on agriculture, food production, natural resource
management and other community activities. It may be argued on this basis that
the HIV/AIDS pandemic that has reduced life expectancy in many countries in
SSA17 reduces the inter-generational transfer of knowledge, most importantly that
relating to the process of adaptation. There is a need to harness this �wisdom� and
integrate it more into development and research. It is tempting to question the
extent to which �local knowledge� exists. In as much as bottom-up approaches may
be applauded, practitioners should focus on identifying what knowledge exists and
the gaps in knowledge as a primer to identify potential entry points for �top- down�
solutions that may lead to more effective investments in adaptation. This issue is
discussed on the reservations that development may be threatened through
assuming the �vulnerable people know� and experts �are ignorant� and will only
distort the process. In this paper, a merge of bottom-up and top-down approaches
is advocated for as opposed to Chambers (1997) view that the reality of the poor
should count since their indigenous technical expertise have tested western
analyses and proved the latter to be incorrect (Ibid:29).
3.2.7. Early warning systems and adaptation
In recent drought and flood impact reduction strategies, prominence has been
given to early warning systems (EWS). These EWS work by making data about
future weather available to decision makers and implementers much earlier to
17 A recent publication indicates that life expectancy in Swaziland is 32.6 years, Botswana at 33.7 while Zimbabwe is placed at 39.2 years (July 20, 2006 estimates . Available from website: www.cia.gov/cia/publications /factbook/rankorder/2102.rank.html.
43
allow for advance planning. For example, although the 1994/5 season was as dry
as the 1991/2 season, the amount of food imports was less while the distribution of
food aid was done in time and more efficiently because of information provided by
the EWS (Chigwada,2004:38). It may appear that effective adaptation may rest on
capacity to predict the future and help communities prepare for disasters better,
but evidence goes beyond the rhetoric. In 1997, farmers in southern Africa and
north east Brazil who had been given information about the El Nino still did not
respond and suffered food shortages (Valdivia et al, 2004). In Zimbabwe, a study
by Patt et al (2005) established that in the 2003/4 season 35% of farmers sampled
did not use the seasonal forecast compared to about 48% who did. Basing on
failure to respond to the last El Nino event, 1997/8 in Zimbabwe, Patt et al (2005:2)
raised hypothesis among them: �farmers do not learn about the forecasts; farmers
do not understand the forecasts, especially forecasts that are probabilistic; farmers
do not trust the forecasts, especially after past forecasts have proven less than
accurate; farmers do not trust the people telling them the forecasts; the forecasts
come at the wrong time to be useful to farmers and they do not include traditional
indicators that farmers are used to�- In analyzing the role of these EWS and
weather forecasts lack of capacity to respond should be accorded attention
especially where adaptation is the target.
Climate change thus remains calamitous and adaptation a fantasy if our
understanding and capacity to produce and share knowledge and information is
constrained.
44
3.2.8. Gender and climate change adaptation
Women constitute the majority of farm labour and the feminization of household
food security makes it apparent that climate change impacts women more than
men. Lambrou and Piana (2006:18) argue that, as a consequence of a natural
disaster, women�s economic insecurity increases more than men�s and they
recover slower from such losses hence they are more exposed to loss of
entitlements. The contribution women make determines, to some variable extent,
the magnification of their voices and their role in household decision making. Such
decisions relating to crop type, variety planted and cropping area are often made
by the male household head even though he may be living in an urban area and
less in touch with prevailing weather conditions and forecasts. Studies have shown
that female headed households are more likely to change decisions to reflect
information on weather forecasts than male headed households. Besides, women
are more effective in mobilizing the community to respond to disasters18. Where
forecasts are reliable and recommendations sound, yield attained may be higher19.
Change in crop type and variety is a simple adaptation and coping strategy but its
adoption makes a difference in household food security.
18 Evidence from the Bangladeshi 1991 cyclone and flood suggest that men, in the face of an impending hydro-meteorological disaster are poor in transmitting information. According to Rohr (2006), men passed information to each other in public places but hardly to their families. Five times more women died while awaiting male household members to come to their rescue. (Lambrou and Piana, 2006:22). 19 Based on a study and personal discussions with farmers in Matobo, Lupane and Chimanimani rural districts of Zimbabwe in a study, � Decision making given new climate predictions: Case studies from metro Boston to rural Zimbabwe�, in 2003 by Dr. Pablo Suarez, University of Boston, USA.
