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A DAPTATION and LIVELIHOOD RESILIENCE Implementation Pilots and Research in Region Vulnerable to extreme Climatic Variability and Change Editor Ajaya Dixit Contributors and their Institutions: Sara Ahmed and Eva Saroch Shashikant Chopde and Ajaya Dixit, Deeb Raj Rai and Anil Pokhrel S. Janakarajan and S. Gitalaxmi Institute for Social and Praveen Singh Institute for Social and Environmental Transition- Madras Institute of Development Environmental Transition-India Winrock International India Nepal Studies Nafisa Barot and Vijaya Aditya and Marcus Moench and Madhukar Upadhya and Kanchan Kaushik Raval Rohit Magotra Sarah Opitz-Stapleton Mani Dixit Utthan, Gujarat Ekgaon Technology Institute for Social and Environmental Nepal Water Conservation Foundation Transition-International DAPTATION A and LIVELIHOOD RESILIENCE Implementation Pilots and Research in Region Vulnerable to extreme Climatic Variability and Change Editor Ajaya Dixit Contributors and their Institutions: Sara Ahmed and Eva Saroch Shashikant Chopde and Ajaya Dixit, Deeb Raj Rai and Anil Pokhrel S. Janakarajan and S. Gitalaxmi Institute for Social and Praveen Singh Institute for Social and Environmental Transition- Madras Institute of Development Environmental Transition-India Winrock International India Nepal Studies Nafisa Barot and Vijaya Aditya and Marcus Moench and Madhukar Upadhya and Kanchan Kaushik Raval Rohit Magotra Sarah Opitz-Stapleton Mani Dixit Utthan, Gujarat Ekgaon Technology Institute for Social and Environmental Nepal Water Conservation Foundation Transition-International Adaptation and Livelihood Resilience: Implementation Pilots and Research in Region Vulnerable to extreme Climatic Variability and Change Copyright @ 2009 December Institute for Social and Environemtnal Transition-Nepal (ISET-N) Published by Institute for Social and Environemtnal Transition-Nepal (ISET-N) All rights reserved. Part of this publication may be reproduced for academic purposes. ISET-N would appriciate acknowledgement of the source. ISBN: ............................ PREFACE This report summarises our study in northern Ganga plains and coastal Tamil Nadu and Gujarat. The objective of the study was to pilot tasks to enable local communities better deal with impacts of climate variability and anthropogenic climate change such as floods and droughts. We pursued a "learning-by-doing" approach to respond to the interwoven elements of the complexity vis-à-vis climate change. Our approach was based on two basic premises. First, degradation caused by anthropogenic interference is a result of multiple human actions shaped by state policy, economy, market, and livelihood opportunities. Our study shows that successful adaptation is akin to building resilience and requires shifting of many existing practices. Such shifts can be fostered by "institutional tinkering", which in turn depend upon many players with power differentials changing their behaviour. Second, the specific problems of different regions are important but poorly understood. We need better grasp of the underlying processes, limitations and opportunities. Any approach to support adaptation needs to be flexible to learn from the experience and improve the strategy as new constraints emerge. We started with this basic assumption and moved ahead seeking local participation to achieve our objectives. Our focus was on generating new understanding through shared learning. The insights helped us fine-tune our strategies and activities. This report builds on our many earlier reports. It also reflects the collective journey of creative enquiry being undertaken by researchers from Nepal, USA, India, Bangladesh and Pakistan in responding to the challenges as economic and technological globalisation bring about fundamental changes. We believe that the report takes our understanding of climate change adaptation a step forward contributing to both theory and practices. ISET Nepal Chundevi, Kathmandu ACKNOWLEDGEMENTS We take this opportunity to thank all those who helped in completing this study. Over the years we have benefited from the constructive suggestions of Dr Stephen McGurk, Elizabeth Fajber, Dr Simon Carter, Dr Marco Rondon and Dr Sara Ahmad of International Development Research Centre (IDRC). We thank the community members in Nepal Tarai (Rautahat and Nawalparasi districts), Eastern Uttar Pradesh, Coastal Tamil Nadu and Gujarat for their cooperation. Eva Saroch provided initial input in preparation of this report. Madhav P. Thakur and Mela Aryal of ISET-N commented on the draft at final stages. We are grateful to Dipak Gyawali for his intellectual support. Suresh Shrestha of Format Graphic designed the layout of this report with support from Narayan Shree Adhikary, Geeta Bhomi, Sunita Munankarmi and Ganga