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Adaptation toClimate Variabilityand Change

PROCEEDINGS OF THE INTERNATIONAL CONFERENCE ONADAPTATION TO CLIMATE VARIABILITY AND CHANGE

January 5-7, 2006, New Delhi

Organized byInstitute for Social and Environmental Transition, and

Winrock International India

Supported byU.S. Environmental Protection Agency

Institute for Social andEnvironmental Transition

1 Navjeevan Vihar

New Delhi 110017

Tel: 91-11-26693868

Fax: 91-11-26693881

Email: [email protected]

Web site: www.winrockindia.org

948 North Street, Suite 7

Boulder, Colorado 80304 U.S.A.

Tel: 720 564 0650

Fax: 720 564 0653


Web site: www.i-s-e-t.orgADAPTATION TO CLIM

ATE VARIABILITY AND CHANGECONFERENCE PROCEEDINGS

2006

ISBN No. 81-89470-05-1

Adaptation toClimate Variability and Change

P R O C E E D I N G S

Organized by


OF THE INTERNATIONAL CONFERENCE ON ADAPTATION TO CLIMATE VARIABILITY AND CHANGE

PROCEEDINGS OF THE INTERNATIONAL CONFERENCE ON ADAPTATION TO CLIMATE VARIABILITY AND CHANGE(JANUARY 5-7, NEW DELHI)

PREPARED BYInstitute for Social and Environmental Transition (ISET), andWinrock International India (WII)Interagency Agreement Number: DW 13921901

© Copyright 2006

No part of this publication may be reproduced or copied in any form without the written permission of the publishers.

This project was supported by U.S. Environmental Protection Agency (USEPA)

The views expressed in the presentations are those of the authors alone and do not reflect those of the U.S. Environmental Protection Agency or the U.S.Government, Institute for Social and Environmental Transition, or Winrock International India.

ISBN No: 81-89470-05-1First edition: 1000February 2006

Institute for Social and Environmental Transition948 North Street, Suite 7, Boulder, Colorado 80304 U.S.A., Tel: 720 564 0650; Fax: 720 564 0653Email: [email protected]; Web site: www.i-s-e-t.org

Winrock International India1 Navjeevan Vihar, New Delhi 110017, India, Tel: 91-11-26693868; Fax: 91-11-26693881;Email: [email protected]; Web site: www.winrockindia.org

DESIGNED BY: Outreach, Winrock International IndiaCover Photo: Winrock International India/NATCOM


This conference was supported by the U.S. Environmental Protection Agency’s (USEPA’s) Global Change

Research Program and facilitated by the U.S. National Oceanic and Atmospheric Administration and the

University Corporation for Atmospheric Research as part of the bilateral cooperation with India on responses to

climate change. We are grateful to the keynote speakers, Dr. Prodipto Ghosh (Secretary, Ministry of Environment

and Forests, Government of India) and Dr. R.K. Pachauri (Chairman, Intergovernmental Panel on Climate

Change), Dr. Michael Glantz (National Center for Atmospheric Research) and Mr. John Furlow (U.S.

Environmental Protection Agency) for sharing valuable perspectives. Special thanks are also due to the numerous

individuals who contributed their time and effort to making the conference a success. These include all the

participants who often responded to requests for revisions on very short notice. It also includes staff from Winrock

International India (WII) who supported conference organization. Extensive support for editing these proceedings

was provided by Bhawani Shankar, Pankaj Lal, Sonam Bennett-Vasseux and Elisabeth Caspari. The primary

editors, Shashikant Chopde (WII) and Dr. Marcus Moench (Institute for Social and Environmental Transition),

take full responsibility for errors or omissions. The opinions stated in the presentations are those of the authors.

ACKNOWLEDGMENTS

List of Abbreviations and Acronyms ........................................................................................................................ ix

Executive Summary .................................................................................................................................................... xi

DAY–1: INAUGURAL SESSIONWELCOME AND INTRODUCTION

Dr. Marcus Moench, President, Institute for Social and Environmental Transition (ISET) ........................................... 2Dr. Kinsuk Mitra, President, Winrock International India (WII) ..................................................................................... 3

SPECIAL ADDRESS

Perspectives of IPCC on AdaptationDr. R.K. Pachauri, Chairman, Intergovernmental Panel on Climate Change (IPCC), and Director General,The Energy and Resources Institute (TERI) ................................................................................................................ 4

Climate Affairs Program: Usable Science for SocietyDr. Michael H. Glantz, Director, Center for Capacity Building (CCB), National Center for Atmospheric Research (NCAR) 7

Key Points Raised in the Discussions ...................................................................................................................... 10