45
In spite of the relevance of gender issues to climate change adaptation, these
issues have been ignored in development policy and practice until recently. In their
paper,� Is there a gender angle in climate change negotiations?�, Wamukonya and
Skutch (2001) note that gender has been ignored in preference of �more universal
issues� on the basis of limited resources. This is a fallacy as such an approach
ignores the socio-dynamics on which successful adaptation should be based
(Lambrou and Piana, 2006). In recent discussions20, gender issues have been
tangentially broached. Of importance for successful adaptation is to search for new
ways to integrate gender variables into international negotiations as well as
national regimes for mitigation and adaptation projects.
Considering the role that local knowledge and gender play in adaptation, it is
important to identify linkages between these two so as to usher in more holistic
approaches. Arguments raised earlier do not identify explicitly the custodians of
local knowledge. In most African settings knowledge is gendered and men are
often the common reference points in terms of forecasting future weather based on
local vegetation or pest indicators. However, in most cases the high rates of
urbanization mean that the male household emigrates with this knowledge to
urban areas where, because of limited farming, it remains useless. Meanwhile as
the household head, the male may continue sending inappropriate inputs like seed
to his rural family that do not reflect the changing climatic needs. Understanding of
the �local� or rural climate in such cases is limited but yet because of intra-
household variations in wealth distribution males remain the major decision maker. 20 Gender issues were discussed on the occasion of the Conference of the Parties (COP-8) held in New Delhi, October, 2002 and the COP-9 in Milan, December, 2003.
46
It is important that voices of women be magnified so, because they are the
�farmers� and more affected by the need to source food, be heard and they
participate in agriculture decision making thus creating a climate for effective
adaptation.
If not succinctly tackled and incorporated into policy and interventions foe
adaptation, gender issues present a strong limitation to the attainment of food
security in a changing climate.
3.3. Conclusion
Effective potential entry points for adaptation should be based on a clear
understanding of the nature of the problem and, as highlighted in this chapter, an
appreciation of the challenges in tackling the problem. A major challenge in
adaptation projects is identifying the vulnerable through targeting. Ineffective
targeting compounded with strategies that ignore livelihood systems lead to
exclusion of the poor and their worsened vulnerability to food insecurity and
poverty. Adaptation, in this context, has been undermined by the inherent lack of
resources and assets by the poor leading to livelihoods with limited income bases
and thus more vulnerable to shocks. Even where some assets are available,
access to the market may still impede potential for diversification of income bases,
thus rendering livelihoods dependent on the climate risk-averse agriculture. In
most of SSA, institutional capacity and funding as well as policy and political
willingness to tackle climate change issues are often weak or lacking thus affecting
adaptation efforts. This calls for a need to train and retain experts on climate
47
change issues and as well, develop a stronger civil society to lobby governments
and donor agencies to commit to adaptation. At a local level, the debates showed
that top-down approaches tend to limit locals from using their own knowledge to
adapt to shocks. The challenge lies with determining a balance between technical
expertise and local knowledge systems and this should consider limitations to
transfer of this knowledge by migration and falling life expectancies due to
HIV/AIDS. Another hurdle with adaptation is that, although early warning systems
and weather forecasts are available, the information is often not adequate or
accessible to rural farmers and they may still lack capacity to respond
appropriately. . Where power relations are considered, women may generally lack
ability to respond to the needs of a changing climate due to the inherent
concentration of decision making powers in males, who may ironically be living
away from the �field�. It is appropriate, therefore, to argue that effective adaptation
strategies should first seek to address the challenges discussed before �leaping�
into action. One potential channel identified has been the use of participatory
approaches. The following chapter focuses on how participation may be
strengthened and used to drive sustainable adaptation.
48
CHAPTER FOUR
PARTICIPATION AND CLIMATE CHANGE ADAPTATION
4.0. Introduction
The previous chapters have shown that climate change has detrimental impacts on
agriculture and other sectors and thus affects livelihoods� capacity to produce
enough food or earn enough income to purchase food. Poverty exacerbates this
vulnerability in most of SSA. The need to act is imperative but the hurdles, as
shown in the third chapter, seriously undermine effectiveness of development
interventions to assist communities adapt to the changing climate. The question of
possible options that may bring stronger and effective programme implementation
is the subject of this chapter.
