d i s c u s s i o n pa p e r n u m B e r 1 4 decemBer 2010 d e v e l o p m e n t a n d c l i m at e c h a n g e d i s c u s s i o n pa p e r s 1 58901 d e v e l o p m e n t a n d c l i m a t e c h a n g e The Social Dimensions of Adaptation to Climate Change in Ethiopia d i s c U s s i o n pA p E R n U m B E R 1 4 d E c E m B E R 2 0 1 0 E c o n o m i c s o f A d A p t A t i o n t o c l i m A t E c h A n g E The Social Dimensions of Adaptation to Climate Change in Ethiopia Ethiopian Economic Association/Economic policy Research institute Papers in this series are not formal publications of the World Bank. They are circulated to encourage thought and discussion. The use and citation of this paper should take this into account. The views expressed are those of the authors and should not be attributed to the World Bank. Copies are available from the Environment Department of the World Bank by calling 202-473-3641. © 2010 The International Bank for Reconstruction and Development/ The World Bank 1818 H St., NW Washington, DC 20433 U.S.A. Telephone: 202-473-1000 Internet: www.worldbank.org/climatechange E-mail: feedback@worldbank.org All rights reserved. December 2010 This paper is based upon work that has been commissioned by the World Bank as part of the Economics of Adaptation to Climate Change study. The results reported in the paper are preliminary and subject to revision. The analysis, results, and views expressed in the paper are those of the authors alone and do not represent the position of the World Bank or any of its member countries. Papers in this series are not formal publications of the World Bank. They are circulated to encourage thought and discussion. Copies are available from the World Bank Environment Department by calling 202-473-3641. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown or any map in this work do not imply any judgment on the part of the World Bank concerning the legal status of any territory or the endorsement or acceptances of such boundaries. RIGHTS AND PERMISSIONS The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of appli- cable law. The International Bank for Reconstruction and Development/The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright Clearance Center Inc., 222 Rosewood Drive, Danvers, MA 01923, USA; telephone 978-75-4470; Internet: www.copyright.com Cover photo courtesy of Arne Hoel/World Bank. iii Table of ConTenTs AcRonyms And ABBREviAtions vii AcKnoWlEdgmEnts viii ExEcUtivE sUmmARy ix 1. intRodUction And ovERviEW 1 Summary of EACC Project and the Social Component 1 Study Rationale and Approach 1 Conceptual Framework 2 Key Areas of Inquiry 3 Asset and Livelihood Systems 3 Vulnerability and Climate Change 3 Policy and Institutional Framework for Climate Resilience 4 People in Places: Socio-Spatial Approaches to Adaptation 4 2. sociAl dimEnsions of climAtE chAngE in EthiopiA 5 Expected Physical Impacts of Climate Change in Ethiopia 5 National Planning for Climate Change: NAPA and other Strategies 7 Overview of Social Vulnerability in Ethiopia 8 3. REsEARch mEthodology 11 Research Strategy and Questions 11 Site Selection and Sampling 12 Background to Sites 12 Methods: Tools Employed 14 Approach to Data Analysis 14 Interactions with other EACC Sector Study Teams and Bank Staff 15 Limitations of Study 15 iv t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA 4. fiEldWoRK REsUlts 16 Overview and Introduction to Areas of Investigation 16 Asset Base and Livelihoods 16 Experience with Past Climate Variability and Hazards 17 Autonomous Adaptation Practices and Household Decision-making 18 Key Summaries and Conclusions Drawn from the Fieldwork 19 5. pARticipAtoRy scEnARio dEvElopmEnt (psd) WoRKshop REsUlts 23 PSD Workshops: Design Overview 23 Overview of Results from Local and National Workshops 23 Congruence with National Plans, including NAPAs 25 Range of Stakeholders, and Key Preference Criteria for Options 25 Adaptation Options: Key Sectoral Themes 25 Adaptation Pathways: Sequencing, Leveraging and Tradeoffs among Options 26 Relative Prevalence of "Hard" Versus "Soft" Adaptation Options 26 Policy Pre-Conditions and Institutional Base 26 Conclusions from Workshop Track 27 6. synthEsis And discUssion 28 Overview of Emerging Themes 28 Key Factors in Household and Area Resilience 28 Drivers of Vulnerability in Climate Change Contexts 28 Local and National Discourse around Climate and Hazards: Inputs to Decision Support Systems 29 Scale: Leveraging National and Sub-national Policies and Investments for Pro-Poor Adaptation 29 Multi-sectoral Analysis and Programming 29 7. conclUsions And REcommEndAtions 30 Summary of Findings 30 Responding to Direct and Indirect Impact of Climate Changes 33 Social Risk Management: Asset Development and Social Protection 33 Inputs to Adaptive Capacity to Support Vulnerable Groups 33 Policy Design and Implementation 33 Program Design and Implementation 33 REfEREncEs 34 AnnExEs 36 List of tabLes and figures: Main text figure 1. impact of climate-Related hazards in Africa 9 figure 2. drought probability map of Ethiopia 10 figure 3. chv livelihood Zone Boundary of Kalu Woreda 13 table 1. Kebelles selected for the village surveys 14 figure 4. mKp livelihood Zone Boundary of fentalle Woreda 14 d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s v figure 5. Wolaita maize and Rootcrops livelihood Zone Boundary of Kindo-Koysha Woreda 24 figure 6. similarity and commonality of the Adaptation options identified in local and national Workshops and the nApA of Ethiopia 25 List of tabLes and figures: annexes Annex table 1. matrix of socio-geographic Zones identified 36 Annex table 2. Key Adaptation options and criteria for selection: An Example from local-level Kalu Woreda 38 Annex table 3. matrix Ranking for midland with translation of the options and Ranking criteria (Kalu Woreda) 39 Annex table 4. national Adaptation pathway 40 Annex figure 1. impact diagram: socio-economic impacts of climate change identified by stakeholders (midland in Kalu Woreda) 41 Annex figure 2: chain of Effects of climate change on natural and social Environment in Karrayu pastoral community 42 Annex table 5. participatory scenario development Workshop Agenda (Kalue district) 43 Annex 6. household Questionnaire 44 List of Photos photo 1: land mismanagement leads to vulnerability in Ethiopia (soil Erosion in sloppy lands under cultivation) 66 photo 3: provide Water and they Will come: in drought prone Areas Water harvesting is important for livestock 66 photo 2: mobility is an Aspect of Adaptation for pastoral communities (camels) 66 photo 4: farmers and pastoralists trek livestock over long distance in dry seasons looking for Water 66 photo 5: hand-dug Wells as local Adaptation options (fetching Water for camels) 67 photo 7: Ethiopia: flood in dire-dawa in Eastern Ethiopia town in 2006 Killed hundreds of people and destroyed properties 67 photo 6: Water harvesting and Using scarce Water for growing vegetables ­ northern Ethiopia 67 vii aCronyms and abbreviaTions CALI Costing Adaptation through Local Institutions CHV Chaffa Dawa Valley CRDA the Christian Relief and Development Association DPPA Disaster Prevention and Preparedness Agency EACC Economics of Adaptation to Climate change ETSTA Ethiopian Science and Technology Agency IBCR Institute of Biodiversity Conservation and Research IPCC Intergovernmental Panel for Climate Change LIU Livelihood Integration unit MDG Millennium Development Goal MKP Minjar and Karayu Pastoralist livelihood zone MOARD Ministry of Agriculture and Rural Development MOFED Ministry of Finance and Economic Development MoWR Ministry of Water Resources NAPA National Adaptation Program of Action NGO Nongovernmental Organization NMA National Meteorological Agency PASDEP Plan for Accelerated Sustainable Development to End Poverty PSNP Productive Safety Net Program PCDP Pastoralist Community Development Program PSD Participatory Scenario Development UNFCCC United Nations Framework Convention on Climate Change viii aCKnoWledGmenTs country team leader Raffaello Cervigni (AFTEN) and country office sector liaison Edward Dwumfour (AFTEN). The research partner in Ethiopia was the The social component of the Economics of Adaptation Ethiopian Economics Association where the study team to Climate Change (EACC) study (hereafter `study') was led by Berhanu Adenew and included Fanaye was developed through the joint efforts of the World Tadesse. The survey component was undertaken by Bank Social Development (SDV) and Environment Royal Haskoning-Netherlands led by Arjan Ruijs and Departments (ENV) and LCR, AFR, EAP, and SAR Shebelle Consulting in Addis Ababa, led by Asfaw Regions of the World Bank; ESSA Technologies Ltd Mekonnen with Kidist Gebreselassi. Support in meth- and the International Institute for Sustainable odology and workshop design and for training of train- Development (IISD), Canada; and research institutions ers for the Participatory Scenario Development (PSD) in Bolivia, Bangladesh, Ethiopia, Ghana, Mozambique, workshops was provided by Livia Bizikova (IISD), and Vietnam. The study was undertaken by a core team Philip Bailey, Samantha Boardley (both ESSA). A sepa- led by Robin Mearns and comprising Anne Kuriakose, rate report is available summarizing the PSD work, Carina Bachofen, Nilufar Ahmad and Minna Kononen along with a training of trainers manual at www.world- (all SDV). An overall synthesis report of all six country bank.org/eacc. reports is available at www.worldbank.org/eacc. The study was designed and implemented in close collabora- We could not have completed this work without the tion with the team leader for the overall EACC study continuous logistical support provided by Hawanty (Sergio Margulis), and Ana Bucher, Laurent Cretegny, Page (ENV), Grace Aguilar (ENV), Mustafa Urvashi Narain, Kiran Pandey, Robert Schneider (all Pajazetovic, and Carmen Martinel (both SDV). We ENV) and sector consultants. gratefully acknowledge editorial services provided by John Felton, and production management provided by The Ethiopia country study for the social component Danielle Christophe (SDV) and Robert Reinecke. was led by Anne Kuriakose, Minna Kononen (SDV) and Nicolas Perrin (ECSSD), under the overall guid- Any remaining errors and omissions are entirely those ance of Robin Mearns, in collaboration with the EACC of the country study team. ix exeCuTive summary Ethiopia, there is a general consensus that Ethiopia will see greater climate variability and extreme events in coming decades. Hence, one of the strategies advisable The social component of the economics of adaptation for Ethiopia is management of climate variability. This to climate change (EACC) study employed two strategy includes improved management of land approaches in Ethiopia. Participatory Scenario resources, including soil, water, and forests. The report Development workshops were conducted at community by the National Metrological Agency (NMA) in the and the national levels to gather qualitative information National Adaptation Program of Action (NAPA) of and data, while a survey of sample communities was Ethiopia shows that in the future rainfall will decline in conducted for quantitative data-based assessment. The some parts while increasing in others parts of the coun- study found out that climate change and climate related try. Another report that used a statistical model, and hazards are clearly and significantly felt by the commu- was (presented to the national Participatory Scenario nities at the grassroots level. Climate change effects Development (PSD), projected a different result. That have been seen in Ethiopia over a long period of time report argued that the discrepancies in climate projec- through changes in the environment and natural tions are a matter of different data and also reflect the resources and influences on livelihood activities and the extent of uncertainty about the situation. On the other national economy at large; the later largely depends on hand, it is also noted that giving attention to increasing agriculture, which is especially vulnerable to natural variability and extreme events is important for to calamities. Ethiopia. Vulnerability to climate change effects is aggravated by Quantitative evidence based on the survey of sample social factors and the status of livelihood situation and households in selected hotspot locations in rural development. Adaptations to climate change vary across Ethiopia and the qualitative assessments through PSDs livelihood groups and zones. Adaptations are perceived indicate that farmers and pastoralists identify a wide as measures to improve livelihoods, the environment range of climate change adaptation strategies. The and rehabilitation of natural resources. Reforestation, adaptation options address various sectors. At the water harvesting, use of irrigation, and improved community-level discussions, in general, the identified productivity of crops and livestock are the common adaptation options mainly focused on land, natural adaptation measures perceived by the different commu- resources, and environmental rehabilitation and conser- nities. The adaptation pathways identified by local vation (including water harvesting, storage, and use). communities also coincide with the adaptation path- Specifically, these options are improved performance of ways at the national level. agriculture; better education and alternative livelihoods for youth; and access to social services and market infra- Although the different global models and downscaling structure. In some cases controlled population growth in models have made different climate projections for relation to pressure on natural resources access is also x t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA emphasized. Promotion and use of alternative energy instance, social vulnerability factors of pastoral commu- sources is also widely raised. Rangelands rehabilitation, nities include land alienation, conflicts over resources, planting of multipurpose trees (including fodder), and weakening of traditional institutions, asset depletion, controlled grazing and a regulated livestock stocking and food insecurity. Physical vulnerability relates to rate (especially in pastoral areas) are also emphasized recurrent droughts, erratic rainfall, floods, and invasive options. bushes/plants that destroy the range lands. Options for crop agriculture include crop selection, land Mobility of pastoral and semi-pastoral communities is rehabilitation, adjusting planting dates, and encouraging part of their climate change adaptation and herd home gardens. Communities used to practice adapta- management strategies. It is noted that interventions tions like planting short duration crops in the face of that restrict the mobility of pastoralists will make them erratic rainfall regimes and late on-set and early sessions more vulnerable to climate change effects. Hence, of rain. Locally identified/suggested practices mainly ensuring the group/community land and environmental focus on soil conservation, changing toward drought- rights, support for local institutions and indigenous resistant and early maturing crops, and improved water knowledge, and conflict resolution mechanisms resource management (water harvesting, storage, and strengthen the resilience of pastoral systems to climate use of irrigation schemes). These have practical implica- change related hazards. tion for agricultural research and technology, crop selec- tion, and breeding programs. Analysis of the climate change adaptation options iden- tified through the EACC-social component project Improved natural resources management through rais- (PSD workshops) reveals that, in general, the identified ing public awareness better enforcement of laws and options tally with or match with the government's regulations are also considered among the priority adaptation strategies as defined in the NAPA of options. Means of livelihood and income diversification, Ethiopia. The Ethiopian NAPA strategies include: skills training and better education for the young gener- drought/crop insurance; drought and flood early warn- ation are other adaptation options. Specifically, income ing systems; rangelands resource management; wet diversification includes temporal or permanent migra- lands management; natural resources research and tion, non-timber forest product commercialization, development; malaria control program; and home-garden agriculture, increase of market sales, char- agro-forestry. coal or timber sales, changing consumption patterns, and drawing down on livestock or savings. Of the nationally identified options for the broader areas like highlands, lowlands, and urban areas of Communal pooling techniques include restoration of Ethiopia, about 50 percent build on existing and homestead or mountain forests, rangeland preservation, on-going practices while the remaining 50 percent are soil erosion prevention programs, communal water options to be developed in the future. In terms of harvesting techniques, and communal irrigation timing, the options can be implemented in the short, schemes. Developing alternative energy sources like medium, and long-term time range. solar and wind energy were also mentioned. Better access to infrastructure and social services, finance, and Looking at the analysis of adaptation pathways, there markets also were noted. are requirements and preconditions needed for imple- mentation; and there are trade-offs and synergies In the areas of health, community members recalled (at among the various options of climate change adaptation the PSD workshop) that traditional medicinal plants options. Hence, fulfilling the identified requirements were used to mitigate human and livestock diseases that must be part of the planning and implementation of spread as a result of change in climate and environment. strategies. A multi-sectoral and integrated approach These included malaria, cholera, and trypanomasis. It helps to enhance the synergetic benefits while treating was found out that policies and institutions are impor- the trade-offs by maintaining the balanced effects of the tant for adaptation and to deal with vulnerability. For various adaptation strategies. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s xi The major preconditions for implementation of adapta- With regard to institutional access and climate adapta- tion options include: support by devising appropriate tion, the local level analysis (based on the survey) shows policies (input and output market, private sector partici- that in all kebelles and for all clusters from the two pation, land tenure, etc.); land and natural resources use survey districts, the local authorities and extension planning and enforcement; infrastructure; technology; agencies are the most important institutions with whom skill training; access to capital and finance; indigenous most households hold contacts. knowledge and local institutions; conflict resolution, peace and security; group rights and free mobility for It can be expected that particular institutions specialize pastoral communities; and media, communication and in particular adaptation strategies and, therefore, are raising public awareness. offering their assistance more often to households applying particular adaptation strategies. Local authori- From the discussion at the community levels, the major ties score second for most strategies, after extension indicators for prioritizing and selecting adaptation agents. Even though extension agencies are involved in options are severity of the problem, options that can be all strategies reported, their role is smaller for strategies implemented quickly, low expense, sustainability, related to livestock raising, migration, income diversifi- number of beneficiaries, immediate/fast results, and the cation methods (like handicrafts and non-timber forest extent of use of indigenous knowledge. production commercialization), marketing strategies, and other income diversification activities. Their focus is The household survey results in the Costing Adaptation more on agricultural and communal development. It through Local Institutions (CALI) study reveal that seems that they put less emphasis on promoting other many people will not know the costs of the climate strategies or that households do not recognize them to change strategies adopted, and many strategies will not be helpful with those issues. For some strategies, other have direct costs (e.g., change consumption habits), or institutions also play a role. For strategies related to people are reluctant to tell the costs. pastoralism and livestock raising, for instance, NG's are assisting. For some strategies there will be one-time investments costs, whereas other strategies have annually recurring Impacts of climate related hazards are accumulated costs. Moreover, for some strategies it is not immedi- through chains of direct and indirect effects. At the ately clear which measures require direct costs paid by community level discussions it was revealed that losses households as some measures may not have significant of biodiversity (e.g., staple crops) over a long period monetary costs associated with them (e.g., adapting time--due to changes in moisture regimes and preva- planting dates or adapting cropping densities). It has to lence pests and diseases resulting from changes in be concluded from the analysis of the cost data that it is weather patterns--have gradually led to food scarcity difficult to give reliable estimates of these costs and to and insecurity. These evidences show that the effects of give full insight into the reasons households have to pay climate change-related hazards need to be tackled at these costs. various levels. The costing framework adopted in the CALI study and Climate change has varied effects on social groups. questionnaire is already too elaborate to allow for more Some social groups are more vulnerable than others. For detailed questioning about these costing elements. A example, vulnerability to climate change effects emerge follow-up study, in which the emphasis is less on from various drivers including poverty in general and vulnerability profiles and more on the cost elements, the especially lack of access to assets and productive types of activities households must undertake when resources, skills, and livelihood diversification. implementing the strategy, and the type of institutional Adaptation also is influenced by the varying levels of assistance households received, may shed more light on capacities and skills, asset base, and livelihood experi- the exact estimates of the costs households have to pay ences across rural households. Social programs and and whether they can bear these costs themselves or safety nets are needed to address the needs of especially whether assistance is needed from outside institutions. vulnerable social groups. xii t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA There is a need for policy support to facilitate adapta- young generation, skills training, access to infrastructure, tion by, and build the capacity of, vulnerable groups. communications and market opportunities, land and Such policies need to be designed and appropriate atten- natural resources rehabilitation, population migration, tion and support given to their implementation. and urban economic development, etc., are raised in the Institutions that implement these policies need to be community level as well as national level consultations. empowered, capacitated and monitored. Comparison of These show that climate change adaptation needs a the local level knowledge generated at the community multi-sectoral outlook and programming. After the end discussions and the national level consultation shows of the PASDEP (the Plan for Accelerated Sustainable that the national adaptation measures need to be Development to End Poverty), the Ethiopian national designed taking into account local level experiences and development plan that follows (PASDEP II) should realities that are also diverse. The national investment take up climate adaptation and the issues of vulnerable policies and strategies should be informed by the group of the society as its core development agenda. regional and local needs and realities. While the regional investment policies should try to address those specific The issue of climate change being so significant, adap- needs, they have to also comply with and support the tation is a matter for national economic management national investment directions that are designed to and long-term direction. Resilience to climate change address the adaptation needs of the poor people. effects and hazards is not about one or two sectors. Rather it depends on the performance and capacity of Employment and income diversification, development the various sectors of the national economy. Hence, of agro-industries, improved quality education for the multi-sectoral analysis and programming is needed. 