DAY–1: SESSION 1

Concepts and Insights on Adaptation – The Water SectorChair: Marcus Moench, Institute for Social and Environmental Transition (ISET)

Practical Implications of Climate ChangeMarcus Moench, Institute for Social and Environmental Transition (ISET) .................................................................. 12

Policy Processes in Water Resource Management and Climate ChangeTony Allan, King’s College ............................................................................................................................................ 16

Resilience and Vulnerability in Nested Social-Ecological Systems: in IWRM’s ContextVictor Galaz, Centre for Transdisciplinary Environmental Research (CTM) ................................................................ 17

Coping Compendium on Water Related RisksHenk van Schaik, Cooperative Programme on Water and Climate (CPWC) ............................................................... 19

Hazard, Risk, Vulnerability and Climate Change in IndiaSantosh Kumar, National Institute of Disaster Management (NIDM) ........................................................................... 22

Development Issues in Rajasthan, IndiaRajinder Singh, Tarun Bharat Sangh (TBS) ................................................................................................................. 28


DAY–1: SESSION 2

Concepts and Insights on Adaptation – Views from the FieldChair: Sara Ahmed, Independent Researcher

Understanding Vulnerability: Implications for Community-led AdaptationSara Ahmed, Independent Researcher ........................................................................................................................ 32

Successful Adaptation to Climate Change in South Asia Critically Depends on Regional Collaboration inResearch for Interdisciplinary Water Systems KnowledgeJayanta Bandyopadhyay, Indian Institute of Management (IIM)................................................................................... 35

International Conference on Adaptation to Climate Variability and ChangeJanuary 05-07, 2006, New Delhi, India

CONTENTS

Livelihood Services for Tribal Migrants in South RajasthanSudhir Katiyar, SUDRAK (Aajeevika Bureau) ............................................................................................................... 36

Adaptation Research: Scalar and Disciplinary AspectsPreety Bhandari, The Energy and Resources Institute (TERI) .................................................................................... 38


DAY–1: SESSION 3

Concepts and Insights on Adaptation – Views from the FieldChair: Ajaya Dixit, Nepal Water Conservation Foundation (NWCF)

Flood Control Where Technology Gets Stuck: A Case Study of the Ganga–Brahmaputra Basin of IndiaDinesh K. Mishra, Barh Mukti Abhiyan ......................................................................................................................... 44

Responding to Water Scarcity and FloodsAjaya Dixit, Nepal Water Conservation Foundation (NWCF) ....................................................................................... 45

Existing Coping Strategies to Climate Change and Variability: Findings from NAPA Stakeholder ConsultationWorkshopsMozaharul Alam, Bangladesh Centre for Advanced Studies (BCAS) ........................................................................... 47

Where is Bangladesh in terms of Climate Change?Johny M. Sarker, Department for International Development (DFID), Bangladesh ..................................................... 49


DAY–2: OPENING SESSIONKEYNOTE ADDRESS

Adaptation Related Activities in IndiaDr. Prodipto Ghosh, Secretary, Ministry of Environment and Forests (MoEF) ............................................................. 52

From Impacts to Decision Support: the Evolution of the EPA Global Change Research ProgramMr. John Furlow, US Environment Protection Agency (USEPA) .................................................................................. 54

DAY–2: SESSION–1PARALLEL SESSION 1Tools and Approaches for Analyzing the Impacts of Climate Change – Enabling Adaptation, the Role ofTechnology, Infrastructure and InstitutionsChair: John Furlow, US Environment Protection Agency (USEPA)

Sea Level Rise and Groundwater Sourced Community Water Supplies in FloridaJohn Furlow, US Environment Protection Agency (USEPA) ........................................................................................ 60

Evaluating Impact of Future Climate Scenarios on Agricultural Water Management: An Application of the WaterEvaluation and Planning (WEAP) SystemDavid Purkey, Natural Heritage Institute (NHI) ............................................................................................................. 63

The Pileus Project: Development of Techniques and Tools to Help Assess the Impact of Climate Variability andChange on an Intensively-Managed Agricultural CropJ.A. Andresen, Michigan State University (MSU) ......................................................................................................... 66


PARALLEL SESSION 2Adaptive Livelihood Strategies in Drought Areas – Views from the FieldChair: Shashikant Chopde, Winrock International India (WII)

Watershed Development through the Adaptation LensShashikant Chopde, Winrock International India (WII) ................................................................................................ 70

Enhancing Resilience of the Poorest Community Groups to Droughts through Rural Livelihood Approaches inthe Western Orissa Livelihoods Project WORLPSubodh Kumar Mahapatra, Orissa Watershed Development Mission (OWDM) .......................................................... 74