As argued by various scholars, bottom-up approaches which prioritise collective
action within communities in problem solving albeit with external support may be
an effective route to sustainable adaptation and development. This collectivity in
action by different members of communities, loosely referred to as participation is
seen as a tyrant by others and an idea for development by some. Beyond the
debate, it offers some anecdotes on how we can make it happen, at least for some
communities, by 2015. The term (participation) often viewed as an umbrella for a
host of things that development practitioners �do� with the beneficiaries, should be
used with caution. For the purpose of the debate raised in this paper, an iterative
view of participation which focuses on interactive and community mobilization
aspects will be used. Participation will be viewed in its ideal, as Pretty (1994)
49
categorizes, as an interactive process where people conduct joint analysis which
leads to action plans and local institutions being formed or strengthened. This also
encompasses self mobilization which involves communities taking the initiative
independent of external institutions, to change systems but developing, as well,
contacts with external institutions for resources and technical advice they need
although retaining control over the utilization of resources.
Participation on its own is not an end to achieving effective adaptation, it is but one
of the means. Thus, inasmuch as �development� is pushing higher on the agenda
the need for �working participation�, it should be noted that effective strategy
implementation is multi-determined and the mode of delivery is thus equally
important. The case at hand is that most agencies, government or donors, use
projects to deliver assistance, including adaptation. The following section analyses
skepticism about projects and sets the pace for later discussions on how they can
be tailor-made to work for adaptation. The role of livelihoods diversification is also
tackled along with the need for stronger participation through networks developed
as a consequence of improved social capital. Recognition of climate change issues
through mainstreaming is also discussed.
4.1. The Response Space, Projects and Participation
To argue for the need for effective adaptation that secures livelihoods and food
and then attempt to deliver this (adaptation) through projects is a potentially shaky
entry point. The �cutting edge of development� suggested by Gittinger (1985) has
in recent years been substituted by the consensus in most progressive
50
development circles that use of projects has actually cut the effectiveness of
development assistance. In Africa�s Stalled Development, Leonard and Straus
(2003) highlight the high transaction costs that projects present to the host country,
especially the rural communities. Lack of ownership of �development� and the
disregard of government efforts or where they are considered, increased fungibility
(Green and Curtis, 2002) and the unpredictability of funding (Ronsholt, 2002) are
some of the challenges in a projectised approach to climate change adaptation
and development. Where large sums of project funds are channeled to a rural
community for a particular intervention the success rate of such a project may be
high, but this does not guarantee replicability or sustainability of such an
intervention (Toner and Franks, 2006).
This paper does not, however, advocate for a �goodbye to projects�21 per se, but
rather an alternative idea to development, one that is driven by the �vulnerable�
themselves but supported remotely by the third sector through various local
institutions inherent in any community. In this case, project-type adaptation efforts
are formidable where they �work to build capacity in regional environmental
projects� and in the pursuit of safeguarding livelihoods and food following a crisis
(e.g. flood or drought) and in cross border issues, areas where climate change falls
categorically into (EC, 2004:13).
This chapter will focus on how social capital as an asset of communities can
strengthen participation and improve on effectiveness and sustainability of 21 Goodbye to Projects is a DFID funded research project exploring the impacts of adopting a sustainable livelihoods approach on the format of development interventions in Tanzania, Uganda and South Africa. Toner, A. was a researcher for this project.
51
adaptation. However, without climate change adaptation being prioritised in
government and donor policy and strategy the end may remain remote. The
discussion thus proceeds to identify potential entry points for mainstreaming
adaptation in the public and donor sector.