1 1. inTroduCTion and overvieW s Tu d y r aTi o n a l e a n d a P Pr o a Ch The rationale for undertaking the Social Component of s ummary of ea CC ProjeCT and Th e the EACC study stems from the very fact that climate s oC ial Com Ponen T change adaptation strategies and measures need to be based on their relevance to the socio-economic develop- This study is part of the World Bank's effort to prepare ment needs and address the problems faced by the most economic and sectoral evidence on the economics of vulnerable groups of society. The social component of adaptation to climate change (EACC). The study has the EACC study is important in order to understand the objective of assisting decision makers in developing the social dimensions of climate change adaptation and countries to integrate climate change adaptation related elements of risk management, resilience, and measures in their development policies and strategies. social protection (broadly defined), through: demon- Within the bigger EACC study, the purpose of the strating inter-linkages between sectors, making margin- social component is to identify robust adaptation strate- alized social groups and individuals more visible, gies and options at local levels and inform the national identifying institutional and policy reform challenges, adaptation measures. The social component also and focusing on "soft" as well as "hard" adaptation supports the EACC study by providing a methodology options. that focuses on the local level and on vulnerable and disadvantaged socioeconomic groups. It emphasizes the To demonstrate the significance of the social compo- benefit of building on existing adaptive responses and nent of the study of climate change, this approach uses practices. In addition, it focuses on soft as well as hard a methodology distinguished in the following ways: adaptation options. · A focus on the local level. Because most adaptation is The social component contributes to the EACC ultimately local, an understanding of local costs and study in several ways: i) it provides a basis for under- benefits is necessary to help inform macro-level standing how to structure adaptation interventions so efforts to increase local adaptive capacity by chan- as to benefit the most vulnerable households and neling investments where they are most needed. communities within vulnerable regions; ii) it helps to · A focus on vulnerable and disadvantaged socioeconomic assess the impact of socioeconomic status, gender, and groups. Poor, natural resource-dependent rural com- poverty in shaping a range of types of vulnerability of munities and households, as well as urban popula- different social groups to climate change; and iii) it tions affected by extreme weather events, will bear a helps to inform perceived cost-benefit estimates for disproportionate burden of the adverse impacts of alternative adaptation responses in different agro- climate change. The most vulnerable groups are ecological zones. likely to be those overwhelmingly dependent on a 2 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA single or a narrow range of climate-sensitive liveli- Research Process hood sources rather than those who are able to pool risks across several livelihood sources, including The methodological approach followed in the study some that are significantly less climate-sensitive. includes field Investigations and Participatory Scenario Assessing the local-level costs and benefits of adap- Development (PSD) workshops. The research process is tation responses is essential to understanding how to divided into five major elements: better support the adaptive capacity of the most dis- advantaged groups, including women, indigenous · Background data review people, and the poorest. · Identification of hotspots (vulnerable areas) · A focus on building on existing adaptive responses. · Development of vulnerability/livelihood profiles Understanding the costs and benefits of existing with elaboration of adaptation practices adaptation practices can help scale up or multiply · Conducting participatory scenario development existing adaptation responses that have a high bene- workshops to identify alternative adaptation path- fit-cost ratio, as well as improve other adaptation way options with stakeholders practices where benefit-cost ratios are low. Effective · Inputs to social analysis of adaptation strategies and adaptation pathways are likely to be those that pro- investment options proposed by EACC sectoral gressively reduce the degree of dependence on cli- studies mate-sensitive livelihood sources (e.g., through activities to enhance value chains through marketing The Social Component of the EACC attempts to or other improvements so as to increase market access address the following research questions: and the share of value retained by the producer). · A focus on soft as well as hard adaptation options. Even i. What factors make particular individuals, house- rough comparative estimates of technological and holds, or areas more vulnerable to the negative infrastructure-oriented adaptation options versus impacts of climate change? institutional and educational or skills-based adapta- ii. What has been people's experience of climate events tion options are currently missing from efforts to to date and what adaptation measures have they understand much it will cost to adapt to climate taken (both autonomous and planned)? change. The proposed methodology will undertake iii. How do different groups and local and national a preliminary examination of hard and soft adapta- representatives judge various adaptation options and tion options in specific agro-ecological environ- pathways? ments and with respect to specific climate hazards. iv. How do identified adaptation priorities align with · A focus on ground-truthing analysis provided by the sec- existing development strategies and policy toral analyses. Rapid assessment techniques will be emphases? used to elicit information on vulnerability to climate hazards as well as to take stock of corresponding C o nC e P Tu a l fr a m eW o r K adaptive strategies used by poor and vulnerable groups to confront climate change and variability. The social methodology draws upon a range of analyti- This bottom-up approach is valuable insofar that it cal frameworks, including the sustainable livelihoods serves to inform technical and policy experts in their framework, assets and capabilities frameworks, institu- priority setting for planned adaptation interventions. tional risk pooling approaches, social risk management · A focus on triangulation between different data sources. framework, and environmental entitlements analysis. As different types and sources of data will be used This methodological approach is intended to bridge the to generate details and explanations about vulnera- gap between community needs and priorities at the bility, climate risks, and adaptation strategies micro level and policy processes at the macro level, thus adopted by the poor, the social component allows emphasizing the need for higher-level policy develop- for validation of data through the triangulation and ment and planning to be informed by lessons learned cross-checking of assumptions reached through the and insights gained at the local level. By identifying and livelihood profiling and quantitative data sources. assessing the most urgent adaptation needs of the most d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 3 vulnerable populations as well as their local coping and consideration in planning for future adaptation inter- adaptive strategies, the proposed inter-sectoral, bottom- ventions. Adaptive capacity (of a household, area/ up approach provides recommendations for setting region, or country) to mitigate climate risk and priorities for actions and helps develop a robust, inte- enhance resilience is a function of such dynamic char- grated approach for increasing resilience to climate risks acteristics as: at the national and local level. · Human and social capital levels The major components of the research conceptual · Presence and quality of formal and informal framework include concepts and measures such as institutions climate exposure, vulnerability, adaptation, and adaptive · Existing governance, policy, and technology/ inno- capacity. vation frameworks · Resources such as fiscal status and planning Climate exposure is defined as actual and perceived systems changes in rainfall, temperature, and sea level rise along with the ensuing hazards, including drought, flood, and Adaptive capacity, thus, interrelates with sensitivity. storm surge [and relates to the climate i.e., the sensitivity Adaptation takes the form of autonomous (i.e., private of households and areas]. and/or collective) and/or planned (i.e., public-sector) adaptation. It is hypothesized that higher adaptive Vulnerability (in the context of this study) refers both to capacity and higher perceived climate risk/ exposure physical vulnerability ("exposure" to climate hazards) leads to higher propensity to adapt--with the converse and social vulnerability ("sensitivity' to climate risks also true. whether due to existing poverty levels, high dependence on natural-resource based livelihoods, or high levels of In this study, the PSD workshops prepared at the local social stratification or social exclusion due, for example, and national level, and field work investigations, exam- to caste or ethnic differences). ined the level of vulnerability to climate change effects and adaptive capacity in Ethiopia. Vulnerability is defined as a function of a range of biophysical and socio-economic factors, commonly K e y ar e a s o f i n q u i ry aggregated into three components that include an esti- mate of adaptive capacity, sensitivity, and exposure to asset and livelihood systems climate variability and change (Thornton et al, 2006). The study makes assessment of the assets and liveli- On the other hand, while sensitivity and exposure to hood systems through the use of quantitative survey current climate variability and change provide an esti- instruments and qualitative assessments in the partici- mate of the likely impacts across regions, socio- patory scenario developments workshops. The commu- economic factors play an important role in determining nity resources are assessed in by the standard survey the extent of variability within those regions, given the formats, while timelines are drawn by the workshop underlying adaptive capacity that prevail in those participants in relation to adaptation measures and regions. resource adjustments and requirements discussed in the workshops. How the various livelihood systems are Adaptive capacity is defined as: a) household and area affected by, and adapt to, the climate change-related resources (i.e., household and area asset base, in terms hazards are also explored. of natural, physical, human, social, and financial capital, e.g., existing area infrastructure investments); and vulnerability and Climate Change b).the prevailing policy and institutional framework (including, for example, land tenure framework, degree The survey and quantitative methods employed in this of decentralization, safety net provision, innovation study assess the determinates of vulnerability and and extension systems). Adaptive Capacity is a key factors that underlie the extent of vulnerability to 4 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA climate change among the various social groups. In the People in Places: socio-spatial approaches to PSD workshops, community members and other adaptation discussants outlined the timeline and recalled the historical events that resulted in commutative effects One of the assumptions for selection of hotspots/ related to vulnerability. For instance, the process of envi- vulnerable zones is consideration that adaptation to ronment and natural resources degradation has been climate change is influenced by the livelihood practices identified as one of the factors that aggravated vulnera- and experiences in natural resources management. bility to shocks. Hence, in the selection of zones an effort was made to combine physical vulnerability and social vulnerability Policy and institutional framework for Climate as reflected in many indicators. resilience The climate change adaptation through local institu- The existing key socio-economic development policies, tions involved the following key elements: strategies, and programs that are relevant for adaptation to climate change are also reviewed and analyzed. The · Six sites in both highlands and pastoralist areas institutional and organizational arrangements in place were selected for policy, strategy, and program implementations are · Both qualitative (KII) and household survey instru- also assessed. One of the major components of the ments used (300 HHs) identified adaptation pathways is the consideration of · Investigating household and area asset bases, insti- the policy and other requirements for implementation tutional systems, support mechanisms, climate haz- of the major/priority adaptation measures. ards faced, and past adaptation practices adopted · Cluster analysis conducted on groupings of such key variables as socioeconomic status, landholding, and livelihood composition. 5 2. soCial dimensions of ClimaTe 1961­90 climate has been taken as the baseline for the country. Future changes in climate were projected using ChanGe in eThioPia one transient and three equilibrium General Circulation Models (GCMs) and incremental scenarios. e x Pe CT ed PhysiCal imPa CTs of ClimaTe ChanGe in eThio Pia Only limited assessments have been made so far of the climate change impact on various socio-economic The long-term climatic change related to changes in sectors in Ethiopia. Impact and vulnerability assess- precipitation patterns, rainfall variability, and tempera- ments in priority sectors were undertaken as part of the ture are most likely to increase the frequency of process of developing the Initial National droughts and floods in Ethiopia. The country's heavy Communications of Ethiopia to the UNFCCC. The dependence on rain-fed and subsistence agriculture NAPA document provided analysis of rainfall variability increase its vulnerability to adverse effects of these and trend (NAPA 2007 p. 31). Baseline climate was changes. In general, the level of vulnerability of different developed using historical data of temperature and social groups is determined by both socioeconomic and precipitation from 1971­2000 for selected stations. The environmental factors. The poor rural people who do analysis provides the year-to-year variation of rainfall not have access to different livelihood options, infra- over the country expressed in terms of normalized rain- structure, and institutional setups are known to be the fall anomaly averaged for 42 stations. The data shows most vulnerable. that the country has experienced both dry and wet years over the last 55 years. The trend analysis of annual rain- According to the Intergovernmental Panel on Climate fall shows that rainfall remained more or less constant Change (IPCC 2001), vulnerability to climate change when averaged over the whole country. Similarly, depends on adaptive capacity, sensitivity, and exposure temperature variability and trend was analyzed (NAPA to changing climatic patterns. In the Ethiopian context, 2007, p. 33). the farming community is the most vulnerable because of its high dependence on agriculture for its livelihood. The year-to-year variation of annual minimum temper- Even within the farming community, small-scale subsis- atures, expressed in terms of temperature differences tence farmers and pastoralists are particularly vulnerable from the mean and averaged over 40 stations, is to climate change related hazards like drought; these provided. The result shows that the country has experi- hazards include shortage of food and water for human enced both warm and cool years over the last 55 years. sand livestock, diseases, etc. However, the recent years are the warmest, compared to the early years. The data reveals that there has been a According to the INC of Ethiopia, for the purpose of warming trend in the annual minimum temperature vulnerability assessment and adaptation options, the over the past 55 years. Temperature has been increasing 6 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA by about 0.370C every ten years. Another study made of countries, Ethiopia is one of the countries marked to Africa as a whole (Elasha et al. 2006) that analyzed the face fresh water scarcity by 2025. historical and current climatic conditions based on observed changes, reports that based on historical records Africa is already vulnerable to a number of climate- a warming of approximately 0.7°C over most of the sensitive diseases (Guernier et al. 2004). For example, continent during the 20th century is reported in the Rift valley fever, which afflicts people and livestock, is IPCC TAR (2001). Observational records show that closely related to heavy rainfall events, which are this warming occurred at the rate of about 0.05°C per predicted to increase with climate change. An outbreak decade, with a slightly larger warming in the June­ in 1997 associated with an El Niño event killed up to November seasons than in December­May. 80 percent of the livestock in Somalia and northern Kenya. Scenarios performed for desert areas show great varia- tion across Africa for the period 2071­2100 relative to Socio-economic scenarios have also been prepared until the period 1961­1990 (IPCC 3rd Synthesis Report the year 2030. Five socio-economic sectors--agriculture 2001). Other regional predictions for changes in (crops and livestock), forestry, water resources, wildlife temperature and rainfall suggest the following likely and human health--have been considered in our effects over the next 30 years (2010­2039): i) a decrease vulnerability and adaptation assessment. Africa's vulner- in rainfall of 10­25 percent over the northern parts of ability to climate change is acknowledged in the IPCC Africa; and ii) an increase in rainfall of 10­35 percent in TAR, areas of particular concern to Africa being: water the western part of the continent during normally dry resources, agriculture and food security, human health, months. On the other hand, East Africa has displayed a ecosystems and biodiversity, forestry, coastal zones and stable rainfall regime. For instance, the drier areas of attaining the Millennium Development Goals (MDGs) eastern and South Eastern Ethiopia are shown to (Elasha, et al., 2006). exhibit a change in mean precipitation of 0­0.25 mm/ day However some studies have indicated that, these The NAPA of Ethiopia indicates that developing coun- general trends may include hidden variations within the tries in general, and least developed countries like regions, and some countries, for example in southern Ethiopia in particular, are more vulnerable than indus- Africa, may be drier in general terms, while some coun- trialized countries to the adverse impacts of climate tries of the region may become wetter than the average. variability and change. This is due to their low adaptive capacity and the high sensitivity of their socio-economic On the other hand, the broad study of Africa (Elasha et systems to climate variability and change. Sensitivity al. 2006) reports that the extreme events results of the and adaptive capacity also vary among sectors and Global Circulation models suggest that, in general geographic locations, time and social, economic and terms, the climate in Africa will become more variable environmental considerations within a country (NMA with climate change.1 The exact nature of the changes 2007). It is concluded that current climate variability is in temperature, precipitation, and extreme events are not already imposing a significant challenge to Ethiopia by known and are still debated, but there is general consen- affecting food security, water and energy supply, poverty sus that extreme events will increase and may get worse. reduction, and sustainable development efforts, as well as by causing natural resource degradation and natural Key impacts and vulnerabilities to future climate change disasters. are discussed by the study. One major impact concerns water availability. Demand for water is also increasing, Drought and famine, flood, malaria, land degradation, leading to worries regarding future access to water. By livestock disease, insect pests, and earthquakes have 2025, it is projected that around 480 million of people in Africa will face either water scarcity or stress with a subsequent potential increase of water conflicts (almost 1 The lack of observational climate data, particularly in Africa, is recog- all of the 50 river basins in Africa are transboundary). nized as a constraint to understanding current and future climate vari- Along with other Horn and Northern African ability (DFID, 2004 quoted in Elasha et al. 2006 p 8). d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 7 been the main sources of risk and vulnerability in most drought-tolerant or early-maturing crop varieties usually parts of Ethiopia. Recurrent droughts, famines, and-- require access to inputs such as fertilizer and pesticides recently--floods are the main problems that affect in order to produce higher yield and production. millions of people in the country. Climate hazards, Moreover, household characteristics--including the mainly droughts, have caused instability in national education level, sex, and age of household heads--are economic performance and have hampered poverty found to affect the probability of adaptation. Higher reduction efforts. level of educational attainment is associated with better access to information and awareness on climate change, While the causes of most disasters are climate-related, improved technologies and higher productivity, and, the deterioration of the natural environment due to hence, better adaptive capacity. By contrast, the part of unchecked human activities and poverty has further population with low levels of educational attainment is exacerbated the situation (NMA 2007 p. 27). For exam- characterized by low adaptive capacity. ple the impacts of past droughts--such as those in 1972/73, 1984, and 2002/03--are still fresh in the According to McMichael et al. (2007) the most impor- memories of many Ethiopians. Other extreme events, tant climate-related health outcomes are malnutrition, like the floods in 2006, caused substantial loss of human diarrhea, and malaria. Climatic changes also bring about life and property in many parts of the country. These the distribution and abundance of plant and livestock challenges are likely to be exacerbated by anthropogenic pests and diseases that adversely affect agricultural climate change. production. Shewmake (2008) stress that for farm households, an increase in the frequency of climate- Cholera, associated with both floods and droughts, may related income shocks could lead not only to lower increase with climate change. Increased temperatures expected income, but also to higher income variance could increase the levels of cholera bacteria in tropical causing them to fall further below the poverty thresh- seas and lakes. Changes in rainfall will affect the trans- old. Those households who are already poor and do not mission potential and the presence (or absence) of have access to infrastructures such as credit and insur- vector- and water-borne pathogens (IPCC 2001). ance markets are forced to bear all the shock on their Studies show that increased flooding could facilitate the own, worsening their situations even further. breeding of malaria carriers in formerly arid areas. Small geographical changes in the distribution of malaria may The Ethiopian NAPA documents that traditional and expose large numbers of people to infection, e.g. densely contemporary coping mechanisms to climate variability populated East African highlands (Cox et al. 2002; and extremes in Ethiopia include changes in cropping Lindsay and Martens, 1998, quoted in Elasha, et al. and planting practices, reduction of consumption levels, 2006). Historical and current distribution of malaria collection of wild foods, use of inter-household transfers assessed by Elasha et al. (2006 p. 24) shows that by and loans, increased petty commodity production, 1870 malaria was prevalent in the western half of temporary and permanent migration in search of Ethiopia but by the year 2000 had expanded to all of employment, grain storage, sale of assets such as live- the eastern half. stock and agricultural tools, mortgaging of land, credit from merchants and money lenders, use of early warn- The adaptive capacity--the ability to adjust to actual or ing system, food aid (NMA 2007 p.16). expected climate impacts--of farmers is mainly influ- enced by wealth, technology, availability of infrastructure n aTi o n a l P l a n n i nG f o r C l i m aTe and supportive institutions, the potential for irrigation, C h a nG e : n aPa a n d oTh e r s Tr aTe Gi e s and literacy rate (Deressa et al. 2008). Households with higher wealth levels are better-positioned to effectively The government of Ethiopia has made important insti- absorb and recover from losses induced by shocks more tutional arrangements toward dealing with climate quickly than poorer households. Access to technology is change and adaptation strategies and interventions. One another factor that determines the adaptive capacity of of the measures taken was preparation of the National farmers. Technology packages that include Adaptation Program of Action (NAPA) for Ethiopia. 