Shrestha of ISET-N. The study period lasted from March 2006 to March 2009. Subsequently, IDRC granted a no cost extension to the project till September 2009. This and the period after was used in writing the report, orgasining the Technical Conference on Adaptation in August 2009, synthesising and printing of the conference proceeding. We have also published a policy brief containing twenty two case studies on adaptation. Eleven of the case studies are directly based on lessons from this study. Some of the research team members have now new institutional affiliation. Dr Sara Ahmad has joined IDRC as a programme officer. Shashikant Chopde, Praveen Singh and Anil Pokharel have also moved on. This report has benefited from their input at different stages. We would also like to thank all our research colleagues for their support and cooperation. TABLE OF CONTENTS BACKGROUND1 1-12 Purpose and Approach 6 Our Assumptions 9 Relevance of the Study to Knowledge on Climate Change Adaptation 12 ADAPTATION: CONCEPTUAL FRAMING2 13-32 Hard and Soft Resilience 16 Vulnerability: Concept and Definition 18 The Shared Learning Dialogue Process 23 Role of Communications systems 26 Adaptive Ecosystem Management 29 PILOT PROJECT IN HOT SPOTS3 33-50 Basis of selection 34 Descriptions of the four field sites 35 PROCESSES OF INTERVENTIONS4 51-68 Scoping, methods and approaches 51 Vulnerability Index 52 Qualitative narratives 54 SLDs in field sites 56 Vulnerability assessment 63 PILOTING ACTIVITIES5 69-90 Pilot interventions 71 LESSONS AND INSIGHTS6 91-100 Vulnerability dimensions 91 Diversified Livelihood 92 Fostering links 93 Local institutions 93 Food crises 94 Health and education 95 Shared learning dialogues 95 Communication systems 97 Ecosystems 97 Attitudinal and behavioral changes: Outcome mapping 98 RELOCATING THE STUDY FINDINGS IN THE LARGER DISCOURSE7 101-114 Conclusions 108 Post Script 111 ANNEXES 115-118 LIST OF TABLES Table 2.1: Different aspects of vulnerability 22 Table 3.1: Study regions and partner organisations 34 Table 3.2: The study sites 35 Table 4.1: Vulnerability assessment variables and tools 53 Table 4.2: Objectives and Tools 55 Table 4.3: Aggregate and ward wise vulnerability ranking 64 Table 4.4: Summary of vulnerability: Eastern Uttar pradesh 65 Table 4.5: Vulnerability index (out of a total score of 100) 66 Table 5.1: Matrix of Pilot activities for all sites 70 Table 5.2: Pilot adaptive measures for Uttar pradesh 74 Table 5.3: Pilot activities in Gujarat 86 LIST OF BOXES Box 1.1: The global Science 2 Box 1.2: Flood disaster in South India and West Nepal 12 Box 2.1: Autonomous and planned adaptation 15 Box 2.2: Risk and uncertainty 19 Box 2.3: SLD and communication 27 Box 2.4: Ecosystem services in blurring rural urban continuum 30 Box 5.1: Specific and system type interventions 70 Box 5.2: Cultivation of improved paddy 75 Box 5.3: Seasonal and spatial crop management 76 Box 5.4: PAS in Eastern Uttar Pradesh 78 Box 5.5: Critique of options in Tamil Nadu 80 Box 5.6: Lobster rearing 88 Box 7.1: Adaptation development continuum 103 LIST OF FIGURES Figure 2.1: Disaster cycle 16 Figure 2.2: Shared learning process 23 Figure 2.3: Framework to support good decision-making in the face of climate change risk 24 Figure 2.4: Sectors involved in communication 28 Figure 3.1 study sites in the bagmati and rohini river basins 38 Figure 3.2: Study sites in Eastern Uttar Pradesh 42 Figure 3.3: Tamil Nadu 44 Figure 3.4: Study sites in Tamil Nadu 45 Figure 3.5: Gujarat state cyclone zone 47 Figure 4.1: Methods and approaches 51 Figure 4.2: Shared learning dialogue process 57 Figure 4.3: (a) Vulnerability score Tarasara 68 Figure 4.3: (b) Vulnerability score Saratanpar 68 Figure 4.3: (c) Vulnerability score Katpar 68 Figure 5.1: Four day weather forecast for farmers in Tamil Nadu 83 Figure 6.1: Local institutional linkages 94 Figure 6.2: Data–wisdom–continuum 99 BACKGROUND Adapting to anthropogenic climate change impacts is an imposes aditional burden to developing countries and their populations.1 television newscast aired on the the Koshi embankment breach was not Aevening of 8 July 2009, portended caused by climate change, it does show disaster for South Asia’s largest nation: if what can happen if climate change the arrival of the monsoon in North India increases the frequency and intensity of was delayed by just one week, the climate-related flood hazards and is, in reporter claimed, drought-like conditions consequence, a valuable source of would prevail and farmers would commit learning. At the same time, the year 2008 whole-scale suicide. The very next day the and 2009 saw Nepal’s mid hills and Tarai BBC web site reported that one of the worst face extended drought conditions and water shortages in history had forced forest

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