4.2. Social Capital and Adaptation
Throughout the ages people have been coping with and adapting to a dynamic
climate. Successful coping and adaptation has been based on a number of factors,
and as Adger (2003) asserts, the ability to work collectively has been integral. It
may be counter-argued, however, that in practice �acting collectively� seldom
occurs due to a host of social inequalities that exclude other members, especially
the poor and vulnerable, from participating in decision making and planning
strategies. Magnifying the voices of the resource poor through participative
processes that allow their greater involvement in determining their own futures is
critical and forms the main theme of this paper. Social capital defined as a
�package of social networks, reciprocal ties and the rules and behavioural norms
that govern them� (Allen, 2006:91) may offer an alternative to this challenge of
adaptation. Adger (2003) argues that social capital is increasingly being
understood in economics as having �public and private elements, both of which are
based on trust, reputation and reciprocal action�. He argues that public goods
aspects of particular forms of social capital are pertinent factors of adaptive
capacity in interactions with the natural capital and as well in relation to the
performance of institutions that cope with the risks to changes in climate.
52
The �seductive� nature of social capital in current development thinking is rooted on
its promise for greater networking and integration, elements perceived as primary
in effective participation necessary for sustainable development (Pretty and Ward,
2001). Adger (2003) concurs that social capital has �explanatory power specifically
in the area of collective action for environmental management�. An example he
raises is the response of the civic society to the impacts of Hurricane Andrew and
the networks of reciprocity and exchange in pastoralist economies. In Zimbabwe,
the Communal Areas Management Programme for Indigenous Resources
(CAMPFIRE) demonstrates that such networks and collective action are important
in the management of natural resources and the ability of livelihoods to cope with
stress that the environment presents. It is, therefore, the strengthening of these
networks and continued flow of information that constitutes social capital (Ibid).
When rural communities use this capital to identify the challenges and draw
possible mitigation and adaptation strategies, the outcome is sustainable, people
driven and owned and thus desirable. External support may thus be oriented to fit
into such settings, not the inverse.
The social capital theory as envisaged by Adger (2003:3) is built on individuals
using their relationships to other actors in societies for their own and collective
good thus providing a win-win situation for all players, ceteris paribus. In contrast,
targeting beneficiaries and its related limitations often leads to �big time winners�
and heavy casualties, a case against projects. Allen (2006:89) argues that
because social capital is built on trust and norms of reciprocity, it allows utilization
53
of local knowledge and institutions thus reducing the risk of disempowerment of
communities. Disempowerment, which culminates in failure of interventions, she
argues is caused when local �stories� are ignored and external perspectives of the
problem are used to create the dominant framework for understanding disasters
and how people should respond. Pretty and Ward (2001) argue that social capital
works with the local institutions in which it resides to contribute to risk management
in agriculture, forestry and fisheries, areas as shown in chapter two, are more likely
to be stressed by a changing climate. However, Dasgupta (2003) argues that
social capital does necessarily facilitate pro-active adaptation and the
enhancement of well-being and can curtail innovation and adaptation.
The linkage between communities� ability to work collectively to manage weather
dependent, fluctuating and seasonal resources, such as fish22, livestock and water
resources on which their livelihoods are based, and the role of government with
the management and regulation of same- if strengthened creates synergistic social
capital which promotes the adaptive capacity of societies to cope with climate
change (Adger, 2003). As the discussions have shown, social capital through
building trust and cooperation between actors in the state and civil society over
adaptation has double benefits. According to Adger (2003) from an instrumentalist
perspective, synergistic social capital and inclusive decision making institutions
promote the sustainability and legitimacy of any strategy. The bottom-up approach
offered by recognizing the importance of social capital also tends to alter 22 In Silima district in central Malawi ,the local chief did not allow fishing from November to end of March to allow fishermen to grow and cultivate crops. The closed season for fishing coincides with the breeding season of the fish (Chigwada, 2004:28).
54
perceptions of climate change from a global perspective to a local problem. As a
local issue, the risks associated with climate change may be better identified and
local communities may appreciate that mitigation and adaptation efforts are within
their powers (Ibid). Current and future adaptation strategies implemented where
these issues are remote from the local people may be a possible recipe for
disaster, but this does not spell that social capital is ideal cuisine, but rather only a
part of the main course. Pelling and High (2005:15) argue that social capital
theory lacks a framework for adoption within public sector organizations. They also
question the availability of adequate tools for the facilitation of the building and
maintaining of constructive social capital and social learning. Field (2003) assets
that social capital though viewed as� good for us�, this overlooks the fact that
communities are not homogenous: there are internal conflicts and the variations in
resource ownership may imply that some groups are excluded from public benefits
from �collective action�. Negative externalities may be the consequence to others.