8 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA The preparation of NAPA was initiated and coordi- implement community-based health education nated by the National Meteorological Agency. A project programs to create the awareness of and develop the Steering Committee with representatives from the vari- knowledge about personal hygiene and environmental ous stakeholder institutions was established to provide health management; develop and introduce surveillance overall guidance and oversight for the project. The systems; introduce methods of vector control for health committee had members from the Ministry of Water workers and the community; provide training programs Resources, Ministry of Agriculture and Rural to build the manpower capacity needed to improve the Development, Ministry of Finance and Economic provision of health extension services at the local level; Development, Disaster Prevention and Preparedness support health research and community health services Agency, Ethiopian Science and Technology Agency, through the supply of drugs; and help the development National Meteorological Agency, Addis Ababa of health facilities and infrastructure. University, Institute of Biodiversity Conservation and Research, Ethiopian Rural Energy Promotion and The Ethiopian government has taken up the issue of Development Center, and the Christian Relief and climate changed and adaptation among the priority Development Association (CRDA) as an umbrella agenda, not only nationwide but also at the African organization representing NGOs. continent level as seen in the recent Copenhagen Summit and negotiations. Extensive public consulta- The Energy Policy initiates and develops projects that tions took place, including at the community level to promote the use of alternative and or non-wood energy support the negotiation process and positions. sources (e.g., bio-gas, fuel-saving stoves). It also helps to increase awareness about the effect of pollution on the o v e rv i eW o f so Ci a l v u l n e r a b i l iTy i n environment through IEC, with focus on energy utili- e Th i o Pi a zation and environmental education; and enforces laws and regulations to protect and prevent pollution and Droughts2 and floods are the most frequent climate- ensure utilization of local factories that are environmen- related hazards facing Ethiopia. Ethiopia is known to be tally friendly. highly vulnerable to drought, which is the single most important climate-related natural hazard impacting the The national water resources policies and strategies are country from time to time. Major droughts in Ethiopia aimed at: conducting water resources assessment studies in recent times were in the late 1950s (in northern (inventory of surface and underground water quality parts), in 1972/73 (northeastern in Tigray and Wollo), and quantity) to develop proper use of available water in 1984/85 (in major parts of the country), 1994 (in the resources; introducing improved methods of water low land pastoral areas), in 2000 (in the southern conservation, storage, and rational use; construction of lowland pastoral areas), in 2002/3 (in major parts of the small check dams and rainwater harvesting schemes to country), and in 2007/8 (in many areas in the highland meet water supply for domestic and irrigation use; and lowlands). Droughts have been chronic events in undertaking soil conservation measures that help to some areas of the country for many years, as evidenced reduce soil erosion and siltation and also reduce the by harvest failures, especially in areas where food aid pollution of water sources; implementing watershed and recent productive safety net programs have been management and water conservation programs/projects implemented over the years. Drought and, subsequently, that promote local community participation; introduc- famine, have had serious impacts on human life and ing disaster prevention actions and methods to prevent property in the country. floods, including maintenance of flood control struc- tures; and managing and tackling droughts as well as The other climate-related hazard that affects Ethiopia the associated slow on-set of diseases. is flood. Major floods caused loss of life and property in The Health policy aims to: implement programs that help to prevent and control communicable diseases like 2 Referring to the UNDP (2004), Elasha et al. (2006) define drought in malaria through community participation; organize and general terms as a 50 percent shortfall in rainfall over three months. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 9 different parts of the country in 1988, 1993, 1994, 1995, West Shoa, at 50 km West of Addis Ababa due to 1996, and 2006. Flash and seasonal river floods have heavy flood disaster inflected by the overflow of the affected areas in the Afar Region along the Awash Awash River. Similar situations also occurred in Afar, River, in the Somali Region along the Wabi Shebele Western Tigray, in Gambella and the low lying areas of River and in the Gambela Region along the Baro- Lake Tana in Amhara region. Akobo River, in the Southern Nations, Nationalities and Peoples Region along the Oomo-Gibe River, and A research paper by Elasha et al. (2006) covered the Bahir-Dar Zuria and Fogera areas along the Abbay main issues relating to impacts, vulnerability, and adap- River in the Amhara Region (Endalkachew et. al., 2004 tation to climate change in Africa. The paper mentioned quoted in NAPA p. 37). that it is not uncommon for some countries to experi- ence both droughts and floods in the same year; the For instance, recently in the 2006 main rainy season flooding experienced in East Africa followed periods of ( June­September), flood caused disasters in many loca- extended drought. Ethiopia experienced drought early in tions. More than 250 people died, about 250 people 2006, but it also suffered severe floods in early August were unaccounted for and more than 10,000 people that year that killed more than 200 people (with another became homeless due to the flood that occurred in 250 still missing) in the eastern part of the country. Dire-Dawa town located in eastern Ethiopia. More Ethiopia was identified among the countries with the than 364 people died, and more than 6000 people were major flood events around the world in 2006. displaced due to flooding of about 14 villages in South Omo zone in place called Dasenech located in Kuraz The Ethiopian NAPA document (p. 36) identified woreda. More than 16,000 people were displaced in major adverse impacts of climate variability in Ethiopia. fiGure 1. imPaCT of ClimaTe-relaTed hazards in afriCa Source: naPa of ethiopia (nme 2007. p. 38) 10 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA As shown in the NAPA document itself, from the long fiGure 2. drouGhT ProbabiliTy maP of experience of drought incidence, areas of the country have eThioPia been designated as having varying levels of probability of drought (see figure 1). According to this assessment, much of the lowland areas in the east, southeast, and northeast parts of the country are in the high drought probability zone. The central, southern, northeastern, and eastern highlands, as well as the western lowlands, fall within medium drought probability zones. On the other hand, the western and central north highlands, and parts of the southern highlands, are known to be areas of lower drought probability. The areas identified as vulnerability zones (hotpots) for climate change fall within the high and medium drought probability zones. The community-level discussions (in the local PSDs) reveal that the following social groups are relatively more vulnerable to climate-related hazards than other groups: a. Resource poor households which have no or very limited alternative means of coping with the effects of climate-related hazards; Source: naPa (p. 38). b. Women and children who have limited ability to leave their places of residence during times of drought and production failures, thus forcing male adults to migrate and search for jobs; c. The elderly and sick, who have little capacity to These include i) food insecurity arising from droughts support themselves; and floods; ii) outbreak of diseases such as malaria, d. Pastoral communities who live in resource-related dengue fever, water-borne diseases (such as cholera and conflict zones and have limited mobility to move to dysentery) associated with floods, and respiratory cope with droughts, for instance. diseases associated with droughts; iii) land degradation e. Communities who live in already precarious situa- due to heavy rainfall; and iv) flood damage to commu- tions of land and natural resources degradation and nications, roads, and other infrastructure. where agricultural production is poor. 11 3. researCh meThodoloGy The output of these workshops is expected to help Ethiopia take stock of plausible future adaptation path- ways for different livelihood groups and areas; it also researC h sTraT eGy and ques Ti o n s will highlight the distinct distributional implications of such activities. Incorporation of these issues ensures The study social component of the Economics of consideration of local perspectives, which may serve as a Adaptation to Climate Change study has two major valuable guide for the planning and priority-setting research components: the participatory scenario devel- process carried out by technical and policy experts who opment (PSD) workshops and local consultations at the may have a more system-wide perspective at the local and national levels, and the assessment of climate national level. adaptation through local institutions (CALI). The elements and process of the PSD workshops is The core methodology in this study was comprised of elaborated and provide in the background reports (local three local PSD workshops in selected hotspots that are and national level workshop reports) of this study. physically and socially vulnerable to climate change impacts, and one national-level PSD workshop. The As a second component, the study involved a local rural aim of these workshops was to help stakeholders iden- community survey component that aims to assess tify alternative adaptation pathway options. climate adaptation through local institutions (CALI)3. The objectives of the climate adaptation through local These PSD workshops helped to characterize various institutions (a subcomponent of the EACC--the social adaptation pathways possible within the different liveli- component) project are: (i) to identify the costs of adap- hood groups, given their identified vulnerabilities and tation through local institutions, and (ii) to investigate assets and prevailing conditions of uncertainty, and the which institutions support households to adapt to broad countrywide geographic regions and systems climate variability, which efforts and costs have to be (highlands, lowlands, and urban settings). Initially, prior made for realizing the adaptation options, how these to conducting PSD workshops, some hotspots/vulnera- institutions interact, and how they facilitate adaptation ble areas and social and livelihood groups in the country to climate variability. The focus of the project is to were identified. Out of these location and livelihood conduct a field survey to look at the adaptation options groups, three districts were selected for the PSD work- shops and consultations. 3 This summary report on CALI is based on a back- Participants of the PSDs were drawn from government ground study report: Costing Adaptation through Local representatives and local experts, along with representa- Institution. Village survey results ­ Ethiopia. The World tives of vulnerable livelihood groups and communities. Bank. March 2010. Draft Report. 12 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA households currently apply or have adopted in the past s i Te se l eC Ti o n a n d s a mP l i nG in order to reduce the hazards from climate variability. These hazards--which include the risk of delayed start background to sites of the rainy season, prolonged periods of drought, floods, and temperature changes--are expected to Two woredas (districts) were selected for conducting the become more severe and occur more frequently in the CALI study and community-level and institution survey. future. The woredas are Kalu from the Amhara region in South Wollo zone and Fantalle from the Oromia region in the The first step of the costing methodology is to learn eastern Shoa zone. These two woredas were also selected which adaptation strategies are applied most frequently for the local PSD workshops conducted in the social by rural households. Four types of strategies are component part of the study. In terms of the on-going distinguished: important government and donor supported develop- ment programs, a productive safetynet program (PSNP) · Agricultural techniques to adapt to changes in rain- is being actively implemented in Kalu woreda, while the fall regimes. Examples include changing seed selec- PSNP and pastoral community development program tion, adapting planting dates, adapting fertilizer (PCDP) were under implementation in Fantalle woreda. application, adapting feed techniques, improving food storage facilities, and changing the pastoral Kalu woreda system. · Water management techniques to adapt to changes Kalu woreda is located in northeastern Ethiopia in the in rainfall regimes. Examples include use of water South Wollo administrative zone of the Amhara harvesting techniques, rehabilitating terraces, Regional State. It consists of highland, midland, and improving irrigation techniques, and improving lowland agro-ecological zones. According to the watering sites in pastoral areas. Livelihood Implementation Unit of the Ministry of · Diversification techniques to diversify the income Agriculture, Kalu woreda has three main livelihood sources. Examples include temporary or permanent zones: South Wollo and Oromiya Eastern Lowland migration, use of alternative sources for fuel wood, Sorghum and Cattle (SWS) livelihood zone, South home-garden agriculture, and changing the con- Wollo Belg (SWB) livelihood zone, and Cheffa Valley sumption pattern or drawing down on livestock. (CHV) livelihood zone. The study kebelles (neighbor- · Communal pooling techniques. Examples include hood administrative units) have been chosen from the reforestation, rangeland preservation, communal South Wollo Belg zone and the South Wolo and food storage facilities, and local water management Oromia Eastern lowland and cattle livelihood zones. rules. The CHV livelihood zone covers a large geographic Secondly, in the costing framework for the different area across North Shewa, Oromiya, and South Wollo adaptation options, it was indicated which costs have administrative areas in Amhara region (see Figure 3). to be made in order to implement the options. This The zone has a predominantly kola agro-ecology with a refers to: relatively reliable rainfall pattern that feeds several major rivers. Rain-fed crop production, mainly during · Monetary costs that have to be made by the the kremt season ( June to mid-September), and live- household; stock are the main economic activities. The short belg · Household labor requirements; rainy season occurs during February to April. The main · Household training requirements; food crops in the zone grown are maize and teff while · Required help from the community; the main cash crops are masho (mung bean), tobacco, · Required help from institutions, such as govern- fruits, and vegetables. The laborious task of plowing is ment authorities or NGOs; and done by men while most weeding and part of the · Monetary needs by institutions, necessary to imple- harvesting is done by women. There is seasonal inflow ment their work. of migrant laborers from Wollo and Shewa to the zone d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 13 crop production characterize the MKP livelihood zone. fiGure 3. Chv livelihood zone boundary Sheep, goats, cattle, and camels are the livestock found of Kalu Woreda in the district. All are used for milk production for both home consumption and sales. There are two main rainy seasons in this zone: ganna, the long rainy season which occurs during July to August, and arfasa, the short rainy season during March to April. In terms of the division of labor, children keep goats, women collect firewood, and men make and sell charcoal. Maize is the only food crop in the zone which is produced in the ganna season after the preparation of land during the arfasa season. April to May and December to January are the seasons of hunger. Crops are traded within the zone while live- stock are mainly traded outside the zone. Livestock holdings are generally large, and wealth in the MKP livelihood zone is determined by the amount of live- stock owned, i.e., camels, plow oxen, cows, goats, and sheep. Plow oxen are owned by the better-off and middle-income households. Source: liu/dmfss, 2008. Drought, livestock disease (e.g., PPR, goat and sheep pox, CCPP, black leg, and Trypanosomiasis) and conflicts in search of harvesting labor employment. Cattle and with neighboring communities and districts are the main goats are the main livestock reared in the zone. The size hazards that affect the communities in this zone. of land and oxen owned are the main indicators of Shortage and erratic distribution of rainfall causes crop wealth in the zone. losses and shortages of water and pasture for animals. The kebelle of Gola, one of the studied kebelles in the The major hazards in the zone include crop pests (e.g., district, also faces flood risks along the Awash River. The stalk borer and shoot fly attacking sorghum and teff ), Awash River starts from the Central Ethiopian livestock diseases, and drought (occurring on average Highlands and flows east and northeastward in the Great once every five years). Household coping strategies Rift Valley. Rainfall from the highlands reaches the area include migration to the neighboring towns (the but cannot move along due to the dikes built to protect distance of which increases with the severity of the the Matahara sugar estate, which is nearby Gola kebelle. problem) and sale of goats. Coping strategies include increasing the volume of live- stock sales; migration, particularly of camels during the Fentalle woreda dry season (October­January); shifting expenditures from household items to purchase of staples; selling firewood Fentalle woreda is located in the eastern Shoa zone of and charcoal in nearby towns; and participating in public the Oromiya Regional state. Crop production is only a works projects to earn cash ( January­June). recent phenomenon in the predominantly pastoralist woreda of Fentalle. The woreda has two major livelihood For the purpose of this study, four kebelles were chosen zones: Minjar and Karayu Pastoralist (MKP) Livelihood from Kalu woreda, (highlands and midlands) and two Zone and Rift Valley Maize and Horsebean Livelihood were chosen from Fentale woreda. Criteria for the Zone (RVM). The kebelles have been chosen from the selection of kebelles kebele included the following: MKP livelihood zone. kebelles with mainly livestock and mainly crop farming systems; kebelles having different cropping systems; The lowland MKP livelihood zone makes up the major kebelles facing different climate hazards; kebelles with part of Fentale woreda (see Figure 4). Livestock and sufficient rainfall season variation (e.g., 14 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA Selection of villages from these woredas was done fiGure 4. mKP livelihood zone boundary together with the district administrations and the of fenTalle Woreda PSNP and PCDP program officers that operate in the respective districts. The kebelles selected for the survey work are shown in Table 1. m e Th o d s : To o l s e m P l o y e d Various interview techniques were used to assess ranges of costs households have paid in the past to adapt their strategies to climate-related hazards. For the institu- tions, it was assessed which institutions rural households most frequently contact and to what extent they assist households to reduce their hazards. Next, it was evalu- ated what type of resources these institutions need in order to perform their tasks. These estimates serve as a basis for judging the investments or aid needed by the government or donors to promote particular adaptation interventions. These show which entry points can be selected in order to promote particular strategies. Source: liu/dmfss, 2008. a P Pr o aC h To d aTa an a ly s i s Based on household surveys, focus group discussions, with and without the belg rains); kebelles in different and institutional stakeholder interviews, this study agro-ecological zones (high-, mid- and lowlands); assesses household vulnerability, analyzes the strategies kebelles from different woredas; and kebelles covered by households adopt to reduce the hazards faced, and eval- any of the Productive Safety Net Programs of the uates the assistance households receive from institutions. World Bank. Moreover, for practical reasons, it was Vulnerability profiles have been formulated, which show decided to choose kebelles from two woredas to save that household vulnerability differs substantially travel time. between and within villages. Size and diversity of Table 1. KebelleS seleCTed for The villaGe surveys Kebelle Woreda Livelihood zone1 Altitude Population size1 Distance to nearest town2 1 haro Kersa fentale A 800 m 904 30­35 km 2 gola fentale A 800 m 2,213 15 km 3 choresa Kalu B 1,450­2,000 m 5,829 10 km 4 Birko debele Kalu c 1,450­2,000 m 8,571 20 km 5 Keteteya Kalu d 2,000­2,600 m 9,338 45 km 6 hardibo Kalu d 2,000­s2,600 m 7,900 35 km source: liu/dmfss (2008). ministry of agriculture and rural development. Note: 1) a = minjar and Kereyu Pastoral zone, b = Cheffa valley zone, C = south Wollo belg zone, d = south Wollo and oromia eastern lowland & cattle zone. 2) The nearest town to haro Kersa and Gola is matahara. distance to addis ababa is about 200 km. The nearest town to the kebelles in Kalu is Kombolcha. Choresa is situated next to the main road to Kombolcha. hardibo is difficult to reach as only a badly maintained dirt road goes to the kebelle. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 15 income and the ability to flexibly decide on alternative the Social Component study of the same project. At the measures to mitigate the adverse climate effects (which launching of the study, key stakeholders including the depends, for example, on levels of education and the Ethiopian Economics Association (implementer of the dependency ratio) have effects on the adaptation social component of the study project) and the Country options households adopt and the type of institutional Bank office staff were invited to comment on and assistance they receive. contribute inputs to the study design. Also, member of the CALI research team took part in two local PSD To obtain more information about the costing of adap- workshops as facilitator for the workshops organized by tation options, the costs that the households incurred the Ethiopian Economics Association. The CALI for each of the strategies adopted were estimated. A preliminary results and findings were also briefly costing framework has been developed to capture the presented to the national PSD workshop organized in labor, material, and cash cost that the households October 2009. T Bank staff were also present at the incurred during the first year when each of the identi- latter event. fied strategies was adopted. li m i TaTi o n s o f s Tu d y A Spider diagram is used to summarize key characteris- tics and parameters to describe the sample survey This study has two major limitations: i) reliance on households in the study kebelles. one-time cross-sectional data; and ii) limited area cover- age in terms of sample locations selected for the study, i nT era CT ions WiT h oT her ea CC which might hinder drawing conclusions for a country se CTor sTudy Teams and ban K s Ta f f like Ethiopia, with its huge agro-ecological and socio- economic diversity. The CALI study benefited from intensive communica- tion with the other stakeholders and partners including 16 4. fieldWorK resulTs recent emergence of agro-pastoralism and some limited cultivation of land owned by private households. The livelihood is based on livestock and crop production. overvieW and inT roduCT ion To ar e a s Sheep, goats, cattle, and camels are the livestock found of i nvesTiGaTion in the woreda. Two rainy seasons are identified: ganna, the long rainy season during July to August and arfasa, asset base and livelihoods the short rainy season during March to April. Whereas crops are traded locally, livestock is mainly traded The study was conducted in two woredas (districts). outside the district. Wealth is partly determined by the These are Fentalle woreda in Oromia regional state and number of livestock owned. Drought, livestock diseases, Kalu woreda in Amhara regional state. Village surveys and conflicts with neighbors are the main hazards were conducted in six kebelles selected from the two affecting the Fantalle pastoralist communities. Shortage woredas. Information used to describe the two woredas and erratic distribution of rainfall cause shortage of is mainly based on data obtained from the Livelihood water and pasture for animals and stunting of crops. Implementation Unit from the Ministry of Agriculture (LIU/DMFSS, 2008). The kebelle description is based Kalu woreda is located in the Amhara Regional State. on the survey data. An analysis of the differences Kebelles in the midland and highland areas were selected between the kebelle and the effects on their levels of for this study. The four study kebelles in Kalu woreda vulnerability is presented. have average altitudes that range between 1,450 masl to 2,600 masl. The study kebelles are densely populated, Fentalle is a predominantly pastoralist woreda in which with a range between 5,800 in Choresa to 9,330 in crop production (the emergence of agro-pastoralism) is Keteteya. The midland kebelles have more fertile land only a recent phenomenon. The two study kebelles in and lower population densities than the highlands, Fantalle have average altitude of 800 masl. The woreda is because they are in a more favourable agricultural situa- sparsely populated with some difference between the two tion. Rainfall variability between mid- and highlands is study kebelles. Haro kersa has a population of 904 people similar even though the second, shorter rainy season is while Gola has 2,213. A number of households from one becoming more irregular, especially in the midlands. of the kebelles, the village of Gola, are participating in the This regularly causes food shortages during some peri- Pastoralist Community Development Project. Haro Kersa ods of the year. In all villages in the sample, some kebelle is not yet involved in any of the large-scale devel- households participate in the Productive Safety Net opment programs of the Ethiopian government. Programme (PSNP). The karau pastoralist community in Fenatlle woreda The livelihood zone in Kalu woreda in which the high- uses the land resources as a communal property with a land villages are located is characterized by rain-fed d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 17 crop production in the main rainy season of kremt Many important hazards are related to climate only indi- ( July­September). The area receives the lowest average rectly. For all kebelles, inflation in food prices has been annual rainfall (726 mm) of the livelihood zones in the one of the major hazards. In Kalu woreda, the midland Amhara Region. Plowing is done by men, while weed- and highland kebesles have serious soil erosion, whereas ing and harvesting are done both by men and women. for the pastoral kebelle in Fantalle, animal diseases are The major livestock in the area include cattle, goats, important hazards. Increased climate variability can and sheep. Men are responsible for looking after the aggravate these hazards. For the pastoralist communities, cattle, while women take care of small livestock, and it was quite often mentioned that conflicts with neigh- children help with both. Livestock and cultivated land boring villages have increased. These conflicts were espe- holdings are indicators for wealth in the zone. In terms cially related to shortages of water and good quality of risks other than climate variability, the highland grazing lands. Conflicts not only cost life and property, kebelle faces soil erosion problems. The major hazard is they also constrain the mobility of pastoralists, thereby less rainfall and prolonged periods of drought. leading to underutilization of range land resources and Increasing food prices, decreasing soil fertility, and crop reduced livestock productivity and food insecurity. and human diseases are perceived as important hazards. These hazards cause chronic food insecurity Climate-related hazards are important for the farmer for the majority of the households, especially in July and pastoralist households. Less rainfall during the rainy and August. season and prolonged periods of drought are the most important climate-related hazards. "High food price experience with Past Climate variability and inflation" also scores high. Rising average and extreme hazards temperatures are problems, especially for the pastoralists. For them, higher temperatures lead to higher incidence Looking at the hazards households face, it is clear that of animal diseases and shortages of water. reduced rainfall levels and prolonged periods of drought are the major hazards for most farmers and pastoralists Gender effects of climate-related hazards also are noted. in all kebelles, except for Gola in Fantalle woreda where Women suffer the immediate effects of water and food the risk of floods in heavy rainy months is the major shortages in the household as a result of changes in the threat. During the focus group discussions, several rainfall patterns because they are normally responsible participants indicated that the quantity and periodicity for providing water and cooked food for their of rainfall have changed over the past decades. The situ- households. ation seems to vary between the highland, midlands and lowland areas. The highland area has two rainy seasons Vulnerability profiles differ substantially among the six and therefore two production seasons: the belg rains (the study kebelles. A spider diagram was used to summarize short rainy season from January to June) and the kiremt the main vulnerability characteristics for the kebelles. rains (the long rainy season from July to September). The results have been put into a 0 to 1 scale, in which 1 This puts them in a better position than most of the indicates being least vulnerable. The smaller the surface mid- and lowland areas. The belg rains, however, have of the spider web, the more vulnerable a kebelle is. almost disappeared from the highlands, especially Illustrating vulnerability by using a spider web diagram during the past five years. clearly shows the multifaceted character of vulnerability. Only by considering a number of characteristics simul- High temperature affects water availability and labor taneously can an adequate view of vulnerability be productivity. Next to diminishing rainfall, rising temper- obtained. ature also affects farming practices and yields. As a result, farmers face a reduced number of productive The following conclusions about vulnerability emerge working hours (both for them and their ploughing from the spider diagrams: oxen), even though increased labor is necessary to cope with the effects of crop pests and the need to increase a. Both lowland kebelles (Fantalle) are in a vulnerable food production as insurance against drought. situation. Their exposure to climate variability is 18 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA substantial. Soil quality is low and soil erosion is planting dates, cropping densities, fertilizer applica- severe. Haro Kersa is facing severe drought risks, tion, pesticide application, the pastoral system or whereas Gola faces flood risks. Their coping capac- the herd composition, and applying different feed ity is low as they depend on a single source of techniques; income (livestock production). Furthermore, they b. Water management techniques: which include the have low educational and asset levels. use of water harvesting techniques, improvement or b. The highland kebelles (Kalu) are also in a vulnerable rehabilitation of terraces, the use of irrigation tech- situation because of soil erosion. Their coping niques, and improvement of watering sites in pasto- capacity is limited due to low availability of arable ral areas; land, migration rates, and livestock ownership. c. Income diversification techniques: which include Cash earnings from the sales of cash crops (espe- temporary or permanent migration, non-timber for- cially t'chat) makes them somewhat less vulnerable. est product commercialization, home-garden agri- c. The midland kebelle (Kalu), Choresa, seems to be the culture, increase of market sales, charcoal or timber least vulnerable. The exposure of the households in sales, changing consumption patterns, and drawing this kebelle is related especially to irregular belg (short down on livestock or savings; season) rains. The relatively higher coping capacity of d. Communal pooling techniques: which include res- people in the kebelle is due to higher land ownership, toration of homestead or mountain forests, range- education levels, and migration rates. Birko Debele in land preservation, soil erosion prevention programs, same woreda is in a more difficult position than communal water harvesting techniques, and com- Choresa as it has a lower migration rate, lower educa- munal irrigation schemes. tion rate, and less livestock. Both kebelles in the mid- land area have limited cash crop production, which An average of 8.5 strategies were identified per house- limits their cash earnings. On the basis of this analy- hold. The result of factor analysis shows that some sis it is not possible to conclude that a particular strategies were regularly adopted jointly or in isolation kebelle is or is not vulnerable. For such a conclusion, without any other strategy. The groups of strategies are: other variables should be included as well and thresh- old levels should be given, above which households a. Crop selection, adapting of planting dates, cropping no longer belong to a vulnerable group or below density, and tillage practice; which they can be classified as being vulnerable. b. Adapting fertilizer application, use of irrigation, set up of communal irrigation schemes; Vulnerability levels are confirmed by the length of the c. Water harvesting techniques, improved watering sites, hunger period. In Fantalle, the lowland kebelles, Haro communal water harvesting; and Kersa and Gola, face food shortages during more d. Change from pastoral to sedentary agricultural system. months than the other kebelles. July to September is the most difficult period for the midland and highland These strategy combinations are related to each other. kebelle. The lowland kebelles face serious food shortage They either complement each other or are a combina- problems from January to May. tion of individual and communal strategies. Especially the first group of strategies is applied regularly. In the autonomous adaptation Practices and household focus group discussions, farmers indicated that they decision-making prefer adopting early maturing sorghum varieties to the late maturing traditional one so as to make maximum In this study households were asked about the strategies use of the unreliable moisture regime. they had adopted in the past to reduce some of the hazards they faced. From the response data, four catego- The top five strategies adopted contains three commu- ries of strategies were distinguished. nal and two individual strategies. These are: a. Agricultural techniques: which include, the adop- i. Crop selection (adopt drought tolerant crops; cho- tion of drought-tolerant or resistant crops, changing sen by 78 percent of the households); d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 19 ii. Improve or rehabilitate terraces (adopted by 72 on communal grazing lands and communal watering percent); points and only have limited individual strategies at iii. Soil erosion prevention programmes (chosen by 69 their disposal, it is advisable to coordinate actions to percent); improve their situation. iv. Restore or preserve homestead or mountain forests (adopted by 62 percent) and Households in the mid- and highland kebelle have a v. Adapt planting dates (adopted by 51 percent). more mixed strategy of improved seed selection combined with soil erosion prevention (including Three of these five most important strategies are terrace rehabilitation and for the highlands also refores- communal strategies that have to be implemented jointly tation) and home garden agriculture with the objective with other households. This shows that institutions play to reduce exposure to climate variability and improve an important role in improving livelihoods in the kebelle. coping capacity. Income diversification strategies like migration, non-timber forest products, market sales, and Key summaries and Conclusions drawn from the handicrafts and timber sales are not regularly chosen. fieldwork Home garden agriculture is the main income diversifi- cation strategy adopted. Reduction of expenses is for With respect to Adaptation strategies most households not a feasible option as their expenses already are low. For the better-off large, landowning 1. Responsibility for strategy choice is gender-specif ic farmers, this is a more important strategy. One notable result is that only few households use 3. Without an improved enabling environment, temporary or permanent migration as a strategy to household strategies may not sustain reduce their hazards. In many cases both men and women decide about the adoption of a strategy. For The institutional stakeholders and experts interviewed some strategies--increasing market sales, draw-down on made a distinction between strategies in which the livestock or savings, and investments in pastoral areas-- household have a responsibility and those for which the the men make the decisions. Also for some of the agri- government is responsible. On the one hand, the cultural practices, like seed selection, planting dates, and government has to invest in options with the objective tillage practices, men make the decisions more often to realize a better functioning social and market system than women. Decisions on handicrafts, consumption, (improved roads, electricity, telecommunication, markets and charcoals and timber sales are especially made by the for farm inputs, credit facilities, and other services). women, and women also have an important vote on home-garden agriculture. These options provide the enabling environment and the basic facilities needed for a well-functioning society. 2. Kebelle and clusters adopt mixed strategies Most of these options require public investments but may partly be realized through public works programs The adopted strategies differ substantially among the (like PSNP) executed by (local) authorities and exten- study kebelles. In Gola kebelle and for the young agro- sion agencies. On the other hand, households also need pastoralists (cluster 2), the top five strategies are indi- support in terms of training, financial support, and vidual strategies focussing on improved agricultural techniques and inputs which give them the opportunity practices (crop selection, planting dates, cropping densi- to improve their situations in a sustainable way and to ties, fertilizer application, and feed techniques). In their diversify their income. transformation process, they are still learning how to improve yields. In the pastoralist kebelle, Haro Kersa, 4. Strategies are adopted especially to reduce drought and for the less-educated pastoralists, especially hazards communal strategies are adopted, focussing on improved water management and water storage to reduce their The study results show that strategies reduce the exposure to climate variability. As they are dependent drought hazards the communities are facing. This is 20 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA highest for the water management and agricultural b. For seed selection, farmers in the lowland kebelle techniques. More than 50 percent of the people adopt- pay higher costs than those in the mid- and high- ing migration, marketing, and income diversification land kebelles. The same observation follows if the activities indicated that these strategies reduce their clusters are compared. The reasons may be cultiva- drought hazards. This shows that the households see tion of more expensive crops in the lowlands, unfa- income diversification as an important strategy to vorable market conditions in the lowlands because reduce hazards. Strategies reducing flood hazards agriculture is less important, or farmers knowing include soil erosion prevention measures, reforestation, these costs in more detail because they just recently terracing, and rangeland measures, all of which reduce started crop cultivation. The same applies for the water run-off. Differences among kebelles and household other individual farming strategies like fertilizer/ types are small. pesticide application, cropping density adaptation, etc. 5. Cost estimates are diff icult to interpret c. For the majority of the water management, income diversification, and communal Interpreting the adaptation cost estimates is difficult. d. pooling strategies, respondents do not report any Many people did not know the costs of the strategies financial costs. Many of these strategies do not adopted, and some strategies did not have direct mone- directly cost money or are paid by extension agen- tary costs (e.g., changed consumption habits), or people cies or other organizations. are reluctant to tell the costs. Some strategies have one- e. Time spent on soil erosion prevention programs, time investments costs, whereas other strategies have terrace rehabilitation, and reforestation is on average annually recurring costs. Moreover, for some strategies it 40 days per year for the mid- and highland kebelles is not immediately clear which costs have to be paid in Kalu woreda and 90 days for Gola in lowland (e.g., adapting planting dates or adapting cropping Fantalle. densities). It has to be concluded from the analysis of f. In Haro Kersa, in the "low-educated pastoralist" the cost data that it is difficult to obtain reliable costs community, financial decisions are made by men. In estimates and full insight into why households pay these the other kebelles, men make most financial deci- costs. A follow-up study could put more emphasis on sions, but women are involved in about half of the the different elements that make up these costs, the financial decisions on adaptation strategies. activities necessary for implementing the strategies, and the types of institutional assistance that households With respect to institutional access and climate received. adaptation 6. The more vulnerable groups invest less money and 1. Households are in contact with many institutions, time than the better-off groups but not all are relevant for adaptation Careful observations of the costs and time invested in It is noted that particular types of institutions are more the adaptation strategies of the studied farming and active in particular kebelles than in others, or particular pastoralist communities show the following: clusters of households make use of the assistance from particular institutions. From the analysis, it follows that a. The more vulnerable households ("small, poor almost all households are in touch with local authorities, farmers" and "average farmers"') have lower average extension agencies, village communities, and religious expenses than the better-off groups ("large, land- communities. NGO's are especially active in the lowland owning farmers" and `asset rich farmers'). The for- kebelles of Gola and Haro Kersa in Fenatlle, whereas mer also have fewer resources available to invest. these households have fewer contacts with the local The "young, agro-pastoralists" report the highest authorities and the village and religious communities in expenses. They invest in the transformation of their their kebelle. This is related to the pastoral nature of farming practices, which most likely are financed by these kebelles. Women's groups are present in Choresa, selling cattle. Birko Debele, and Hardibo, and cooperatives in d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 21 Choresa kebelle. The contacts with these institutions, more marginalized groups, the community institutions however, are in many cases not helpful for deciding on are less accessible or these households have less infor- adaptation strategies. They operate in fields other than mation on the types of assistance the village community promoting strategies to reduce vulnerability of the can offer. The village community includes institutions households. Alternatively, households may perceive their like Idir and Kire which informal organizations to roles differently. which members pay a fee and which are used for all kinds of social purposes, for example looking after sick 2. Extension agencies and local authorities provide most people, for marriages, and for funerals. Jiggie and Debbo assistance are informal and temporary arrangements between households to share labor in times when it is needed, The study result shows that the local authorities and such as for weeding and harvesting. Iqub is a sort of extension agencies are the institutions from which the informal microfinance arrangement in which a small households receive most assistance when they adopt group of people share money which alternately goes to adaptation strategies. On average 97 percent of the one of the members. A difference with microfinance is households obtain assistance from the extension agen- that no interest rate is charged. cies and 71 percent from the local authorities. 5. Cooperatives, religious communities and women's 3. Extension agencies focus especially on agricultural groups are almost absent and communal strategies Cooperatives play a role only in limited instances and Although almost all households are in touch with are almost absent in many study kebelles. They are espe- extension agencies, they received assistance for only 73 cially active in supplying fertilizers and pesticides and percent of the adaptation strategies they used from for setting up and organizing irrigation. Women's those agencies. The role of extension agencies is smaller groups, even though not many households reported to for strategies related to livestock raising, migration, have contacts with them, focus their activities on home- income diversification methods (like handicrafts and garden agriculture and non-timber forest product non-timber forest production commercialization), commercialization. These are among the strategies to marketing strategies, and other income diversification diversify income and become less dependent from the activities. Their focus is more on agricultural and main fields cultivated. Finally, microfinance institutions, communal development and less emphasis on promot- also reported by only a few households, assisted house- ing other strategies; it also is possible that households holds in setting up non-timber forest product do not recognize them to be helpful with those issues. commercialization. 4. Village community serves especially the better off 6. Assistance given is predominantly in terms of household types training The village institution is important in the highland For all clusters, training is the most important assistance kebelles of Kalu woreda. These Institutions play an given by institutions (representing 67 percent of the important role in mobilizing households from the times assistance is given). This is a positive intervention village and for promoting good practices among the as it gives households the skills they need to improve village households. Moreover, it is especially the house- their own situations. Very limited assistance was holds from the somewhat better-off, land-owning farm- received in the form of labor. Inputs are provided in ers and asset-rich farmers who report using the village about 16 percent of the times assistance is given. These community more often. This is an indication that espe- inputs are materials used for the communal develop- cially the better-off farm types, who also adopt commu- ment strategies such as water harvesting and irrigation, nal strategies more often, have the strongest position in fertilizers, pesticides, or improved seeds. Only a few the informal community institutions and that they households reported receiving food aid. According to succeed in bringing their requirements forward. For the the people interviewed, food aid is almost absent in 22 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA their kebelle, except for households from the low- 10. Institutions face f inancial, managerial, infrastruc- educated pastoralists, who are the most vulnerable tural, training, and legal constraints households of the sample because they lack income diversification opportunities and do not grow much The institutional stakeholders (NGO representatives, food themselves. Food-for-work activities within the coop members and the like) mentioned a number of framework of, for example, the PSNP or PCDP proj- constraints they face in the implementation of their ects, may not be perceived as food aid. tasks. These are managerial and financial, infrastructure, and others. It is also important that realizing sustainable 7. Cash is provided by NGOs and microf inance growth at the community level demands a continuous institutions presence of the institutions so that they develop trusting relationships with the households and have the oppor- Inputs like fertilizers are provided by cooperatives while tunity to follow up activities and relieve the most press- cash is provided by NGOs and microfinance institutions. ing needs. On the other hand, institutions pointed to The informal community institutions like Idir and Iqub the restrictiveness of some of the government policies are considered to be less important for obtaining cash as and laws as impediments to their work. an input into adaptation strategies. A reason may be that the cash requirement for the strategies may exceed the 11. The CALI results support the strategies of the capacity of the informal village institutions, and so house- Ethiopian development programs holds have to direct themselves to formal institutions. One of the questions raised in the CALI project was 8. Climate hazards affect institutional activities geared to assessing the needs of institutions in the execution of their tasks. The response could not, The institutional stakeholders indicated that extreme however, provide insight into the spending of their weather events affect their activities in the kebelle. Some of budgets or need for additional funds. As both the these effects are related to the mode of aid requests and institutional budgetary needs and the household costs delivery (changing from help in terms of productive invest- of the adaptation strategies could not be estimated in ments to help in terms of emergency relief ). Other effects a reliable way, it is not possible to estimate the finan- refer to reduced participation opportunities because house- cial means/resources institutions would need to further holds lack the means or shift their attention to emergency promote climate change adaptation strategies. relief activities. The final effect refers to changes in the Looking at the adaptation strategies discussed, it activities of the institutions themselves because of chang- follows, however, that most of these strategies already ing circumstances in their working conditions. fit within the existing institutional programs. The strategies are not totally new or unexpected, and many 9. The ramif ied network of extension agencies is an of them are already promoted or planned for important asset for Ethiopia implementation. The ramified network of extension agencies, with an The productive safety net programs (PSNP) executed almost complete coverage of all households in the through the extension agencies seem already to have a villages in which they work, is an important asset for good overview of the strategies households adopt and Ethiopia. It gives the authorities the means to reach the the most pressing needs of the households. The households in a relatively easy manner. Moreover, the insights obtained from the CALI study support the broad focus of the safety net programs, which make focus of these programs. For example, the study shows investments both in the public (roads and irrigation that the services offered by the programs cover an canals) and in the private domain (assistance house- adequate range of adaptation strategies. However, the holds with their individual household strategies), is a program may target more toward the most vulnerable promising strategy. It strengthens both the enabling households which are most difficult to reach, for environment and households' capacities to improve their example poor pastoralists and poor agricultural situations themselves. households. 