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

 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.

viii
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

2
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 Change 2

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/).

3
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

4
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

5
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.

6
 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

7
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.

8
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

9
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

10
capability approach 3 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.

11
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.

12
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.

Figure 2. (left)
shows the WFP
Conceptual
Framework for
Characterising
Vulnerability to
Food Insecurity

Source: Downing and Patwardhan, 2003:39)

13
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,

14
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’.

15
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

16
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.
7
GHGs 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)

17
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.

18
 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)

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

19
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

20
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

photosynthesis 9 (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.

21
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.

22
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

23
(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

24
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).

25
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

26
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.

27
Table 1. Water demand as a Percentage of Mean Annual Flow

Catchment Area 1995 existing 2075 without 2075 with climate

demand climate change 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

28
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.

29
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

30
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.

31
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

12
Phrase used by Burton and van Aalst (2004). See references.

32
“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,

33
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)

34
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

35
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.

36
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?

37
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).

38
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.

39
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)

40
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

41
(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.

42
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.

43
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.

44
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 discussions 20 , 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.

45
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

46
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.

47
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)

48
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

49
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.

50
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.

51
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

52
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).

53
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?

54
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

55
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

56
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

57
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

58
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)

59
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)

60
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).

61
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.

62
 Set the climate

Project planner/manager perspectives

context

Stakeholder perspectives
Set the livelihoods
context

Screen project
activities

Adjust project
activities to manage
climate risks

Summary project
profile

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

63
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

64
small businesses if they are to be cushioned against the shocks that climate

change presents.

65
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

66
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

67
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.

68
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