Fukuyama�s view of social capital as �not just a public good but for the public good�
may be put to a test in this instance. The wealthy work to limit social capital of the
poor thus promoting inequalities. In fact government policies already affect social
capital or are formulated without its consideration. Does this, however, mean a
need to mainstream stronger community networks built on trust before tackling
climate change adaptation?
55
In spite of these limitations, social capital based interventions still have a place in
adaptation. To further explore this idea, the Community- based Disaster
Preparedness (CBDP), an adaptation strategy based on social capital is discussed.
4.2.1. Community-based Disaster Preparedness and Climate Change
Adaptation
Alleviation of vulnerability to food insecurity in the context of a changing climate
focuses on both the long term chronic as well as the acute impacts of climate
change like droughts and floods. The need to adapt is thus seen through the lens
of disaster management. On this notion, Community-based Disaster Preparedness
(CBDP) programmes, a common feature of the Red Cross disaster management
interventions, are increasingly becoming popular in climate adaptation work.
According to Allen (2006:1) CBDP are associated with a policy trend that values
the knowledge and capacities of local people and they work through building local
resources including social capital, a critical asset that potentially provides
�opportunities for low income individuals and communities to access the resources
they need to improve security and reduce their vulnerability through coping and
adaptive mechanisms (Pelling, 2002:61).
The role of CBDP in climate change adaptation is multidimensional. Strong
working networks, adherence to norms of reciprocity and trust between individuals,
as argued by the social capital school of thought, all contribute to making
participatory activities like CBDP work. In particular, Allen (2006:81) argues that
56
CBDP is useful in the formulation of local coping strategies, situating these within
the wider development planning and debate context thus raising awareness of
vulnerability to shocks. Awareness may be done through local mapping exercises
as well as vulnerability and capacity assessments involving the participation of
local people. A platform for analyzing causes of and vulnerability to disasters is
created through CBDP programmes. Through transmission of ideas and sharing of
local knowledge, strategies for coping and adapting are developed. This
enhancement of problem solving skills, according to Allen (2006:83) leads to an
increased ability by the community to respond promptly and flexibly to a changing
climate and environment stress. Such strategies therefore, enforce self reliance
and even when external funding is sought, the methods are cost effective and not
many staff may be hired, and besides donors may have an ethical preference for
such projects. However, Lavell (1994) identifies the inherent lack of resources and
limited decision making compounded by the weak legislative and regulatory
powers available to local level actors and institutions as challenges to such an
approach.
It is clear that for effective and sustainable adaptation to work people at a local
level at which the impacts of the climate change are felt, should within themselves
determine the adaptation strategy since they understand what practitioners may
not. As such, to drive the process of problem identification and solving, social
capital becomes an important asset that creates the forum for participatory
activities to be initiated. Without strong networks and trust, local knowledge and
57
experiences lose value and do not assist locals in their quest to protect their
livelihoods and secure adequate food.
People participate and function through supportive institutions. It is not enough to
say participation will work where social capital is rich, but more appropriate to view
the picture from a lens that also recognizes the need for various institutions to
prioritise adaptation and show commitment and support the rural communities. In
particular incorporation of climate change into the developing governments�
strategies like the poverty reduction strategies, recognizing the role of climate
change in rural livelihoods by development organizations is thus a viable
investment for sustainable development. The next section investigates the role that
mainstreaming the need for stronger and more climate resilient livelihoods through
small enterprises and the mainstreaming of climate change risk in policy and
project can play in effective adaptation. You need to introduce the next section
more clearly- this sentence is confusing: are these the two things you are
advocating for successful adaption. Instead of talking so specifically about small
business, it may be best to refer to livelihood diversification.
4.4. The Role of the Private Sector in Adaptation: The Norwegian
Development Cooperation Perspective
Mainstreaming climate change in government and NGO sectors is not enough to
lead to successful adaptation. There is growing recognition in World Bank and
other international finance institutions that governments in low income countries
should engage the private sector, not only in service provision but as well in
58
human development. The role of small and medium enterprises, as articulated by
Eriksen and Naes (2003: 29) is important in climate change adaptation since these
small businesses provide sources of livelihoods from which food may be secured.
