Perceptions, Vulnerability and Adaptation to Climate Change in Ethiopia: the Case of Smallholder Farmers in Sidama
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Perceptions, vulnerability and adaptation to climate change in Ethiopia: the case of smallholder farmers in Sidama A thesis submitted in partial fulfilment of the requirements of the University of East London for the degree of Doctor of Philosophy Seyoum Yunkura Hameso July 2015 Abstract Climate change is one of the most complex problems of our time presenting unique challenges for societies. For developing countries such as Ethiopia, it complicates existing challenges of development. The problem is aggravated for Sidama’s smallholder farmers’ who depend on rain-fed agriculture to produce coffee for global market and Enset for subsistence. Yet farmers’ understanding and responses to climate change have not been seriously acknowledged nor empirically studied. This doctoral thesis explores perceptions, vulnerability and adaptation to climate change. More specifically it seeks to explore, document and analyse perceptions of climate change, examine vulnerability of farmers and their adaptation strategies as well as the state of mainstreaming climate change adaptation to development policy in Ethiopia. To achieve these aims, the study deploys comparative case study research design to analyse climate change in three agroecological zones. Both qualitative and quantitative research methods are used for data collection and analysis. A modified form of sustainable livelihoods framework is deployed as analytical tool to investigate vulnerability context, livelihood assets, institutions enabling or hindering adaptation. Fieldwork research took place from January 2012 - May 2012 involving a survey with 120 farmers, focus group discussion with 30 farmers, semi-structured interviews with 15 farmers and 17 policy makers. Findings reveal increased temperature, high rainfall variability and inter-annual and intra-seasonal variation. Farmers clearly perceived climate risks based on their experience and knowledge of their local environment. They also took a number of measures to adapt to climate change within their capacity. They need informed public policy and research to help create enabling conditions for sustainable livelihoods and increased resilience. ii Acknowledgements In the course of this doctoral study, I received support from numerous people. I express deep gratitude to Drs. Meera Tiwari and Giorgia Dona for their professional guidance and support. I am also grateful to the Graduate School and the School of Social Sciences at the University of East London, Hawassa University and Norwegian Agency for Development Cooperation (NORAD) for their kind help including financial support. I also wish to thank a number of people who offered assistance of one sort or another. They include Steffen Abele, Amira Ahmed, Eric Ansong, Ayano Baraso, Mihret Barse, Trygve Berg, Allan Brimicombe, Matewos Dangiso, Andrew Dorward, Caroline Dunmore, Ngendahayo Ezechias, Argaw Fantu, Salvatore Di Falco, Berhanu Gasa, Demirew Getachew, Tesfaye Gissilla, Belay Hameso, Toloma Kawiso, Bereket Kebede, Kathryn Kraft, Melkamu Mamo, Mauro Ghirotti, Maggie McPherson, Natalia Paszkiewicz, Phil Rees, Zegeye Shaga, Woldemariam Terega, Worku Tesemma, Admasu Tsegaye, Motuma Tura, Mengistu Yunka, Julia Volz, Myles Wickstead, Tahir Zaman and Manfred Zeller. Heartfelt thanks are also due to family and friends for tremendous understanding and unstinting support. Finally, I wish to thank all the people who participated in different focus group discussions, semi-structured interviews and surveys. In the course of the study, I happen to visit several people and places in Sidama whom I never had a chance to do so in the past despite being born and spent early youth in the area. My deepest gratitude goes to all the people who shared valuable time and thoughts but not mentioned by name due to reasons of anonymity and commitment to research ethics. iii Prologue: Research positionality My position in this study resembles what Sultana (2007) referred to as tentative ‘insider’ and ‘outsider’ which requires further reflexivity. After a long stay in UK, I returned ‘home’ in 2008 with cautious optimism and solid determination to make a difference. I then joined Hawassa University with joint roles of teaching and corporate communications. Part of my responsibility in the latter role was expanding the university’s partnerships with international education and research institutions. In 2010, an opportunity has dawned to meet a group of distinguished scientists studying climate change, agricultural economics and food security. The cohort from the University of Hohenheim, Germany, conducted a seminar from 7-8 April 2010 in ILRI-compound (Addis Ababa) on the theme of Mitigation of and adaptation to climate change in agriculture in Eastern Africa: research priorities and research approaches. The seminar was followed by fact-finding trips to different areas in southern Ethiopia including Sidama. The prime aim of the field trips was to select suitable sites to research climate change and its implications on small-scale agriculture. I joined the cohort on their visit to different parts of the region. Time and again, I observed farmers in deep rural areas speaking about troubling changed times referring to climate change. With a curiosity of a scholar who, for the last two decades, focused on development themes with close understanding of the socio-political and economic context of Sidama, I decided to take the inquiry a step further by examining the evidence. The rekindled interest eventually lent inspiration for this PhD research project when financial support became available later in the year. In sum, both the fieldwork phase and the overall research process proved to be enriching experience which enabled me to meet many people from different walks of life who retrieved their experiences and intimated their stories that need documenting and analysing. This is the context in which the research developed. iv Table of contents Abstract ............................................................................................................................... ii Acknowledgements .......................................................................................................... iii Prologue: Research positionality .................................................................................. iv Table of contents ................................................................................................................ v List of abbreviations & acronyms ................................................................................ vii List of figures ..................................................................................................................... ix List of tables ....................................................................................................................... ix List of appendices ............................................................................................................... x Chapter One: General background and research context .......................................... 1 1.1 Introduction ................................................................................................................ 1 1.2 Scope & significance of the study, research objective and questions .................... 7 1.3 Background to Sidama ............................................................................................. 14 1.4 Background to Ethiopia and climate change policies ........................................... 22 1.5 Thesis outline ........................................................................................................... 32 Chapter 2: Perception, vulnerability and adaptation to climate ............................ 35 2.1 Introduction .............................................................................................................. 35 2.2 Perceptions about climate change .......................................................................... 39 2.3 Vulnerability to climate change .............................................................................. 41 2.4 Adaptation to climate change .................................................................................. 48 2.5 Climate change and development ........................................................................... 56 2.6 Summary ................................................................................................................... 64 Chapter 3: Methodology and analytical framework .................................................. 66 3.1 Research design and site selection ......................................................................... 66 3.2 Sampling, data collection and analysis ................................................................... 72 3.3 Ethical issues and practical challenges .................................................................. 81 3.4 Analytical framework: Sustainable livelihoods ..................................................... 87 3.5 Summary ................................................................................................................... 98 Chapter 4: Results & discussion: Socioeconomic & institutional context ............. 99 4.1 Introduction .............................................................................................................. 99 4.2 Socio-economic characteristics and vulnerability context ................................... 99 4.3 Livelihood assets and options ..............................................................................