Adaptive Potential of Innovative Water Management Practices in Coping with Climate Uncertainties: A CaseStudy of Purulia, West Bengal, IndiaShrinivas Badiger, Institute for Social and Economic Change (ISEC) ......................................................................... 77

Women in Livelihoods: Self-help Groups as a Medium of EmpowermentSrinivas Mudrakartha, Vikram Sarabhai Centre for Development Interaction (VIKSAT) .............................................. 80


DAY–2: SESSION–2PARALLEL SESSION 3

Groundwater, Drought and Climate – Adaptation in the Water SectorChair: Marcus Moench, Institute for Social and Environmental Transition (ISET)

Climate Change and Drought: A Rajasthan ExperienceM.S. Rathore, Institute of Development Studies (IDS) ................................................................................................. 86

Groundwater Management in Highland Balochistan: Karez vs. Tubewell in Adaptation to Climate ChangeDaanish Mustafa, University of South Florida .............................................................................................................. 87

Improving Adaptation and Developing Livelihood ResilienceHimanshu Kulkarni, Advanced Centre for Water Resources Development and Management (ACWADAM) .............. 92

Community Initiatives in Enhancing Resilience to Cope with Climatic Variability and Extreme Weather: A CaseStudy in MaharashtraSuruchi Bhadwal, The Energy and Resources Institute (TERI) ................................................................................... 94


PARALLEL SESSION 4Policy Level Flood and Drought Issues – From Reconstruction to ResilienceChair: S. Janakarajan, Madras Institute of Development Studies (MIDS)

Playing with Disasters: Politics of Flood and Drought in Tamil NaduS. Janakarajan, Madras Institute of Development Studies (MIDS) .............................................................................. 100

Household and Community Responses to Floods, Droughts and Climatic VariabilityNafisa Barot, UTTHAN ................................................................................................................................................. 102

Development Alternative’s Experience in Addressing Adaptation to Climate ChangeAnish Chatterjee, Development Alternatives (DA) ........................................................................................................ 108

Livelihood Challenges of Central IndiaVivek Sharma, Centre for Advanced Research and Development (CARD) ................................................................. 111


DAY–2: SESSION–3PARALLEL SESSION 5Coastal Vulnerability and Disaster – From Reconstruction to ResilienceChair: Neeraj Mittal, Joint Commissioner, Relief and Rehabilitation, Tamil Nadu

Approaches to Assessing Disaster Vulnerability and Building Sustainable Livelihoods: Insights from Sri Lankaone Year after the TsunamiFrank Thomalla, Stockholm Environment Institute (SEI) .............................................................................................. 118

Strengthening Resilience of Communities to Disasters using the DRSL Framework: ITDG’s Experience in SouthAsiaPractical Action, [Formerly Intermediate Technology Development Group (ITDG)] ..................................................... 123

From Relief and Restoration to Resilience: Strategic Development Initiatives with Disaster-AffectedCommunities in IndiaSomnath Bandyopadhyay, Aga Khan Foundation (AKF), India .................................................................................... 125


PARALLEL SESSION 6Disaster and Vulnerability – From Reconstruction to ResilienceChair: Kalipada Chatterjee, Winrock International India (WII)

Disaster and Vulnerability: Reconstruction to ResilienceKalipada Chatterjee, Winrock International India (WII) ................................................................................................ 130

Water and Sanitary Interventions in Post-tsunami Rehabilitation Work in Southern IndiaR. Srikanth, WaterAid India .......................................................................................................................................... 132

Enabling Adaptation: The Role of Technology, Infrastructure and InstitutionsPrabodh Mohanty, i-Concept Initiative .......................................................................................................................... 134

Risk Reduction and Livelihoods Promotion: A Community InitiativePradeep Mohapatra, Udyama ....................................................................................................................................... 137

DAY–3: SESSION–1Climate Information, Communications and Early Warning – The Role of Technology, Infrastructure andInstitutionsChair: Darryl D’Monte, Media Consultant

The Media’s Role in 26/7 in MumbaiDarryl D’Monte, Media Consultant ................................................................................................................................ 142

Communications and Early Warning: Building “Alive” SystemsVijay Pratap Singh Aditya, Ekgaon Technologies ......................................................................................................... 146


DAY–3: SESSION–2

Institutional Issues – The Role of Technology, Infrastructure and InstitutionsChair: Dipak Gyawali, Institute for Social and Environmental Transition (ISET)

Risk Resilience, Adaptation to Disasters and Data DemocratizationDipak Gyawali, Institute for Social and Environmental Transition (ISET) ..................................................................... 152

Development Alternative’s initiative in Tsunami Affected RegionsAshish Bahal, Development Alternatives ...................................................................................................................... 157