Diversification of income base provides the critical shock absorbance that enables
communities to be more resilient.
Recent trends in policy perspective are indicative of a growing recognition of the
role that small enterprises may play in poverty alleviation and the strengthening of
rural livelihoods. NORAD particularly perceives provision of micro-finance for
small-scale production as particularly important in strengthening livelihoods and
reinforcing alternative sources of food and incomes as a mechanism for reducing
impacts of such shocks as presented by climate change.
It is, however, not enough to provide opportunities for business and end there.
NORAD argues for a need to enable access to markets by the poor and as well,
the need to improve capacity to process goods locally while benefiting from
improvements in skills and technology. Through creation of such markets,
incomes are raised and poverty reduced, thus improving communities� resilience to
climate change. This adaptation, however, will only work if these rural and dryland
economic niches suited to the local climate and provide livelihoods. Beyond
household economics, NORAD focuses on reducing the impacts of globalization
on developing countries while promoting their efforts to globalize, failure of which
the discontents of globalization manifest through the pushing of the vulnerable into
worse poverty and limited capacity to adapt. The promotion of South-South trade
59
and regional trade initiatives is also seen by NORAD as the centre for economic
growth and improved livelihood systems (which can better cope with climate
change impacts) (Eriksen and Naes, 2003: 29).
4.3. Mainstreaming Climate Change Adaptation
The social and economic threats of climate change, as shown in Chapter Two,
push higher on the international policy agenda the need to adapt. However, in
spite of the recognition that climate change will undermine any development
strategy if not accorded adequate attention, evidence suggests the contrary in
terms of development action. Huq et al (2003:36) show that although much
progress has been done in describing and analyzing vulnerability to climate
change and as well, identifying potential entry points for adaptation, a huge gap
still exists in mainstreaming climate change adaptation within national policy
making in developing countries. It is clear that as �development� now focuses on
country owned and �bottom-up� approaches, mainstreaming becomes a critical
stepping stone to attainment of sustainable investments that reduce vulnerability.
Mainstreaming, defined as the integration of policies and measures that address
climate change into development planning and on-going sectoral decision making
(Klein et al, 2005) works to reduce sensitivity of interventions to current and future
climate thus minimizing opportunities for maladaptation and increased vulnerability.
This section seeks to discuss the framework in which mainstreaming may be
considered in national and donor project and policy planning and analysis. This
issue is discussed on the background that a scan of Country Assistance Strategies
and project documents by Burton and van Aalst (2004:19) and OECD (2006)
60
revealed that development plans and projects being undertaken by a number of
bilateral and multi-lateral development organizations lack explicit recognition of
climate risks. Mainstreaming will therefore be discussed at national and project
level in the following section.
4.3.1. Mainstreaming Climate Change in National Policy
According to the OECD (2006) report, many developing countries still show little
consideration of climate change risk in their strategies and policies as reflected by
the generally limited attention shown in such documents as the Poverty Reduction
Strategy Papers (PRSP), national development plans, sectoral strategies and
project documents. In cases where climate sensitivity is recognized the operational
guidance on how to mainstream it is often lacking (Ibid). in this response to this
gap, Burton and van Aalst (2004:18) argue that the recognition of mainstreaming is
not being taken seriously as a consequence of climate change being handled by
environment ministries or meteorological services, institutions which generally lack
the necessary stamina and audacity to ensure climate risks are taken seriously by
other line ministries. It remains debatable whether by considering the economic
gains of reducing poverty, the ministries of finance and economic planning may be
better placed to police climate risk in developing countries. It is through PRSPs
that such policing may be effective.
PRSPs
Climate change leads to increased vulnerability of livelihoods and it thus deters
efforts to reduce poverty. Although focusing on reduction of poverty, PRSP need to
recognize the role of climate change in poverty. Burton and van Aalst (2004:20)
61
recognise that PRSPs actually provide a good framework for addressing issues
related to vulnerability in a holistic and comprehensive manner. An internal review
of PRSPs conducted by Bojö and Reddy (2002) revealed that environmental
concerns and the linkages between poverty and the environment are not often
brought out in PRSPs. Although some level of improvement has been noted in
PRSPs for Mozambique, Honduras, Nicaragua, Burkina Faso and Kenya, so much
more need to be done in terms of implementation of these strategies if vulnerability
is to be reduced. Perhaps, as highlighted in Chapter 3, the need to build capacity
on these issues needs to be taken more seriously.