23 5. ParTiCiPaTory sCenario Resources and Environment, as well as the Food Security and Disasters offices attended the workshops. develoPmenT (Psd) WorKshoP resulTs The local PSD workshops had the following compo- nents that led the discussions toward attaining the P sd Wor KshoP s: desi Gn overv i eW 0output desired from the workshops: Participatory scenario development (PSD) workshops i. Time-line exercise were conducted at two levels. Three local PSD work- ii. Developing vision for the future shops were conducted at the district/woreda level while iii. Identifying climate change impacts one PSD was held at the national level. Three districts iv. Developing adaptation options were selected from among the vulnerable zones (see v. Ranking of adaptation options and developing Annex Table 1). The locations of the districts are shown adaptation pathways in Figures 6, 7 above and 8 below. Various visualization means were employed for illustra- The third woreda selected for the local PSD is tion. The workshops were participatory where heated Kindokoysha district, located in Wolaita zone of the debates were witnessed while, in as much as possible, all SNNPR region in Ethipoia. It has three livelhood participants were invited and encouraged to contribute zones: the Wolaita Maize and Rootcrops Livelihood their opinions to the discussion. zone, Wolaita barley and wheat livelihood zone (a mountainous and densely populated zone), and the o v e rv i eW o f re s u lTs f r o m lo Ca l a n d Wolaita Ginger and Coffee livelihood zone (a small naTi o n a l W o rKs h oP s area of the district). Interesting results came from the local as well as the The local PSD workshops were attended by a wide national participatory scenario development workshops. range of stakeholders, including local government In those workshops, the opinions, experiences, impres- administration, local level experts representing the sions, and perceptions of experts, politicians, and different ministries (agriculture, water, health, road, and community members were equally important and highly education, etc.), women and men farmers and pastoral- complementary. The presence of female and male elders ists, elders, knowledgeable people, religious leaders, was useful for drawing the timelines of past environ- youth and adults, NGO workers, municipality workers, mental and climate-related events and local adaptation etc. Close to 50 percent of the discussants were drawn practices. The timeline exercise was one of the lively from rural communities. In all cases, zonal level (above sessions of the workshops. Each exercise was made to district) government representatives from Natural conform to the local culture and the traditional time 24 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA Pastoral areas: Natural resource management and range fiGure 5. WolaiTa maize and rooTCroPs lands rehabilitation; conflict resolution and peace building; livelihood zone boundary of Kindo- modern livestock husbandry (including reduced stocking Koysha Woreda rate and introduction of more productive breeds); recogni- tion of pastoralist resources; land rights, including the right of mobility; extension of good quality and pastoral- ist-centered education opportunity; organization of coop- eratives/groups and facilitating access to support provided by the government; and facilitating possibilities for the pastoral communities to benefit from local government- led investments (e.g., the Awash National Park and the commercial sugar estates that operate in the rangelands and took lands in earlier times from the pastoralists). Other identified measures included planting multi- purpose fodder and grass varieties that are adaptable to pastoral environment; forest and soil conservation; the use of irrigation to grow trees, pasture and fodder; and raising public awareness about the role of natural resources. From the highland and midland agricultural areas in the Source: liu/dmfss, 2008. two study locations, the following adaptation options were identified: Highland zones: Environmental protection and rural reckoning, which is so appealing to the memory of the infrastructure; implementing natural resource manage- participants. ment policies; extension of education; promoting modern agricultural production, health services and, Most of the time adaptation options were built on the drinking water; expanding non-agricultural income existing livelihood options and practices. The results of generating activities and reforestation; increasing devel- the national-level scenario development were consistent opment activities of private investors and other organi- with the local-level results. There were only minor devi- zation to promote agricultural research to develop early ations due to the context under which the discussions maturing and drought-resistant crops. were held (i.e., the national scenario development considered broader geographic zones, and urban areas Midland zones: Promoting drought-resistant plants were included in the national-level discussion). and crops; changing people's attitudes (including increasing awareness about climate change); improving In the local workshops, an attempt was made to develop productivity, population control, integrated watershed the adaptation paths in a time framework (short, and natural resources management and development, medium, and long-term), while also attaching the rela- soil and water conservation, and proper valuation of tive magnitude of costs of adapting the various options. natural resources; saving habitats of natural resources Among the various possible measures of adaptations, and other assets/wealth (including strengthening rural community level discussants were able to prioritize finance system); improved farming methods (crops, using their own criteria (reaching a consensus among trees, and livestock)' preventing uncontrolled grazing themselves). and water harvesting; and improving water storage and use and moisture-preservation techniques. The workshops held in the lowland pastoral communi- ties and highland agricultural areas came up with the In general terms, the adaptation options revolve around following main adaptation options: the areas of: i) natural resources rehabilitation and d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 25 identified by the NAPA of Ethiopia. These include: fiGure 6. similariTy and CommonaliTy of natural resources rehabilitation, water harvesting, irriga- The adaPTaTion oPTions idenTified in tion, pastoral development, reforestation, agricultural loCal and naTional WorKshoPs and The productivity, etc. naPa of eThioPia r a n G e o f s Ta K e h o l d e r s , a n d K e y PreferenCe CriTeria for oPTions Local adaptations: environ & NR rehabilitation, The national climate change adaptation pathway has water harvesting, improved addressed the needs of the various stakeholders, i.e. the agriculture, ranage lands and rural communities (farmers and pastoralists), the various pastoralims, education for children, crop selection, reforestation... government institutions (water resources development, land administration, forestry, health, education, urban NR rehabilitation, water development, infrastructure, finance, etc.), the private harvesting, irrigation, pastoral development, reforestation, sector, NGOs, and other development partners. agricultural productivity, NAPA: In the local-level workshops, community members and National adaptations: crop insurance, drought early other participants used their own criteria for prioritizing warning, water harvesting, warning system, agric. technology, small-scale irrigation, rangelands the adaptation options. These included: finance and market, renewable rehabilitation and pastralims, energy, land conservation, urban sustainable utilization of wetlands, environment, pastoralims, water capacity building for CC adaptation, i. Severity of the problem Community based Carbon harvesting, irrigation... sequestration, malaria containment ii. Attainable in short period of time program, forest and iii. Brings about sustainable change/ sustainability agro-forest... iv. Number of beneficiaries v. Significantly reduces the extent of damage vi. Can be implemented at low cost vii. Uses local knowledge and resources viii. Immediate results development; ii) water harvesting, storage and efficient In addition, at the national level, the adaptation options use for irrigation and other purposes; iii) improving were evaluated in terms of their impacts on poverty agricultural and pastoral productivity; iv) rural infra- reduction ("pro-poor") (see Annex Table 4 for details on structure and income diversification; and iv) land tenure the adaptation pathways). The different adaptation security, conflict resolution, and mobility (in pastoral options have high, medium, or low pro-poor effects. For areas). instance, while access to agricultural technology, finance, and market is characterized as having a high pro-poor ConGruenCe WiTh naTional Pla n s , effect, promoting alternative energy is identified as inCludinG naPas having a low pro-poor effect in relative terms. In the context of urban areas, improving flood early warning The outcomes of the three local-level PSD workshops systems and building flood control measures would have not only complied with the outcomes of the national- high pro-poor effects because most of the poor in urban level workshop that was held toward the finalization of areas live flood-prone areas. this study, but are also found to be in line with the key areas of intervention identified by the NAPA of a d a P TaT i o n o P T i o n s : K e y s e C To r a l Ethiopia (see Figure 6). Themes Some thematic areas are specifically common for local- At the national level the adaptation options were and national-level adaptation options and key areas identified for three major geographic and social zones, 26 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA as broadly defined for Ethiopia. These are the high- scaling-up existing practices, or are new ones to be land zones, the lowland and portal areas, and the developed in the future. Most options are part of exist- urban areas. ing and on-going development activities. Central, Northern and Western Highlands The workshop also discussed that the different adapta- tion options offer synergistic opportunities even though The climate change adaptation options identified for some may require trade-offs. For instance, there is a the Central, Northern, and Western Highlands are: trade-off effect between land conservation and bio- diversity on the one hand and improving access to agri- a. Land conservation and biodiversity cultural technology, finance and markets on the other. b. Access to agricultural technology, financing and This could be especially true as agricultural expansion markets may reduce bio-diversity. However, promoting alterna- c. Income diversification and agro-industry tive renewable energy would have a synergetic effect d. Irrigation and water harvesting with income diversification and agro-industry. e. Promoting alternative renewable energy r e l aTi v e P r e va l e nCe o f " ha r d " Lowland and pastoral v e r s u s "so f T" ad aP TaT i o n o P Ti o ns The adaptation options identified for the low land and The adaptation options identified include both hard pastoral areas are: and soft ones. The "soft" nature refers to improving people's attitudes and awareness about climate change a. Pastoralism: Rangelands rehabilitation and herd and its effects, as well as the importance and benefits of management conserving natural resources. It also includes policy b. Herd mobility, land, and environmental rights reform and implementation, and capacity and skill c. Conflict resolution building. In some communities, the serious effects of d. Livelihood diversification and education population pressure and measures including planned population growth are included among the adaptation Urban measures to be taken. These complement hard infra- structure adaptation measures such as water storage or The adaptation options identified for the urban areas road hardening. are: P o l iC y P r e - C o n d iT i o n s a n d a. Flood control: early warning, construction of flood i n s Ti TuT i o n a l b a s e control b. Tree planting in urban centers The national scenario development workshop also iden- c. Revised urban planning tified some preconditions, including policy require- d. Raising awareness ments, for the implementation of adaptation options. The policies and preconditions are specific to the a da PTaT ion PaTh Ways: sequen Ci n G , thematic areas of the adaptation options. The following l everaG in G and Tradeoffs amo nG wide range of policies and preconditions are recom- oPT ions mended for the broader geographic zones of Ethiopia: The national climate change adaptation options are Central, Northern and Western Highlands examined within a sequenced time framework. Accordingly, some options are those which can be a. Tenure security, land-use planning and enforcement implemented in a short time period while others are b. Policy for private sector engagement, inputs, envisaged in the medium- and long-term range. The infrastructure adaptation options are either building upon or c. Finance, skill training, technology d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 27 Lowland and pastoral areas been raised, but were missing from the local-level discussions. These included population, migration and a. Awareness raising, urbanization, employment, and governance. While the b. Involvement of local institutions climate adaptation issues were largely discussed in rela- c. Proper targeting and application of strategy tion to agriculture and natural resources, the long-term d. Prevalence of peace and security views of economic development, growth in other sectors e. Free mobility, group land rights (services, tourism, and industrialization), could have f. Education been touched upon. Population growth and pressure on g. Recognition of local institutions natural resources in the rural economy are important to consider. Urban areas The issues of social policy and safety nets to address the a. Capital, technology specific problems of the vulnerable people also are b. Media (awareness-raising) important areas. Some of the gaps identified in the c. Policy, technical capacity, mobilizing communities national workshop discussion, however, were raised and d. Political will discussed in the local workshop, albeit to a limited extent. Con C lusions from WorKsho P T r aC K Participants at the national workshop also made some The national-level workshop concluded that that almost general remarks. Irrigation development in the context all the major and relevant issues of national adaptation of pastoral communities must be carefully planned were raised and discussed. To a large extent, the options because promoting irrigation could be in conflict with identified also confirmed what was raised at the the best dry season grazing lands and their cultural and community-level PSD workshops. This showed that the ritual sites and access to water bodies. In this relation, it correct procedure is to build the national adaptation was noted that there have been experiences of lack of strategies on the basis of the diverse local level experi- proper targeting of irrigation development in pastoral ences and needs in dealing with climate change and areas. In some of the local PSD workshops, rural road long-term development needs. development was identified as a primary option for access to social services. The emerging and serious chal- On the other hand, some gaps were identified in the lenges of urban pollution and urban and peri-urban national PSD workshop, i.e., issues that should have land use systems also were mentioned. 28 6. synThesis and disCussion largely discussed in relation to agriculture and natural resources, the long-term vision of economic develop- ment, growth in other sectors (services, tourism and overvieW of emer GinG Themes industry), population growth, pressure on natural resources, and rural economy should be seen as relevant Adaptation to climate change relates to a wide range of areas for consideration. issues. The consultations held through the participatory scenario development workshops reveal that adaptations The issue of using social policy and safety nets to are strongly related to the livelihood of local communi- address specific problems of the vulnerable people are ties, as well as the socio-economic and environmental important emerging thematic areas. development of the country. Many of the identified adaptation options are part of the existing practices and K e y faC To r s i n h o u s e h o l d a n d a r e a interventions that should be strengthened, while others r e s i l i e nC e are suggested to be developed soon or in the future. Key factors that contribute to resilience of areas and The identified adaptation options are patterned around: households include better < production and improved natural resources rehabilitation, conservation and devel- livelihoods based on irrigated agriculture and drought- opment; water harvesting, storage, efficient use and resistant crop varieties. Ability to harvest, store, and use promotion of irrigation; research and technology on water is a key factor that helps to reduce the effects of drought-resistant and early maturing crops; rehabilita- rain shortage and drought. Access to productive tion of range lands; pastoral development, mobility, resources (land, capital, finance, and skill) helps build indigenous knowledge, and land use rights in pastoral resilience among households and areas. areas; improved access to technology, markets and finance for agricultural development; strengthening d r i v e r s o f vu l n e r a b i l iTy i n C l i maT e early warning system for hazards; conflict resolution and C h a nG e C o nTe xT s peace building (especially in the lowland pastoral areas); rehabilitating the urban environment; improved urban The different local community-level discussions reveal planning; employment and income diversification, that, in general, natural resource degradation--specifi- including agro-industries; better education for children; cally deforestation, loss of soil resources and loss of and renewable energy sources. water--are among the drivers of vulnerability to climate change. Dwindling household assets, lack of access to Issues of population, migration, urbanization, employ- productive resources, lack of livelihood diversification, ment, and governance are also emerging themes related and intensifying poverty aggravate vulnerability to to adaptation. While the climate adaptation issues were climate change. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 29 Factors of vulnerability have a specific context in pasto- remaining ad hoc in nature, and need to be supported ral areas of Ethiopia. For instance, the restricted mobility with resources and means to sustain them. of pastoralists, recurrent conflicts, and lack of peace (which also limits mobility) make pastoralists more s Ca l e : le v e r aG i nG n aTi o n a l a n d su b - vulnerable to climate change. Mobility also relates to the n aTi o n a l P o l iCi e s a n d i n v e sTm e nT s land rights of pastoral communities. Social vulnerability f o r P r o - P o o r a d aP TaT i o n of pastoral communities include land alienation, conflicts over resources, weakening of traditional institutions, Comparison of the local-level knowledge generated at asset depletion, and food insecurity. Their physical the community discussions and the national-level vulnerability relates to recurrent droughts, erratic rainfall, consultation shows that the national adaptation floods, and invasive bushes that destroy the range lands. measures need to be designed based on local-level expe- riences and realities that are also diverse. The national At a country level excessive dependence by the investment policies and strategies should be informed Ethiopian economy on a largely smallholder-dominated by the regional and local needs and realities. While the and rain-fed agriculture has made the country more regional investment policies should try to address those vulnerable to climate related hazards. Ethiopia is known specific needs, they also have to comply with and for facing recurrent droughts, some of which lead to support the national investment directions that are disastrous famines. designed to address the adaptation needs of the poor people. loC al and n aTional disCourse around ClimaTe and hazards: in P uTs m u lT i - s eC To r a l a n a ly s i s a n d To de C ision s uPP orT s ys Tems P r o G r a m m i nG By now it can be said that to some extent there is an Issues as large and wide as climate change and adapta- adequate awareness about climate hazards in Ethiopia. tion are matters for the national economic management Major climate-related hazards--floods, rain shortage, and long-term direction. Resilience to climate change changing weather patterns (like late onset and early effects and hazards is not about one or two sectors. sessions of rain), prolonged dry spells and draughts, Rather it depends on the performance capacity of the etc.--are well-experienced. Based on the experiences various sectors of the national economy. Hence, multi- that have affected local livelihoods and national devel- sectoral analysis and programming is needed. opment in general, discussions have been ongoing. As result, Ethiopia is emerging among the countries that Employment and income diversification, development give adequate attention to the issues of climate change of agro-industries, better-quality education for the and adaptation to it. young generation, skills training, access to infrastructure, communications and market opportunities, land and Especially in recent years, public awareness-raising and natural resources rehabilitation, population migration consultations have been extended down to the commu- and urban economic development, etc., were all raised nity level. However, such awareness-raising efforts and in the community-level as well as national-level consul- the expected intervention on climate adaptation-related tations. This shows that climate change adaptation interventions need to be institutionalized rather than needs a multi-sectoral outlook and programming. 