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Climate Change Resilient Development of Family Farmers in the Brazilian Semiarid: an Analysis of Public Policies and of the Coexisting with the Semiarid Paradigm

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Climate Change Resilient Development of Family Farmers in the Brazilian Semiarid: an Analysis of Public Policies and of the Coexisting with the Semiarid Paradigm CLIMATE CHANGE RESILIENT DEVELOPMENT OF FAMILY FARMERS IN THE BRAZILIAN SEMIARID: AN ANALYSIS OF PUBLIC POLICIES AND OF THE COEXISTING WITH THE SEMIARID PARADIGM Letícia Wittlin Machado Tese de Doutorado apresentada ao Programa de Pós-graduação em Planejamento Energético, COPPE, da Universidade Federal do Rio de Janeiro, como parte dos requisitos necessários à obtenção do título de Doutor em Planejamento Energético. Orientador: Emílio Lèbre La Rovere Rio de Janeiro Março de 2018 CLIMATE CHANGE RESILIENT DEVELOPMENT OF FAMILY FARMERS IN THE BRAZILIAN SEMIARID: AN ANALYSIS OF PUBLIC POLICIES AND OF THE COEXISTING WITH THE SEMIARID PARADIGM Letícia Wittlin Machado TESE SUBMETIDA AO CORPO DOCENTE DO INSTITUTO ALBERTO LUIZ COIMBRA DE PÓS-GRADUAÇÃO E PESQUISA DE ENGENHARIA (COPPE) DA UNIVERSIDADE FEDERAL DO RIO DE JANEIRO COMO PARTE DOS REQUISITOS NECESSÁRIOS PARA A OBTENÇÃO DO GRAU DE DOUTOR EM CIÊNCIAS EM PLANEJAMENTO ENERGÉTICO. Examinada por: ________________________________________________ Prof. Emílio Lèbre La Rovere, D.Sc. ________________________________________________ Prof. Christovam Barcellos, D.Sc. ________________________________________________ Prof. Marcos Aurélio Vasconcelos de Freitas, D.Sc. ________________________________________________ Prof. Michelle Cristina Sampaio, D.Sc. ________________________________________________ Prof. Antônio Marcos Muniz Carneiro, D.Sc. RIO DE JANEIRO, RJ – BRASIL MARÇO DE 2018 Machado, Letícia Wittlin Climate Change Resilient Development of Family Farmers in the Brazilian Semiarid: An Analysis of Public Policies and of the Coexisting with the Semiarid paradigm / Letícia Wittlin Machado. – Rio de Janeiro: UFRJ/COPPE, 2018. XVI 161 p.: il.; 29,7 cm. Orientador: Emílio Lèbre La Rovere Tese (doutorado) – UFRJ/ COPPE/ Programa de Planejamento Energético, 2018. Referências Bibliográficas: p.116. 1. Social-ecological system. 2. Sertão. 3. Climate change. 4. Social technologies. 5. Tradicional technologies. 6. Vulnerability I. La Rovere, Emílio Lèbre. II. Universidade Federal do Rio de Janeiro, COPPE, Programa de Planejamento Energético. III. Título. iii A todos que considero minha família. Em especial à minha avó Zilmar Cintra Wittlin (in memoriam) e ao meu grande amigo, Pedro Sangirardi Duarte (in memoriam). iv “Wins the battle who can stand five more minutes” (vence a batalha quem aguenta mais cinco minutos) Maria Luiza Pernambuco Machado, minha avó v AKNOWLEDGEMENTS I thank my mother, Ana Lúcia Cintra Wittlin, my grandmother Zilmar Cintra Wittlin (in memorian), my grandfather Wilson Lopes Machado and my grandmother Maria Luiza Pernambuco Machado (in memorian) for all their love and support in all my decisions. A very special thanks to my father, Paulo Pernambuco Machado, who found the (long) time and pacience to review my thesis and help me through tough times. I could not do it without him. My former husband and dearest friend, Guilherme Therezo Nascimento, was fundamental during the course of this work in so many ways that I can not describe. I wish to thank my friends from the PhD course, specially Isabela Oliveira, Amanda Aragão, Orleno Marques and Fernanda Malta. I thank Amanda Silvino for the elaboration of Figure 9, “Delimitation of the Caatinga biome, BSA and the Northeast region of Brazil”. I am also thankful to Frederico Henning for the helpful comments and suggestions. Professor Helen Ross, from University of Queesnland, also deserves my acknowledgment. I am very thankful to the interviewees who provided the information on the strengths and adversities of our beautiful and miscompreehended Brazilian Semiarid region. At last, I appreciate the CNPq financial support and the advices of my supervisor, Emílio La Rovere, which made this PhD possible. vi Resumo da Tese apresentada à COPPE/UFRJ como parte dos requisitos necessários para a obtenção do grau de Doutor em Ciências (D.Sc.) DESENVOLVIMENTO RESILIENTE ÀS MUDANÇAS CLIMÁTICAS PARA AGRICULTORES FAMILIARES NO SEMIÁRIDO BRASILEIRO: UMA ANÁLISE DAS POLÍTICAS PÚBLICAS E DO PARADIGMA DE CONVIVÊNCIA COM O SEMIÁRIDO Letícia Wittlin Machado Março/2018 Orientador: Emílio Lèbre la Rovere Programa: Planejamento Energético A região semiárida brasileira abriga a população mais desfavorecida economicamente do país e um dos dois biomas mais vulneráveis às mudanças climáticas no Brasil. Políticas públicas para a região estiveram concentradas nas secas, porém, a sociedade civil, mais organizada e articulada a partir da década de 1980, começou a buscar alternativas para enfrentar os desafios complexos da região, focada em soluções mais holísticas para