The importance of PRSPs in mainstreaming climate change is recognised by the
Inter-Agency (2003) and Eriksen and Naes (2004:34) as a valuable tool in
integrating climate adaptation into local level planning and implementation
following widespread decentralization in many developing countries.
Potential entry points for mainstreaming climate change in PRSPs could be
centred on the creation of synergies between conventions, the implications of
global public goods and the subsequent integration of adaptation into the planning
and policing of development. To facilitate this, development of human resource
and capital capacities is necessary (Ibid).
National level mainstreaming may not be effective unless institutions at more local
level adopt same. Although projectised aid remains a debatable issue, most funds
for adaptation activities are channeled through them. How then can donor and
NGO agencies mainstream climate change in a manner which �strengthens and
does not distort the development process?� (Burton and van Aalst, 2004: 5).
62
4.3. 2. Mainstreaming climate change in projects
Climate change presents a threat to food security and development and like other
risks it should be considered through a risk assessment exercise in project
planning and analysis. According to Burton and van Aalst (2004) climate risk
assessment would ensure that projects do not increase exposure of the poor to
more vulnerability or disempower them while increasing their resilience to a
changing climate. However, it should be noted that climate risks assessment infers
costs to the project and that different projects have varying levels of sensitivity to
climate change related risks. For example, Burton and van Aalst (2004:25) bring
the example of institution building, human rights and education projects as not
requiring any climate risk assessment while on the contrary, full scale assessment
may be required for infrastructure and water resource dependent projects in
climate hazard areas.
A climate risk management approach requires consideration of climate risks at
every stage of the project life cycle. Initial project classification done at
identification stage should be used to determine the type of attention and relevant
tools23 required for risk assessment when the project enters the project cycle (Ibid).
A typical project which considers its impacts on local climate change adaptive
capacity at all stages of the project life is given in Box 1 overleaf.
23 The Routine Risk Screening Categories and Elements Considered in the Screening Process as suggested by Burton and van Aalst (2004) are attached as Appendix 1 and 2.
63
There are five main steps in the design of this climate change sensitive project. These are;
1. Set the climate context: Identify impacts of current climate hazards and climate change in the project area, including strategies for coping with these impacts;
2. Set the livelihood context: Identify resources needed to help people conduct their livelihoods, flagging those that are strongly affected by climate stress and important to coping strategies; 3. Screen project activities: Assess how project activities affect the availability and access to key livelihood resources that are strongly affected by climate stress and/or central to coping strategies; and 4. Manage climate risk: Adjust project to increase opportunities to enhance availability / access to key resources, and activities that undermine availability / access are adjusted Source: Faye and Quddus (2005)
Box 1. Assessing and enhancing project impacts on local adaptive capacity
Set the climate context
Set the livelihoodscontext
Screen projectactivities
Adjust projectactivities to manage
climate risks
Summary project profile
Stak
ehol
der p
ersp
ectiv
es
Proj
ect p
lann
er/m
anag
er p
ersp
ectiv
es
64
4.0. Conclusion
Climate change impacts may not be eliminated but may be minimized. By
reducing impacts of climate change, livelihoods may be safeguarded and capacity
to produce or acquire adequate food is maintained or increased while poverty
levels fall. Unfortunately, climate change discussions are remote from the
vulnerable people, as are strategies to deal with the catastrophe.
Drawing from the debates that have been raised in this chapter, it may be
concluded that bottom-up approaches based on the need for participation will bring
down climate change from a global to local issue thus allowing communities to
manage and adapt to the challenges and disaster risks presented. Social capital is
an important asset in strengthening participation while collective action leads to
utilization of local knowledge and experience and sharing of ideas which ultimately
influences more effective adaptation strategies. However, participation should go
beyond building strategies that rely on local social capital. Adaptation should be
taken as a priority at both national (policy) level and at the project level. Various
stakeholders in policy and project planning and analysis should ensure that
policies and projects proposed do take recognition of climate risk. Mainstreaming
climate change may be a challenge in terms of implementation but with
frameworks for reducing poverty and food insecurity like the PRSPs and Country
Assistance Programmes among other strategies, the climate for sustainable
adaptation may be created. Stand alone policies will not work, however. There is a
need to strengthen livelihood systems and diversify their income bases through
65
small businesses if they are to be cushioned against the shocks that climate
change presents.