30 7. ConClusions and Ethiopia, there is general consensus that Ethiopia will see greater climate variability and more extreme weather reCommendaTions events in future decades. Hence, one of the strategies advisable for Ethiopia is management of climate vari- s ummary of f indinGs ability. It includes land resources (both soil and water) management. The report by the National Metrological The study found that climate change and climate-related Agency (NMA) in the NAPA of Ethiopia shows that hazards are clearly and significantly felt by the communi- rainfall will decline in some parts of the country while ties at the grassroots level. In Ethiopia, climate change increasing elsewhere. effects have been felt over a long period of time through influences on livelihood activities and changes in the The report that used a statistical model (presented to environment and natural resources situation, as well as national PSD) projected a different result. It is argued the poor performance of the national economy at large. that the discrepancies in climate projections are also a matter of data and the extent of uncertainty about the Vulnerability to climate change effects is aggravated by situation. On the other hand, it is also noted that social factors and the status of livelihood situation and increasing variability and extreme events are important development. Adaptations to climate change vary across for Ethiopia. livelihood groups and zones. Adaptations are perceived as measures to improve livelihood, the environment and Quantitative evidence based on the survey of sample rehabilitation of natural resources. Reforestation, water households in selected hotspot locations in rural harvesting, use of irrigation, and improvements in farm Ethiopia and the qualitative assessments through PSDs and livestock productivity are the common adaptation indicate that farmers and pastoralists identify a wide measures perceived as needed by the different range of climate change adaptation strategies. The communities. adaptation options address various sectors. At the community-level discussions, in general, the adaptation The adaptation pathways identified by local communi- options identified focus mainly on land, natural ties also largely coincide with the national-level adapta- resources, and environmental rehabilitation and conser- tion pathways. One of the climate change adaptation vation (including water harvesting, storage, and use) strategies advisable for Ethiopia is management of which relates to improved performance of agriculture; climate variability. It includes land resources (soil and better education and alternative livelihoods for the water) management. young generation; and access to social services and market infrastructure. In some cases controlled popula- Although the different global models and downscaled tion growth in relation to pressure on natural resources models have given different climate projections for access is also emphasized. Promotion and use of d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 31 alternative energy sources are also widely raised. for adaptation and to deal with vulnerability. For Rangelands rehabilitation, multipurpose trees (including instance, social vulnerability of pastoral communities fodder) and controlled grazing, and regulated livestock includes land alienation, conflicts over resources, weak- stocking rate (especially in pastoral areas) are empha- ening of traditional institutions, asset depletion, and sized options. food insecurity--while their physical vulnerability relates to recurrent droughts, erratic rainfall, floods, and Other adaptation options for agriculture include crop invasive bushes that destroy the range lands. selection, land rehabilitation, adjusting planting dates, adopting home garden agriculture, range lands preserva- Mobility of pastoral and semi-pastoral communities is tion, and others. Communities used to have adaptation part of their adaptation and herd management strate- options like planting short duration crops in the face of gies. It is noted that interventions that restrict the erratic rainfall regimes and late on-set and early mobility of pastoralists will make them more vulnerable sessions. Locally identified/suggested practices mainly to climate change effects. Hence, ensuring group land focused on soil conservation, changing toward drought- and environmental rights, support for local institutions resistant and early maturing crops, and improved water and indigenous knowledge, and conflict resolutions resource management (water harvesting and storage, use mechanism strengthen the resilience of pastoral systems of irrigation schemes). These have practical implications to climate change-related hazards. for agricultural research and technology, crop selection, and breeding programs. Analysis of the climate change adaptation options iden- tified through the EACC-social component project Better and improved natural resources management (PSD workshops) reveals that, in general, the identified through public awareness-raising about natural options overlap or match with the government's adapta- resources management, and enforcement of laws and tion strategies as defined in the NAPA of Ethiopia. The regulations are considered among the priority options. Ethiopian NAPA strategies include: drought/ crop Means of livelihood and income diversification, skills insurance; drought and flood early warning systems; training, and better education for the young generation rangelands resource management; wetlands manage- are also considered. Specifically, the income diversifica- ment; natural resources research and development; tion techniques include temporary or permanent migra- malaria control program; and off-farm forestry/ tion, non-timber forest product commercialization, agro-forestry. home-garden agriculture, increase of market sales, char- coal or timber sales, changing consumption patterns, On the other hand, the national strategies identified and drawing down on livestock or savings. through the national PSD workshop (EACC Social Component) are: Communal pooling techniques include restoration of homesteads or mountain forests, rangeland preservation, Highland zones: Access to agricultural technology, soil erosion prevention programs, communal water finance and markets; income diversification and agro- harvesting techniques or communal irrigation schemes. industry; land conservation, irrigation and water Developing alternative energy sources like solar and harvesting; and renewable energy. Among these broader wind energy were also mentioned. Better access to options, technology access and income diversification infrastructure and social services, finance and markets are identified to have high pro-poor effects, while the are other options. other options have medium to low effects. In the areas of health, community members recall (at Pastoral and lowland zones: Rangelands rehabilitation; the PSD workshops) that traditional medicinal plants livelihood diversification; herd mobility, land and envi- were used to mitigate human and livestock diseases (for ronmental rights; conflict resolution; and education. example, malaria, cholera, and trypanomasis) that spread Except for herd mobility which is thought to have as a result of changes in climate and environment. It medium pro-poor effects, all these options have high was found that policies and institutions are important pro-poor effects. 32 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA Urban area: Construction of flood control; tree planting For some strategies there will be one-time investments in urban areas; flood early warning system; revised costs, whereas other strategies have annually recurring urban planning; and raising awareness. Tree planting costs. Moreover, for some strategies it is not immedi- and revised urban plan have low and medium pro-poor ately clear which costs have to be paid (e.g., adapting effects while the other options have high effects. planting dates or adapting cropping densities). It has to be concluded from the analysis of the cost data that it is Of these nationally identified options for the highland, difficult to give reliable estimates of these costs and to lowland and urban areas, about 50 percent build on the give full insight into the reasons households have to existing and on-going practices while the remaining 50 make these costs. percent are thought to be options to be developed in the future. In terms of timing, the options can be The costing framework adopted in the CALI study implemented in the short-, medium- and long-term and questionnaire was too elaborate to ask in more time range. detail about these costing elements. A follow-up study, in which the emphasis is less on vulnerability Looking at the analysis of adaptation pathways, there profiles and more on the cost elements, the types of are some requirements and preconditions needed for activities households had to undertake when imple- implementation; and there are trade-offs and synergies menting the strategy, and type of institutional assis- among the various options of climate change adaptation tance households received, may shed more light on options. Hence, fulfilling the identified requirements the exact estimates of the costs households have to must be part of the planning and implementation of make and whether they can bear these costs them- strategies. A multi-sectoral and integrated approach selves or whether they need assistance from outside helps to enhance the synergetic benefits while minimiz- institutions. ing trade-offs by maintaining the balanced effects of the various adaptation strategies. With regard to institutional access and climate adapta- tion, the local-level analysis (based on the survey) shows The major preconditions for implementation of adapta- that in all kebelles and for all clusters from the two tion options include: Government support by devising survey districts, the local authorities and extension appropriate policies (input and output market, private agencies are the most important institutions with whom sector participation, land tenure, etc.); land and natural most households hold contacts. resources use planning and enforcement; infrastructure; technology; skills training; access to capital and finance; It can be expected that particular institutions specialize indigenous knowledge and local institutions; conflict in particular adaptation strategies and, therefore, are resolution, peace and security; group rights and free offering their assistance more often to households mobility for pastoral communities; and media, commu- applying particular adaptation strategies. Local author- nications and public awareness-raising. ities score second for most strategies next to extension agents. From the discussion at the community level the major indicators for prioritizing and selecting adaptation Even though extension agencies are involved in all options are: severity of the problem, options that take strategies reported, their role is smaller for strategies shorter time, low expense, sustainability, number of related to livestock raising, migration, income diver- beneficiaries, immediate/fast results, and the extent of sification methods (like handicrafts and non-timber use of indigenous knowledge. forest production commercialization), marketing strategies, and other income diversification activities. Household survey results (CALI) reveal that many Their focus is more on agricultural and communal people do not know the costs of the climate change development. It seems that they put less emphasis strategies adopted, and many strategies will not have on promoting other strategies or those households direct costs (e.g., changed consumption habits), or do not recognize them to be helpful with those people are reluctant to tell the costs. issues as well. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 33 For some strategies, other institutions also play a role. Institutions that implement these policies need to be For strategies related to pastoralism and livestock rais- empowered, capacitated, and monitored. ing, for instance, NGOs are assisting. The following programs are critically relevant for res P ondin G To dire CT and indi r eC T Ethiopia: i mPa CT of ClimaTe ChanGes i. There is a policy gap in the area of employment of Impacts of climate related hazards are accumulated the landless households in rural areas. A large rural through chains of direct and indirect effects. At the population is becoming landless following increas- community-level discussions it was revealed that loss of ing population pressure and land scarcity. biodiversity (e.g., staple crops) over long periods time ii. Recurrent conflicts affect the resources, lives, and due to changing moisture regimes, the prevalence of livelihoods of pastoral communities in many parts pests and diseases resulting from changing weather of lowland areas in Ethiopia. Conflicts lead to lack patterns, have gradually led to food scarcity and insecu- of access to pasture and water by hindering mobil- rity. This evidence shows that the effects of climate ity, an integral aspect of pastoralism. change-related hazards needs to be tackled at the vari- iii. In many towns, poor people live in flood-prone ous levels. areas that increase their vulnerability. iv. While Ethiopia receives a large amount of total s oC ial r isK mana Gemen T: asse T rainfall per annum, a large area of the country is develo Pmen T and soC ial ProTe C Ti o n vulnerable to moisture scarcity, erratic weather pat- terns, and recurrent droughts. Hence, the future of Climate change has variable effects on social groups. these vulnerable areas of the country depends on Some social groups are more vulnerable than others. For strong commitments and sustainable efforts to example, vulnerability to climate change effects emerge develop water harvesting, storage, and irrigation from various drivers, including poverty in general and systems for improved and more stable agricultural especially lack of access to assets and productive production. resources, skills, and livelihood diversification Program design and implementation Adaptation is influenced by the level of capacity--skills, asset base, livelihood experiences--as asset bases vary Currently there is no comprehensive program of across rural households, and it needs social programs climate change adaptation in Ethiopia. There is a need and safety nets that address the needs of especially for integration of climate change adaptation measures vulnerable social groups. in the national development plans and programs in Ethiopia. i nP u Ts To ada PTive CaPaCiT y To s u PP orT v ulnerable GrouPs The five-year national development program, termed Plan for Accelerated Sustainable Development to In the overall climate adaptation strategy need to End Poverty (PASDEP), has been implemented over consider the needs of special vulnerable group. The the period 2005/6 to 2009/10. PASDEP has no elab- following issues need consideration. orate plan for climate change adaptation, although the earlier NAPA has provided some indicative proj- Policy design and implementation ect areas. There is a need for policy support to facilitate adapta- After the end of the PASDEP, the national plan that tion and build the capacity of vulnerable groups. 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Retrieved Bank. from http://www.ipcc.ch/. CSA 2004. Household Income, Consumption and McMichael, J. A, et al. 2007. "Global Climatic Change." Expenditure Survey 2004. Government of Ethiopia, retrieved from (http://www.who.int/publications/cra/ Addis Ababa. chapters/volume2/1543­1650.pdf, on February, 24, 2009. CSA 2004. Welfare Monitoring Survey 2004. Government of Ethiopia, Addis Ababa. Ministry of Finance and Economic Development. 2005. Ethiopia Participatory Poverty Assessment 2004­05. Deressa, T., R. M. Hassan, and C. RIngler 2008. Development Planning and Research Department. Measuring Vulnerability of Ethiopian Farmers to Climate Addis Ababa. Change across Regional States. IFPRI Discussion Paper No. 806. Washington, DC: International Food Policy Ministry of Finance and Economic Development. 2006. Research Institute. "Ethiopia Building on Progress: A Plan for Accelerated and Sustained Development to End Poverty." Devereux, S., 2000. Food insecurity in Ethiopia. A Government of Ethiopia, Addis Ababa. Discussion Paper for DFID. IDS Sussex. Retrieved from a webpage resource on February 19, 2009 http://cram- Ministry of Water Resources and National Metrology forum.jrc.it/Shared%20Documents/Food%20 Agency 2001. Initial National Communication of Insecurity%20in%20Ethiopia.pdf Ethiopia to the United Nations Framework Convention on Climate Change. June 2001, Addis Elasha, B.O., et al. 2006. "Background Paper on Ababa, Ethiopia. Impacts, Vulnerability and Adaptation to Climate d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 35 National Metrology Agency 2007. Climate Change United Nations Development Program. (2007. Human National Adaptation Program of Action (NAPA) of Development Report 2007­2008. Fighting climate Ethiopia. June 2007, Addis Ababa, Ethiopia. change: Human solidarity in a divided world. New York: Palgrave Macmillan. Shewmake, S. 2008. 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Climate Farming Social vulnerability zone recent) woreda Region zone hazards system indicators, other features highland, cool moist mid Wuchale oromia north drought mixed farming; failure of belg; shortage of belg zone, highland (m2) shoa belg crop in livestock feed and water; cereal and highland areas water logging problem in livestock main rain season; psnp Kalu Amhara south drought mixed farming harvest failure, land Wollo degradation, long history of food aid; psnp highland, tepid sub- sodo-Zuria snnpR gurage poor agric. mixed farming, land degradation, land cereal and humid mid good enset scarcity, food insecurity; livestock, highland (sh2) culture labor migration; psnp degraded adaptation soils tepid sub- Wukro tigray East drought mixed crop and droughts; land degradation; moist mid tigray livestock harvest failure; poor agric.; highland (sm1) farming psnp. low land Warm moist dire/ oromia Borana drought pastoralism and drought, feed and water pastoral/ lowland (m1) yabello agro- shortage; livestock death; agro- pastoralism food insecurity, bush pastoral encroachment; pcdp; Regional gov. water project. Warm semi- Kuraz snnpR south flood pastoralism; poor local development, arid lowland omo (omo) some flood vulnerable living condition; (sA1) recession pcdp cultivation Warm arid West imi somalie flood, pastoralism; flood disasters; drought; lowland (A1) drought some crop and famine cultivation Warm sub- fentalle oromia East drought pastoral/agro- drought,land lostto comm. moist lowland shoa pastoralism; estates, conflicts w. (sm2) camel migration highlanders and Afar to highlands pastoralists; pcdp Warm arid Amibara/ Afar Zone 3 floods pastoralists and poor local development, lowland (A1) drought agro- conflicts with issa pastoralists community; psnp, pcdp (Continued on next page) d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 37 Agro-ecology Vulnerable (MOARD Proposed Admin. Climate Farming Social vulnerability zone recent) woreda Region zone hazards system indicators, other features lowland, Warm humid Konso snnpR Konso drought; mixed farming; severe land shortage; land mixed lowland (h1) special land good adaptation degradation; poor agic; farming, degradation through sWc highest no. psnp users degraded (fAo awards) soils tepid semi-arid Adami oromia East drought, mixed dry land drought; land degradation; lowland (sA2) tullu shoa land farming; food insecurity; charcoal degradation charcoal making; lake Zeway production depleting; psnp midland, tepid moist libo Amhara south flood some flood flood, lose of crops, irrigable mid highland kemkem gonder recession malaria, etc; bank irrig. (m1) agriculture; project. small scale irrig. midland, tepid moist ilu/ sebeta oromia West flood, mixed farming; high popn, scarce land, high agric. mid highland hawass shoa malaria flood recession malaria, migration to potential (m2) pulse cash escape flood crops, perennial tepid moist Kindo- snnpR Wolita drought; mixed farming; land degradation; crop and roots mid-highland Koysha land livestock in the failures; food insecurity; crops (m2) degradation lowlands psnp. Urban tepid moist harar town harari Regional Water Urban town in a mountain; lack of settings mid highland capital shortage economy; cash water for urban uses; lake (m2) crops (t'chat) in Alemaya dried. rural Warm arid dire-dawa dire- capital flood in Urban Big flood disaster in 2006; lowland (A1) town dawa of Admin. town; economy; semi- frequent droughts in rural; drought in pastoral rural rural psnp. rural areas. areas 38 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA a nnex Table 2. Key a daPTaT ion o P Ti o n s a n d C r iTe r i a f o r s e l eC Ti o n : a n e xamP le from loC al-l evel K a l u Wo r e d a Highland Midland selected adaptation · Agricultural research to develop early maturing and · Water harvesting and moisture preservation options drought-resistant crops techniques · increasing awareness about climate change · drought-resistant plants and crops · implementing natural resource management · Reforestation policies · soil conservation · increasing development activities of private · preventing uncontrolled grazing investors and other organizations · Expanding non-agricultural income generating activities Ranking criteria · can be done within short period of time · can reduce the extent of damage · Benefits a large number of people · can be done with low cost · Brings sustainable change · can be done within a short period of time · cost efficient · Brings sustainable change · Uses local knowledge and resources source: local Psd workshop conducted in june 2009. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 39 a nnex Table 3. maT rix r anK inG f o r m i d l a n d z o n e Wi Th T r a n s l aTi o n of T he oPTions and ranK inG Cr iTe r i a ( K a l u W o r e d a ) Reduces the extent Uses local of damage Can be implemented Can be done within Brings about knowledge and significantly at low cost short period of time sustainable change resources Water harvesting and moisture preservation Drought resistant plants and crops Reforestation Soil conservation Preventing uncontrolled grazing source: local Psd workshop conducted in june 2009. Note: matrix scoring using five locally-derived criteria (columns) to rank each adaptation option (rows) was undertaken with the group, with low scores signified by 1 dot and high scores by 4 dots. row-wise criteria scores for each option were added together to derive a total score for each option, thus signalling the relative preferences of the group for each option. higher-scoring options (i.e., soil conservation and reforestation) were thus preferred over other options listed (though note that this set of options was itself a short-list resulting from earlier prioritization of a long-list of options generated by the group). Preferences were verified a final time at the end of the exercise, and confirmed that these scored options were indeed in the preferred order of the group. 40 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA a nnex Table 4. naT ional ada PTaTi o n PaThWay Geog. Existing Pro-poor Trade- Synergy zone Adaptation options Time frame /Future impact Preconditions/ policy off with with Central, northern and Western highlands 1 land conservation, short- Existing medium tenure security, land-use 2 3 and 4 Biodiversity medium planning and enforcement 2 Access to Agricultural short- Existing high policy for privates sector 3 and 4 technology, finance & market medium engagement, inputs, infrastructure 3 income diversification and s medium future high finance, skill training 1 2 Agro-industry technology 4 irrigation and water short-term Existing medium finance, skill training, 1, 2 and harvesting technology 3 5 promoting alternative medium future low technology, policy, finance 3 and 4 renewable energy Lowland and pastoral 1 Rangelands rehabilitation and short ­long Existing high Awareness raising, -- 1, 2, 3, herd management involvement of local 4, and 5 institutions 2 livelihood diversification short ­long Existing high proper targeting, application cultivation 2, 4,5 of strategy 3 herd mobility, land and short-long future medium prevalence of peace 4 1 environmental rights free mobility, group land rights 4 Education short ­long Existing high Education mobility mobility (less) 5 conflict resolution short-long future high Recognition of local -- 1, 2,3,4, institutions &5 urban 1 construction of flood control short future high capital, technology -- 3 2 tree planting in urban centres short Existing low capital, awareness raising -- 4, and 5 3 improving flood early warning medium future high media (awareness), -- 1, 5 technology, policy 4 Revised urban planning medium future medium policy, technical capacity, -- Relate mobilizing communities to all 5 Raising awareness short future high policy, political will, and -- 2, 3, 4 media source: national Psd workshop conducted in october 2009. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 41 annex fiGure 1. imPaCT diaGram: soCio-eConomiC imPaCTs of ClimaTe ChanGe idenTified by sTaKeholders (midland in Kalu Woreda) Drought Reduced underground Deterioration of Deforestation water supply health conditions Increased desertification Desiccation of Increased migration surface water Increased school drop out Environmental degradation Increased livestock disease prevalence Increased mortality Lack of animal feed Loss of wealth and asset Low productivity High cost of living Source: local Psd workshop conducted in june 2009. 42 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA annex fiGure 2: Chain of effeCTs of ClimaTe ChanGe on naTural and soCial environmenT in Karrayu PasToral CommuniTy Unfavorable weather: Draught heavy or erratic rain Population pressure Expanding desertification Livestock management Seasonal migration Expansion of goat Strong winds and sheep rearing Expansion of cultivation Charcoal making Expansion of basqaa lake Deforestation, Land taking by neighboring districts: conflicts Famine and food insecurity Conflicts Lose of Bio-diversity Source: local Psd workshop conducted in june 2009. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 43 a nnex Table 5. ParTiCiPaTory s Ce n a r i o d e v e l oPm e n T W o rK s h oP a Ge n d a (Kalue disTri CT) 17th June 2009 ­ Kombolcha, South Wollo Ethiopia 9:00­9:45 Welcome and introduction dr Berhanu Adenew (EEA) objective of the workshop dr Anne Kuriakose (World Bank) outline and agenda dr Berhanu Adenew 9:45­10:30 time-line exercise group work 10:30­11:15 developing vision for the future group work 11:15­11:30 Break 11:30­12:30 identifying climate change impacts group work and reporting 12:30­1:30 lunch 1:30­2:30 developing adaptation options 2:30­3:30 Ranking of adaptation option and developing adaptation pathways 3:30­3:45 Break 3:45­4:45 group presentations and plenary discussion 4:45­5:00 closing dr Berhanu Adenew (EEA) 44 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA a nnex 6. h ousehold ques Tionn a i r e Compared to the household questionnaire in the incep- tion report, the order of some questions has changed, rationale of proposed changes in questionnaire questions 2 till 6 have changed and some of the costing elements asked for and the way they are asked for has Compared to the household questionnaire as changed. The main reason for simplifying and shorten- presented in the inception report, the questionnaire as ing the questions 2 till 6 is that for the purpose of this presented here contains a number of changes. The study, it is not necessary to obtain detailed information changes proposed are based on comments received on individual household member characteristics and during the three launching workshops, lessons learned household activities. For example, it is not necessary to from the missions to the three project countries and know observations from the members of the project team. For each project country, the household questionnaire · for each household member how many years of edu- contains the same questions. Answer categories or cation they have; adaptation options, however, may differ between each · what is the exact relation between land cultivated, country. yields and sales; · the exact number of each possible type of livestock The objective of the household questionnaire is to learn owned and the exact sales of animals; about the following issues (in order of importance): · the exact catch and sales of fish. · Which adaptation strategies do rural households In these questions we ask for information in such a level adopt? Which climate related hazards explain why of detail that it allows us to define different types of households choose these strategies? households and livelihoods and to be able to analyze · What are the costs the households have to make which characteristics explain the choice of a particular when they adopt a particular strategy? strategy. More detailed information on the above issues · Which institutions are most helpful to assist the is interesting and relevant for farming systems studies or households adopting particular adaptation household analyses. For the purpose of our study, strategies? however, this information is not necessary and it · Are there differences in the adaptation strategies distracts us from the main objective. Moreover, much of adopted by particular household types or wealth the information that is not asked for (e.g. on the amount classes; which livelihood characteristics best explain harvested and the number of animals owned) is sensitive which strategies are adopted? information for which it can be wondered whether reli- able answers will be given. Furthermore, in the question- In order to reach these objectives, information will be naire, a number of additional questions are raised in collected on four issues: order to obtain gender specific information on adapta- tion. Below, the questions are discussed one by one. 1. Factors explaining livelihood type and wealth class: this contains information on e.g. primary activity 1. The first question is necessary in order to obtain (e.g. farming type), household characteristics (size general information about the respondent and the of household, level of education,...), assets owned, type of household the respondent is representing. land cultivated, crops cultivated, livestock owned, An important determinant of the adaptation strate- access to financial resources. gies adopted will be the main activity of the house- 2. Information on perceptions regarding climate hold. For that reason, the respondent is asked to related hazards. rank using a participatory approach (using cards 3. Information on the adaptation strategies adopted indicating the possible occupations, if possible using and the costs made to apply the strategies in terms pictures) the importance of the different activities of money, time and in-kind inputs. for their household. For small households, it is pos- 4. Information on the institutions with whom house- sible that they are only involved in one or two activ- holds have contacts. ities. Larger households and especially extended d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 45 families are probably involved in multiple activities. status of land to see whether land ownership has an Here, it is also asked whether the activity is per- effect on the adaptation strategies adopted. For formed especially by the men or women in the countries for which it is sure that the entire house- household, in order to learn more about the gender hold budget is managed by the men, this question issues. can be deleted. 2. In the second question, we ask for information 4. The fourth question only applies for households about household composition and household char- owning livestock. Livestock is an important savings acteristics. The way this question is asked may dif- source for many households. For pastoralists, it is fer per country. In principle, it is preferable and their primary source of income. Different from the easier for the interviewer to ask each individual draft version, we do not ask for detailed information member about their age, years of education and on the amount of animals owned and sold for a relation to the household head. However, for exam- large number of possible types of animals. The ple for Mali, it may be preferable to ask for more main reason for this is that people are usually not aggregate information for two reasons. First, in willing to give exact insights in the number of ani- Mali extended families may have a too large num- mals owned and sold. Moreover, in order to learn ber of household members, making this question more about the wealth class of the household, it is too time consuming. The country teams have the sufficient to have information in a more aggregate choice to ask one of the two questions, as long as all manner. For that reason, we ask for information per household within one country receive the same livestock category: breeding cattle, dairy cattle, question. The question also contains a sub-question traction animals (oxen, mule, horse), small rumi- on migration. This is for double-checking the adop- nants (goats/sheep) and poultry. Moreover, we ask tion of the adaptation strategy to permanently or about the number of animals currently owned and temporarily migrate. the number owned 12 months ago. This give infor- 3. The third question elicits information about land mation on changes in wealth class This information and crops cultivated. In the draft version of the is also meant to double check some of the questions questionnaire, we also asked for information about related to the adaptation options, to indicate the amount harvested and the amount sold. whether wealth has increased or decreased and to Moreover, it was proposed by some people to add indicate whether households are participating in the questions about the date since when particular crops money economy. are cultivated and on whether cultivation of partic- 5. The fifth question only applies for households ular crop has increased or decreased. This last ques- engaged in fishing activities. We ask which types of tion would give information about the effect of fish are caught and whether they sold fresh or pro- changing climate characteristics on crops cultivated. duced fish. Like in the previous question, we do not We decided not to add this question as it is already ask for the amount of fish caught because it is too part of question 8. Moreover, it is difficult for difficult to answer such a question. respondents to indicate how much of each crop was 6. The sixth question deals with asset ownership. The harvested and how much was sold. Moreover, this types of assets owned are an important determinant level of detail is not necessary. In order to know of wealth class. The more or more luxury assets more about household type and wealth class, it is owned, the wealthier the household will be. It is sufficient to know how much land is cultivated with expected that wealth class partly explains the types the different types of crops and whether or not they of adaptation strategies adopted. In the analysis, we sold part of their harvest on the market. The size of distinguish four types of assets: basic necessary the land cultivated with particular crops tells us assets (especially equipment), basic non-essential which type of farming system we are dealing with assets (like radio, jewellery, bicycle/moped,...), lux- (small-middle-large farm, subsistence-mixed-cash ury assets (like a cellphone, gas/petrol stove, refrig- crop oriented farm). The yes-no question on sales erator), and top-level assets (including a television, tells us whether households take part in the money car, and house built of bricks). For the basic neces- economy. We also ask information about ownership sary and non-essential assets, also the number of 46 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA assets owned is asked for. For the other types of participatory approach was proposed to ask for the assets it is asked when they are purchased in order monetary costs. The rationale for this was that it to learn more about changes in wealth class. was thought to be difficult to memorize the costs 7. The seventh question deals with the hazards house- made for a particular option. We decided to change holds experience and their perceptions on the this approach based on discussions with several importance of these hazards. First, it is asked which people. For households who are only partially inte- climate related hazards they have experienced in the grated in the monetary economy, it can be expected past and when they experienced them. In a narra- that If they actually have to spent money for adopt- tive manner, the respondent is asked in what period ing a strategy, they know the amount. Next, for the the hazard was experienced and whether they can time and money spent on the strategy, it is asked recall any major climate related events that have who has to make the expenses: men-women, indi- taken place in the last 30 years and that have caused vidual-communal-external. This gives information substantial changes in livelihoods. Based on that, it on the gender perspective of adaptation and the is attempted to link it to a particular year. Next to importance of communal and external aid to adopt that, it is asked whether the households have any particular strategies. For the in-kind inputs, it is specific difficult periods throughout the year in asked what type and how much of each input is order to learn more about the vulnerability of the used. In the data analysis phase, it will be attempted household. It is also asked to what extent these haz- to monetarize these inputs in order to learn more ards affected their activities and whom is affected about the implicit costs of the options. Thirdly, it is the most. Thirdly, it is asked which hazards are also asked what type of benefit is envisaged if an considered most threatening and whether they have option is chosen. We distinguish between earning changed. Using a participatory approach (by order- additional cash income, reducing risk and increasing ing cards with possible hazards) it is elicited how non-cash income. Fourthly, it is asked whether the households perceive the importance of climate and household received help from institutions. This non-climate related hazards. Here, it is also asked question is important in order to be better able to whether the hazards especially affect men or target assistance to institutions. It shows which women, in order to learn more about gender differ- entry points are important and what type of help ences in hazard perception. the institutions need. 8. In Question 8 more information is elicited about the types of institutions households have contacts In the first village in which the questionnaire is used, it with. Moreover, it is attempted to link the reason is evaluated whether the questionnaire works as for contacting a particular institution with the haz- expected. If some questions are too difficult or are ards they are facing (as asked for in question 7). misinterpreted, they will be reformulated. It is This learns us whether particular institutions have a attempted to keep these reformulations as small as certain focus on particular climate hazards. If they possible, such that only the formulation changes but not are not related to any climate hazard, this is also the rationale and its position with the questionnaire. indicated. 9. Question 8 is one of the most important questions Notes on how to conduct the questionnaire of the questionnaire. Compared to the draft version, we have slightly changed the order and types of These notes give tips about how to ask for some of the questions. We first ask for the types of adaptation questions when conducting the questionnaire. options they have adopted, whether they are adopted by the men or women in the household, Question 1: and why (which hazard is reduced). Secondly, for those options adopted, we ask for detailed informa- · Not all questions have to be asked to the respon- tion about the costs. We distinguish between mon- dent. Village name and code, household code and etary costs, time input and in-kind input that was sex of the respondent can be filled in without ask- not purchased. In the draft questionnaire, a ing it to the respondent. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 47 · Rank occupations of the household in order of Question 3: importance: Use the cards as given at the end of the questionnaire and ask the respondent to lay them a. First ask which crops the household cultivated in down in such a way that the most important occu- the last 12 months. Fill in the names of the crops in pation of the household is put on the left side and column a. When the questionnaires is finished, the the least important occupation on the right side. interviewer has to fill in the crop codes in the first Activities not performed can be put on a separate column of the table. pile. Once the options are ranked, ask whether the b. Ask for each crop how much land was cultivated activities are especially performed by men or by with that crop. In the cells, fill in the amount of women. An alternative way of ranking is to give the land cultivated in the last 12 months. Make sure respondent 15 stones and ask them the put stones that for all households within a village the same on the cards indicating how important they are. unit of measurement is used. The interviewer has to write down the number of c. Ask for each crop whether the household sold a stones put on each card. Make sure that for all vil- part of its stock on the market in the last 12 lages within one country the same approach is months. Tick yes or no. If a crop is sold, ask adopted. whether the earnings from the sales are managed by the men or the women. If the household bud- Question 2: get is managed by both equally, tick both M and W. If it is sure that the entire budget is managed First, the country team has to choose whether option 1 by the men (e.g. in Yemen), this question can be or option 2 is chosen. In case of option 1 aggregate deleted. information will be asked for on household composi- d. Ask for how much land the household has owner- tion. In option 2, questions will have to be asked for per ship rights or permanent or long-term use rights. household member. Use the same unit of measurement as in question b. e. Ask how much land was rented or sharecropped in. a. Within each cell, fill in the number of men or Land sharecropped in is land cultivated by the women within a certain age class. Ask the respon- household that is owned by another household. dent how many boys/girls under the age of 15 life in the household, how many men/women in between Question 4: 15 and 30 live in the household, etc. Permanently migrated people must not be included. Temporarily a. First ask whether the household owns livestock. If migrated members should only be included if they the answer is no, look around to see whether indeed live in the household at the time of the interview. there are no signs that not even poultry is owned. If b. First ask whether household members have tempo- the household indeed does not own any livestock, rarily migrated to another village, city or abroad in move to question 5. the last 12 months; secondly ask for the age of the b. For the types of livestock indicated in the first col- migrated household members. In the cells, fill in umn of the table, ask whether the number of ani- the number of people of a certain age class who mals owned is in one of the classes indicated. Tick have temporarily migrated. the cell indicating the number of animals they own. c. First ask whether household members have perma- Check whether the answer given is plausible. If a nently migrated from the village. If people have large number of animals is observed close to the migrated, then ask the age and sex of the people dwelling, ask more questions about who owns these migrated. In the cells, fill in the number of people animals. The distinction made between cattle and of a certain age class of have permanently migrated. dairy cattle refers to livestock owned especially for d. Ask how many boys/girls/men/women have had purpose of meat or reproduction or for the purpose education in one of the indicated classes. In the of milk production and sales. cells, fill in the number of household members who c. Similarly to question 4b, ask how much livestock were in school for a particular number of years. was owned 12 months ago. 48 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA Question 5: 4. being more unfavourable than normal years because it knew excessive showers leading to a. First ask whether the household engages in fishing damage to crops, livestock or property (e.g. activities. Tick the correct answer. Secondly, if they destroyed roofs); engage in fishing activities, ask whether they do it 5. being unfavourable than normal years with individually or as a member of a fishing group. If the higher than average temperatures which com- answer to the first question is no, move to question 6. bined with long periods without rainfall resulted b. Iindicate the type of fish people catch. When the in scorched crops. questionnaire is finished, the interviewer has to fill b. If they experienced one of the hazard described in the fish codes in the first column of the table. above, ask when the period took place. If they don't c. Ask whether the household sells any freshly caught know the year ask for events that have taken place fish during the last 12 months. Tick the correct in that period that can be traced back to a year(s). answer. c. Ask whether people can recall whether there are d. Ask whether the household has sold any processed any periods in the past 30 years, that can be charac- fish. Processed fish is cleaned, smoked or dried. terized by major droughts, major floods or major Tick the correct answer. shifts in rainfall pattern and that have caused sub- stantial changes in the way people make a living. Question 6: d. Ask people to describe in their own words the major weather related hazard they are facing in · In the table a list is given of possible assets house- their daily activities. Is it related to the amount of holds can own. For the first list of assets it has to be rainfall, the variability (spread of showers over the asked whether they own these assets. Tick yes or rainy period), the temperature,.... no. If they own them, ask for the number of the e. Ask the respondent whether in the last 12 months asset they own. they had a period in which they experienced prob- · For the second list of assets, it has to be asked lems to sufficiently feed all household members. whether they own the asset. Tick yes or no. If they Also ask the months in which they experience these own the asset, ask when they purchased the asset. problems. f. For the hazards for which the respondent indicated Question 7: that they have experienced it, ask how it affected 1. crop production (were yields less??) ­ 2. area culti- a. For the five hazards indicated in the first table of vated (did they cultivate less fields??) ­ 3. livestock question 7, ask whether people experienced in their owned (did animals die or did they sell animals??) ­ lifetime periods of more than one year that can be 4. fish landed (did it affect catch) ­ 5. assets owned characterized as (were assets sold to get cash??) ­ 6. cash income (did 1. being more unfavourable than normal years with they own less cash??) lower amounts of rainfall than normal during g. Ask whether the effect had a larger effect on the the rainy season, leading to droughts, and which men or the women of the household, or whether they remember as being distinctly different from there is no difference. other periods; h. For the 10 hazards given in the table (and on cards) 2. being more unfavourable than normal years with ask the respondent to order the cards in such a way more irregular rainfall, e.g because it was dry for that the most important hazard is put on the left a long time after the first rains or because the side and the least important on the right side. first rains started later or because there were too Hazards that are not at all deemed to be important long periods without rain during the farming can be put on a separate pile and scored 0. season, leading to droughts and reduced yields; i. Ask the respondent whether the hazards indicated in 3. being more unfavourable than normal years the table have become more or less threatening than in because it had periods of excessive rainfall due to the past. Compared to the past, do they affect produc- which fields flooded; tion, income and consumption more than in the past? d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 49 Question 8: compared to their normal activities and how much time (days). a. Ask with which organizations listed in the table the · For agricultural activities, this may be household holds contacts with clear: do the new activities cost more b. If they have contacts with the organizations, ask time than the usual practice; how often they have contacts with the · For water management techniques, set- organizations. ting up and maintaining the systems c. If they have contacts with the organizations, ask for asks for time; how long they are in contact with the organization. · For diversification techniques relating to d. The interviewer has to check whether the moment migration, people migrating probably since when they are in touch with an organization is have to spent time on preparing their related to any of the climate events as listed in ques- trip and it takes time before they start tion 7. earning a living (ask for how much time e. Ask whether the assistance given by the organiza- it takes to find work); for diversification tions is useful to reduce the weather related hazards techniques relating to new activities, it as discussed in question 7. takes time make handicrafts, collect timber or produce charcoal. Question 9: · For communal pooling, the activities indicated take time to build. · This question is the most important question of the 2. Also ask who did the work: 1. men from questionnaire. It is important to get a full overview the household, 2. women from the house- of the strategies people have adopted to reduce the hold, 3. men jointly with other men from effects of the different hazards asked for in the pre- the community, 4. women jointly with vious question. other women from the community, 5 people a/b. For the different strategies listed ask whether from other organizations. people have made these changes in their activ- 3. Ask whether people had to make cash ities in order to reduce their dependence on expenditures to start the activity. weather. If they adopted a strategy ask whet- · For agricultural activities, cash expendi- het the decision to adopt the strategy was tures refer to seeds, equipment, inputs, made by one of the men or women in the building materials and other cash household. Moreover, in that case ask which of expenditures the hazards listed in question 7 was the main · For water management techniques, cash reason for changing their activities. If none of expenditures refer to investments in these hazards was the reason, give the score 6. water collection systems, inputs, equip- c. Fill in the strategies asked for in question a ment, materials, etc. which were adopted to reduce any of the cli- · For diversification techniques related mate related hazards. to migration, cash expenditures refer to d. In this question, we have to ask which invest- travel costs and money needed to cover ments had to be made for adopting the strat- the first period in which people don't egy. This refers to cash expenditures that had earn an income yet. For techniques to be made, time needed to make the change referring to other activities, cash and in-kind inputs that were needed. expenditures refer to equipment and Moreover, it is asked whether the time spent materials needed to start these or cash expenditures made are done by men, activities. by women, by the community or by external · For communal pooling techniques, cash organizations. expenditures refer to expenditures on 1. ask whether in first year after adopting the inputs and equipment that have to be strategy, adoption cost them more time made by the household. 