a convivência humana com as condições semiáridas. Esta tese analisa as políticas públicas para o semiárido durante três períodos históricos e o paradigma liderado pela sociedade civil, Convivência com o Semiárido (CSA), para verificar se eles promoveram resiliência às mudanças climáticas para os agricultores familiares. A pesquisa segue um quadro teórico de sistemas sócio-ecológicos e resiliência, e tem como metodologia análise de documentos, trabalho de campo e entrevistas. Os resultados da pesquisa indicam que as políticas públicas recentes contribuíram para a melhoria das condições de vida dos agricultores familiares e enfrentamento dos impactos das secas, mas não promoveram substancialmente resiliência às mudanças climáticas. Portanto, as conquistas obtidas através de políticas públicas estão em risco, uma vez que as mudanças no clima criam novas condições ambientais e econômicas. A CSA aumenta a resiliência climática dos agricultores familiares aplicando tecnologias sociais através de uma abordagem participativa, construindo conhecimento local e promovendo o uso sustentável dos vii recursos. De acordo com a teoria de resiliência, a CSA é um processo social com o potencial de impulsionar a mudança transformacional, que pode ser sustentada no futuro. No entanto, esses resultados apenas aparecem quando várias atividades são combinadas. A CSA foca na sociedade civil e não na esfera governamental como agente fundamental de transformação. viii Abstract of the thesis presented to COPPE/UFRJ as a partial fulfillment of the requirements for the degree of Doctor of Science (D.Sc.) CLIMATE CHANGE RESILIENT DEVELOPMENT OF FAMILY FARMERS IN THE BRAZILIAN SEMIARID: AN ANALYSIS OF PUBLIC POLICIES AND OF THE COEXISTING WITH THE SEMIARID PARADIGM Letícia Wittlin Machado March/2018 Advisor: Emílio Lèbre la Rovere Department: Energy Planning The Brazilian Semiarid region comprises the poorest people in the country, and one of the two biomes most vulnerable to climate change in Brazil. Public policies have been focused on droughts, but a more organized and articulated civil society in the 1980´s started to seek alternatives to addressing the complex challenges in the region, focusing on more holistic solutions for human coexistence with the Semiarid conditions. This thesis analyses public policies during three historical periods and the civil society-led paradigm Convivência com o Semiárido (CSA, Coexisting with the Semiarid) to verify if they promoted resilience to climate change for family farmers. The research follows a theoretical framework of Social-Ecological Systems and Resilience Thinking, and uses document analysis, fieldwork and interviews. It was found that recent public policies have assisted family farmers to improve living conditions and face droughts impacts, but they have not substantially promoted climate change resilience. Therefore, achievements gained through public policies are at risk, as the changes in climate create new environmental and economic conditions. Concurrently, CSA increases family farmers` climate resilience by applying social technologies through a participatory approach, building local knowledge and promoting the sustainable use of resources. In accordance to resilience theory, CSA is a social process with the potential to drive transformational change, which can be sustained into the future. It only succeeds, however, when several activities are combined. It focuses on civil society rather than the government sphere as pivotal agent of transformation. ix TABLE OF CONTENTS List of tables .................................................................................................................. xii List of Figures ............................................................................................................... xii APPENDIX .................................................................................................................. xiii List of Acronyms ...........................................................................................................xiv 1 Introduction .............................................................................................................. 1 1.1 Presentation of the subject and introduction to the problem.............................. 1 1.2 Objective ............................................................................................................ 4 1.3 General assumption ............................................................................................ 4 1.4 Methodology ...................................................................................................... 5 1.5 Thesis Framework .............................................................................................. 9 1.6 Contributions to Knowledge ............................................................................ 10 2 CONCEPTUAL FRAMEWORK ........................................................................
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