66
CHAPTER FIVE
CONCLUSION
5.0. Creating a climate for change
The pursuit of development, as inspired by the Millennium Development Goals
(MDGs), is centred on the enhancement of human securities. The first MDG
focuses on reducing by half the proportion of humanity living under extreme
poverty and hunger. Although not explicit in its statement, there is ground to
argue that neither one of the two (poverty and hunger) may be alleviated in
isolation of the other. This paper, as shown on the theoretical framework on which
it is based, attempted to justify that food security should be seen from the secure
livelihoods perspective. It emerged that it is the secure livelihoods that have
adequate capacity to produce adequate food through agriculture or generate
adequate incomes to purchase adequate food that should be the pursuit in
development and food security concerns.
The past four decades of �development� have focused on the alleviation of hunger
and poverty and the general consensus is that although milestones were reached
elsewhere; progress towards the goals has been dismal. Development is being
constrained by a number of multi-dimensional forces all acting to reduce the
freedoms people need to pursue their entitlements (after Sen). One critical factor in
recent history that has and is stalling both the pursuit for food and livelihoods
security and, as well, development is climate change. In the foreseeable future if
�nothing is done� climate change impacts will worsen poverty and food insecurity
67
among other effects. Changes in climate variables in particular temperature and
rainfall has led to a reduction in agricultural productivity and affected livelihoods
more-so in the poorer regions of the world, SSA in particular, through reduction in
productivity of fisheries, forests and reduced water resources. Increased incidence
of diseases with climate change coupled with the high prevalence of HIV/AIDS was
shown to curtail labour availability for food production or income- for- food sourcing.
The rising sea level and subsequent infrastructural and livelihood systems damage
it entails and the increased incidence of climate related disasters like drought and
floods, as examples from Mozambique and Zimbabwe showed, all bring an
awakening that something needs to be done.
There is agreement by governments, donors and scholars that there is a need to
adapt to and mitigate against the impacts of climate change so that development
goals like the pursuit for food security may be achieved. Chapter 3 showed
precisely how adaptation is a quandary through highlighting the challenges to
effective adaptation. Conclusions drawn from this section are centred on the fact
that institutions, their capacity and funding; targeting and policy and the role of
assets and resources are often weak or lacking thus leading to failure to adapt
effectively. Measures that address challenges in these issues need to be identifies
if working solutions are to be determined. Chapter 3 also showed the importance
of local knowledge and early warning systems and how these interact with gender
in decision making systems. The chapter concluded that adaptation is a challenge
with solutions rooted on an understanding of how livelihood systems react and
68
function under changing climate regimes. In response, Chapter 4 showed that
adaptation is a multi-faceted challenge and thus interventions that exhibit multi-
dimensional and holistic consideration may work. As argued, the mode of delivery
of development assistance for climate change needs to be considered. In
response to the dilemma in adaptation, the dissertation argues for a need for
bottom-up participatory processes for adaptation. An attempt was made to show
how social capital, viewed as networks of trust and reciprocity, if used strengthens
participation and leads to sustainable adaptation as shown by the analysis of the
CBDP programme. The darker side, however, showed clearly the need for caution
and clarity as social capital may benefit those with more financial capital at the
expense of the poor. It was also argued that for adaptation to take place there is a
need to make it a priority both within the government, donor and the private sector.
Mainstreaming offers an opportunity to integrate climate risk into development
projects and policy planning and implementation.
Creating the climate for climate change adaptation is perhaps one of the greatest
challenges to development and the attainment of the MDGs. It is clear from the
debate raised in this paper that food security will remain a challenge in the near
future unless significant commitment, change in policy direction, clear knowledge
of the problem and appropriate strategies which address the �cause of the cause,�
are put in place. The global warning on food security remains the need to
emphasize adaptation to climate change impacts.
69
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