50 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA 4. If people had to make cash expenditures, people are living together on a permanent basis in how much money did it cost them in the the same dwelling. first year after they adopted the strategy. 3. For each country the questionnaires have country 5. Like for question d.3, ask who had to make specific questions on agricultural practice, adapta- the expenditures tion options, measurement units, income sources 6. Ask the type of in-kind input they needed and linkages to ongoing community development and how much. This has to be filled in in a projects. separate table. In-kind inputs may include 4. Observations on the way questions have been equipment or materials that are available in answered are given after each question. the household or in the village. It refers to 5. The questions and the answering categories have to all inputs except for the inputs they pur- be adapted to the vocabulary of the rural chased and labour input. households. e. Ask which benefits they obtained from adopt- ing the strategy; Introduction 1. did they earn more cash income, 2. did they have less risk to lose production or We would like to interview you as part of a study animals; did they have less risk on income commissioned by the World Bank and supported by the or food shortages; did they have less risk to Ethiopian/Yemeni/Malinese government. In this study water shortages? we would like to learn more about what kind of strate- 3. did their non-cash income increase (higher gies the rural population adopts in order to adapt to production, more livestock) changes in the variability of rainfall and temperature f. Ask whether they were assisted, advised, and to changing risks of floods, droughts and extreme trained or supported by organizations or insti- rainfall. Moreover, we would like to learn more about tutions working in the village. how organizations in the villages or in the regions e. If they were assisted by any organization, ask support the rural population to deal with these risks. what type of input they received: training, This helps the government and the national and inter- labor, inputs, cash or food. national NGO's to better support organizations who are helping the rural population to prepare for the effects of household questionnaire climate change. O Mali O Ethiopia O Yemen With these interviews, we try to determine how house- holds adapt themselves to changes in weather and rain- Note: fall patterns. We hope to learn more about what households do in order to safeguard themselves against 1. Within each village, from 50 households an adult the risks that might endanger their food security level will be interviewed. This may be the head of the and how it affects their situation. The results of the household or one of the adults living in the house- interviews will be presented to the government as well hold; it may be a woman or a man. as to other organizations working on this issue. 2. A `household' is defined as the group of people who share a place to live and sleep and share their meals The interview will take approximately 30 minutes. We from the same storage facilities. It may be a nuclear will ask a number of questions about your current situa- family consisting of a father, mother and their chil- tion, about the situation in the past and about the orga- dren or an extended family, in which also more nizations working in this village. d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 51 1. Village and household characteristics a. Village name: c. household code: b. Village code: 1 2 3 4 5 6 d. respondent name: e. sex of respondent: male female f. relation of respondent to household head 1. household head 2. Wife of household head 3. other g. number of years the family of the household members is living in the village: ........................... h. number of years, household occupies this residence: ................................ i.1 rank occupations of the household in order of importance (1 = most important,..., 8 = least important; 0 = no source of income for any of the household members; * use cards indicating the possible activities and ask the respondent to order them from most important to least important, with a separate pile for activities that are not performed; * alternatively, they can indicate the importance of each activity by allocating stones over the seven items, for which they allocate more stones to the more important activities) i.2 indicate whether the activity is especially performed by men or women; if there's no difference, tick both answers. (i.2) Performed by men or women (i.1) Main activities of the household Men Women crop farming Animal husbandry fisheries day labor within agriculture off-farm labor (non-agricultural) trade and commerce civil servant other: Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ 2. Household composition and household characteristics The country team should choose whether the questions of option 1 or of option 2 should be adopted, depending on which question is deemed to be most appropriate. 52 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA OPTION 1 a. What is the number of household members (male and female) in different age classes (members currently liv- ing in the household and those who migrated for periods less than 12 months)? b. What is the number of household members who have temporarily migrated during the last 12 months? c. What is the number of household members who belong to the household but who have migrated permanently? Note that these do not refer to household members who left the household to start their own household some- where else. It refers e.g. to husbands or wives who have migrated permanently with the objective to sent cash to the village. d. How many household members received education and for how long? age class 0­15 15­30 30­45 45­60 60+ total a. household members male female b. household members who temporarily migrate male female c. households members who have migrated permanently male female d. Years of education 0­4 4­8 8­12 12+ total Boys (< 15 years) girls (<15 years) male (> 15 years) female (>15 years) Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ OPTION 2 This question deals with the household members who are currently living within the household and those who migrated for less than 12 months. a. What is the sex of the household members? Tick male or female. b. What is the age of the household members? c. Did the household member migrate for a period of less than 12 months during the last year? Tick yes or no. d. How many years of education did the household member receive? Sex Temporarily migrated Household member Male Female Age (years) Yes No Years of education 1 2 3 4 d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 53 5 6 7 8 9 10 11 12 13 14 15 e. Are there any household members who belong to the household but who have migrated permanently? Note that these do not refer to household members who left the household to start their own household somewhere else. It refers e.g. to husbands or wives who have migrated permanently with the objective to sent cash to the village. yes no If the answer was yes: ask which people migrated permanently? ................................................................................... Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ 3. Crops cultivated last year a. Did you cultivate any of the crops listed below during the last 12 month (tick if the crop is grown) b. How much land have you cultivated with each of these crops? c. From which crops harvested during the last 12 months did you sell a part? (tick `yes' or `no'). If crops are sold, ask whether the money earned is managed by the men or women. If the household budget is managed equally by the men and women, tick both cells `men' and `women'. (c.2) (b) (c.1) Income managed by Land cultivated Sold whom? (a) Crops cultivated during the last 12 months Amount Unit Yes No Men Women 1 2 3 4 5 6 7 8 54 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA 9 10 11 12 13 14 15 16 17 18 19 20 d. How much land do you own or have permanent or for? ....................... unit) e. How much land do you rent or sharecrop in? ....................................... unit) Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ 4. Livestock a. Does the household own livestock or animals? Does the household own livestock? Yes No Continue with question 4b­d only if the household owns livestock! b. How much livestock does the household currently own? (mark the category indicating the number of live- stock owned) c. How much livestock did the household own 12 months ago (mark the category indicating the number of livestock owned) (b) How much livestock does the household currently own? Livestock 1­2 3­5 6­10 More than 10 1. cattle 2. dairy cattle 3. traction livestock (e.g. mule, horse, oxen) 4. goats/sheep 5. poultry d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 55 (c) How much livestock did the household own one year ago? Livestock 1­2 3­5 6­10 More than 10 1. cattle 2. dairy cattle 3. traction livestock (e.g. mule, horse, oxen) 4. goats/sheep 5. poultry Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ 5. Fisheries a. Does the household engage in fishing activities? Does the household engage in fishing activities? Yes No Is the household a member of a fishing group? Yes No Continue with question 6b­d only if the household engages in fishing activities! b. Which type of fish do you catch? c. Did you sell any fresh fish during the last 12 months? d. Did you process (clean, dry or smoke) and sell any fish during the last 12 months? (c) (d) Sold Process and sell Fish (b) code Fish species Yes No Yes No Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ 56 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA 6. Major assets owned a. Which of the listed assets does the household own? b. If you own these assets, how many do you own? c. If you own these assets, how many years ago did you purchase them? (a) Assets owned If (a) is yes: (b) Item yes no Number of assets owned plough hoe Axe sickle shovel fishing equipment Jewelry cart improved stove Radio Bicycle/moped iron roofed house Kitchen house If (a) is yes: (c) Item When purchased? gas/petrol stove Refrigerator stable for livestock cellphone television Boat house built of bricks car other........................................ other....................................... Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ 7. Importance of hazards endangering livelihood a. Have you experienced in your lifetime periods which are characterized by more or less favourable rainfall or temperature? (tick yes or no) d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 57 b. If you experienced the hazard, can you indicate when this has taken place or do you know of important events that have taken place during those periods? (present the year(s) or describe the event in such a way that the year can be determined by us) (a) Climate variability related hazards If (a) is yes Hazard (b) code Hazards Yes No Years/period event took place 1 Unfavorable years with less rainfall during the rainy season leading to droughts 2 Unfavorable years in which the rainy season knew periods of prolonged drought, leading to crops drying out or livestock not having sufficient water. 3 Unfavorable periods within a year with excess rainfall leading to floods 4 Unfavourable periods within a year with too heavy showers leading to damage to crops, livestock and property 5 Unfavorable periods characterized by periods in a year of extreme temperatures, leading to scorched crops c. Do you recall any major periods of drought or flood in the past 30 years that have substantially changed the lives of many people in the area and which have caused large changes in the way people till their land or earn a living? ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ........................................................................................................................................................................... Note to interviewers: check to what extent this corresponds with the hazards given in question 7a. d. Describe in your own words the major climate related hazards you are facing in your daily activities. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ........................................................................................................................................................................... Note to interviewers: check to what extent this corresponds with the hazards given in question 7a. e. In the last 12 months, were there any periods in which the household experienced difficulties to sufficiently feed all household members? If there were such periods, which months were difficult? e.1 Experience any difficult periods last year? Yes No e.2 Which months were difficult? jan feb march april may june july aug sept oct nov dec f. For those climate related hazards that you have experienced, to what extent did you experience effects in your activities? (0 = not applicable, 1 = a lot less, 2 = less, 3 = no change, 4 = more, 5 = a lot more) g. Which household members are affected more by the hazard; the men (m), the women (w) or no difference between them (tick both)? 58 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA (g) Gender effect (f.1) (f.2) (f.3) (f.5) (f.6) Crop Area Live-stock (f.4) Assets Cash (f) Effect of hazard on livelihoods production cultivated owned Fish landed owned income Man Women Unfavorable years with less rainfall during the rainy season leading to droughts Unfavorable years in which the rainy season knew periods of prolonged drought, leading to crops drying out or livestock not having sufficient water. Unfavorable periods within a year with excess rainfall leading to floods Unfavourable periods within a year with too heavy showers leading to damage to crops, livestock and property Unfavorable periods characterized by periods in a year of extreme temperatures, leading to scorched crops h. Rank the hazards given below from the least important (1) to most important (10) (use cards describing the hazards; if necessary use pictures or use stones in which the number of stones given indicates the importance) i. If you compare the situation in the last five years with the period before. Have the hazards become more threatening in the last 5 years? (i) More or less threatening than in the past? (h) Hazards Hazard ranking Yes No drought due to less rainfall during the rainy season drought due to periods of drought during the rainy season floods due to excessive rainfall damage due to excessively heavy showers changed average and extreme temperatures human diseases Animal or crop pests and diseases decreasing soil fertility problems with input purchase or output sales high food prices other: ........................................................................ Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 59 8. Institutions a. With which organizations or groups does your household have contact? b. If you have been in contact with an organization, how often do you have contacts? (1 = never; 2 = occasionally; 3 = during the growing season; 4 = a few times per year; 5 = a few times per month; 6 = every week) c. If you have been in contact with the organization, since when have you been contacting the specific institu- tion? (1 = this year; 2 = last year; 3 = five years ago; 4 = ten years ago; 5 = more than 10 years ago) d. Is it possible to link the date since when households are in contact with an institution with the data since when a hazard is experienced as discussed in question 7a (numbered 1 to 5). (1 = Drought due to less rainfall during the rainy season; 2 = Drought due to periods of drought during the rainy season; 3 = Floods due to excessive rainfall; 4 = Damage due to excessively heavy showers; 5 = Changed average and extreme temperatures; 6 = other) e. If you have been in contact with the organization, has the help or assistance obtained been helpful to prepare your household for hazards which are a danger for your household? (e) (a) Helpful for In contact (b) (c) (d) adaptation Organization Frequency of contacts Have been in Link to hazards in Hazards Yes No with institutions contact since question 7 Yes No 1. national authorities 2. Regional authorities 3. local authorities 4. Extension agency 5. international donors 6. non-governmental organization 7. cooperatives 8. schools 9. Banks 10. village communities 11. Religious communities 12. Women's groups 13. micro-finance groups 14. self-help groups 15. Unions 16. other........................... 17. other........................... 60 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA 9. Major strategies of the household to cope with hazards a. Do you apply the adaptation options given below in order to adapt to the hazards given in the previous ques- tion? Who decided about the strategy change; one of the men or women of the household? b. If the adaptation strategy is adopted, which of the hazards are reduced? (1 = Drought due to less rainfall dur- ing the rainy season; 2 = Drought due to periods of drought during the rainy season; 3 = Floods due to exces- sive rainfall; 4 = Damage due to excessively heavy showers; 5 = Changed average and extreme temperatures; 6 = other) (a) (a) Strategy adopted (b) Strategy adopted (b) Which hazards are Which hazards are Strategy type Yes No Men Women reduced? Strategy type Yes No Men Women reduced? A. AgRicUltURAl tEchniQUEs c. divERsificAtion A1. crop selection 1 2 3 4 5 6 c1.temporal migration to urban 1 2 3 4 5 6 areas or abroad A2. Adapt planting dates 1 2 3 4 5 6 c2. temporal migration to other 1 2 3 4 5 6 rural areas (e.g. plantations) A3. Adapt cropping densities 1 2 3 4 5 6 c3. permanent migration (to other 1 2 3 4 5 6 rural areas, urban areas or abroad) A4. Adapt fertilizer/pesticide 1 2 3 4 5 6 c4. non-timber forest product 1 2 3 4 5 6 application commercialisation A5. Adapt tillage practices 1 2 3 4 5 6 c5. home-garden agriculture 1 2 3 4 5 6 A6. change the pastoral 1 2 3 4 5 6 c6. increase market sales 1 2 3 4 5 6 system (distance and frequency of mobility) A7. change the herd 1 2 3 4 5 6 c7. handicrafts 1 2 3 4 5 6 composition A8. Apply different feed 1 2 3 4 5 6 c8. charcoal or timber sales 1 2 3 4 5 6 techniques, like e.g. zero grazing A9. change from pastoral to 1 2 3 4 5 6 c9. start fisheries 1 2 3 4 5 6 sedentary agricultural system A10. improve food storage 1 2 3 4 5 6 c10. Reduce expenses by 1 2 3 4 5 6 facilities changing consumption (type and d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s number of meals) A11. other ............................. 1 2 3 4 5 6 c11. draw down on livestock, 1 2 3 4 5 6 surpluses or savings B. WAtER mAnAgEmEnt tEchniQUEs d. commUnAl pooling B1. Use water harvesting 1 2 3 4 5 6 d1. Restore and preserve 1 2 3 4 5 6 techniques: roof water homestead or mountain forests to collection, tanks,... reduce erosion B2. improve, construct or 1 2 3 4 5 6 d2. Rangeland preservation and 1 2 3 4 5 6 rehabilitate terraces grazing restrictions B3. Use irrigation 1 2 3 4 5 6 d3. soil erosion prevention 1 2 3 4 5 6 programmes (e.g. community terracing) B4. improve watering sites in 1 2 3 4 5 6 d4. communal water harvesting, 1 2 3 4 5 6 pastoral areas tanks B5. other................................ 1 2 3 4 5 6 d5. communal irrigation 1 2 3 4 5 6 1 2 3 4 5 6 d6. other: ..................................... 1 2 3 4 5 6 d7. other: .................................... 1 2 3 4 5 6 61 62 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA c. FILL IN THE STRATEGIES FROM QUESTION 8(a) THAT ARE ADOPTED d. Which inputs did you need for this strategy: 1. How much time did you have to allocate to the activity in the first year after which you adopted the strategy? 2. If time had been allocated to the task, who had to spent these hours on the activity? 1 = Individual men; 2 = Individual women; 3 = Men from the community; 4 = Women from the community; 5 = other organizations.) 3. Did the strategy cost you a certain amount of money in the first year after you adopted it? 4. If the strategy cost you money, for how many birrs/real/FCFA did you purchase inputs or materials in the first year after which you adopted the strategy? 5. If the strategy cost you money, who had to make these costs? 6. What type of in-kind inputs did you need and how much, which you didn't have to purchase in the first year after which you adopted the strategy? (e.g. equipment, manure, seeds, other inputs) à see table below to fill it in e. What are the benefits obtained from adopting the strategy? (1 = additional cash income; 2 = less risk; 3 = increased non-cash income) f. Which institutions provided help in terms of training, inputs and assistance relevant for the hazards mentioned under (b)? 1. National authorities 6. Non Governmental Organization 11. Religious communities 2. Regional authorities 7. Cooperatives 12. Women's groups 3. Local authorities 8. Schools 13. Micro-finance groups 4. Extension agency 9. Banks 14. Self-help groups 5. International donors 10. Village communities 15. Unions g. What kind of inputs did you obtain from these institutions? (1. training; 2. labor; 3. inputs (seeds, equipment, wood, machinery, bricks....); 4. cash; 5. food) (d.3) (d.6) (d.1) (d.2) Did you make costs? (d.4) (d.5) Type and (f) (g) (c) Time spent Who did the Costs Birr/ Who made amount of (e) Institutions Inputs from Strategy type (days) work? Yes No real/fcfa the costs? in-kind inputs Benefits used institutions 12345 12345 see 123 12345 12345 12345 table 123 12345 12345 12345 Below 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 12345 12345 123 12345 63 64 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA Table for question (d.6): Types and amount of inputs: Strategy Type and amount of inputs Observations: ................................................................................................................................................................. ........................................................................................................................................................................................ ........................................................................................................................................................................................ ........................................................................................................................................................................................ 10. Administrative issues date of interview name of interviewer checked by d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 65 Additional to question 1.i Use the following cards for ordering the activities of the household ­ add pictures or drawings which represent the activities Crop farming off-farm labor (non-agricultural) animal husbandry trade and commerce fisheries Civil servant day labor within agriculture other: .................................................................................................... Additional to question 7.e. Use the following cards for ordering the hazards ­ add pictures or drawings which represent the hazards drought animal or crop pests and diseases rainfall variabilitiy (delayed start or early end of rainy season) decreasing soil fertility floods Problems with input purchase or output sales Changed average and extreme temperatures high food prices human diseases other: .................................................................................................... 66 t hE soci Al dimEnsions of Ad A ptAtion to c limAtE ch A ng E in Et h i o p iA i llus T raT ive P ho Tos PhoTo 1: land mismanaGemenT leads To PhoTo 2: mobiliTy is an asPeCT of vulnerabiliTy in eThioPia (soil erosion adaPTaTion for PasToral CommuniTies in sloPPy lands under CulTivaTion) (Camels) PhoTo 3: Provide WaTer and They Will PhoTo 4: farmers and PasToralisTs TreK Come: in drouGhT Prone areas WaTer livesToCK over lonG disTanCe in dry harvesTinG is imPorTanT for livesToCK seasons looKinG for WaTer d E v E l o p m E n t A n d c l i m At E c h A n g E d i s c U s s i o n pA p E R s 67 PhoTo 5: hand-duG Wells as loCal adaP- PhoTo 6: WaTer harvesTinG and usinG TaTion oPTions (feTChinG WaTer for sCarCe WaTer for GroWinG veGeTables Camels) ­ norThern eThioPia PhoTo 7: eThioPia: flood in dire-daWa in easTern eThioPia ToWn in 2006 Killed hundreds of PeoPleand desTroyed ProPerTies The World Bank Group 1818 H Street, NW Washington, D.C. 20433 USA Tel: 202-473-1000 Fax: 202-477-6391 Internet: www.worldbank.org/climatechange