Mapping and “Managing” Floods in India: Perceptions, Policies and RealitiesSanjay Chaturvedi, Punjab University .......................................................................................................................... 159

Post-Tsunami Interventions by UNDP GEF Small Grants Program (SGP)- IndiaP.S. Sodhi, UNDP GEF Small Grants Program (SGP) – India ..................................................................................... 163

Mitigating Natural Disasters through Preparedness MeasuresAditi Kapoor, Oxfam (India) Trust ................................................................................................................................. 166


Moderated Panel Discussion ..................................................................................................................................... 171

Key Points Raised in the Open Dialogue ................................................................................................................. 178

AKDN Aga Khan Development NetworkAKF Aga Khan FoundationAKRSPI Aga Khan Rural Support Program – IndiaAWS Alternative Water SuppliesBCAS Bangladesh Centre for Advanced StudiesBPG Best Practice GuidelinesCARD Centre for Advanced Research and

DevelopmentCBO Community-based OrganizationsCICERO Center for International Climate and

Environment ResearchCIG Common Interest GroupsCISED Centre for Interdisciplinary Studies in

Environment and DevelopmentCLTS Community-led Total SanitationCOP Conference of the PartiesCPWC Cooperative Programme on Water and

ClimateCWS Community Water SuppliesDA Development AlternativesDDP Desert Development ProgramDFID Department for International

DevelopmentDPAP Drought Prone Area ProgramDRDA District Rural Development AgencyDRSL Disaster Resistant Sustainable LivelihoodsDWC Dialogue on Water and ClimateEC European CommissionEPA Environmental Protection AgencyFM Frequency ModulationFRP Fiberglass Reinforced PlasticsGCM General Circulation ModelGCRP Global Change Research ProgramGEF Global Environment FacilityGFDL Geophysical Fluid Dynamics LaboratoryGHG Greenhouse GasesGSDMA Gujarat State Disaster Management

AuthorityGPS Global Positioning SystemGWA Groundwater AuthorityICRC International Committee of the Red Cross

LIST OF ABBREVIATIONS AND ACRONYMS

ICT Information and CommunicationTechnology

IFRC International Federation of Red Cross andRed Crescent Societies

IGA Income Generation ActivityIIM Indian Institute of ManagementIISD International Institute for Sustainable

DevelopmentIITM Indian Institute of Tropical MeteorologyINR Indian National Rupee (1USD = Rs. 46)IPCC Intergovernmental Panel on Climate

ChangeISEC Institute for Social and Economic ChangeISET Institute for Social and Environmental

TransitionITDG Intermediate Technology Development

GroupIWDP Integrated Watershed Development

ProgramIWMI International Water Management InstituteIWRM Integrated Water Resource ManagementKB Krishak BandhuMDG Millennium Development GoalsMMRDA Mumbai Metropolitan Region

Development AuthorityMT Metric TonneNABARD National Bank for Agriculture and Rural

DevelopmentNAPA National Adaptation Programme of ActionNCEA National Center for Environmental

AssessmentNGO Non-governmental OrganizationNIDM National Institute of Disaster ManagementOBC Other Backward CommunitiesOSDMA Orissa State Disaster Management

AuthorityPFT Project Facilitation TeamPRADAN Professional Assistance for Development

ActionPRA Participatory Rural AppraisalPRI Panchayati Raj Institutions

ix P R O C E E D I N G S O F T H E I N T E R N AT I O N A L C O N F E R E N C E O N A D A P TAT I O N T O C L I M AT E V A R I A B I L I T Y A N D C H A N G E

RRCAP Regional Resource Centre for Asia and thePacific

Rs. Indian Rupees (1USD = Rs. 46)RTI Right to InformationSC Scheduled CasteSEI Stockholm Environment InstituteSEWA Self-employed Women’s AssociationSGP Small Grants ProgramSH Self HelpSHG Self-help GroupsSJSY Swarna Jyoti Swarojgar YojnaSKTGSM Sri Kundla Taluka Gram Sewa MandalSL Sustainable LivelihoodsSSS Sramika Sakti SanghaST Scheduled TribeTERI The Energy and Resources InstituteTGCS Tree Grower Cooperative SocietyUNDP United Nations Development ProgrammeUNEP United Nations Environment ProgrammeUNFCC United Nations Framework Convention

on Climate ChangeUNISDR United Nations International Strategy for

Disaster Reduction

USD United States DollarUSEPA United States Environmental Protection

AgencyUSGCRP United States Global Change Research

ProgramVCA Vulnerability and Capacity AssessmentVIKSAT Vikram Sarabhai Centre for Development

InteractionWASH Water, Sanitation and HygieneWASMO Water and Sanitation Management

OrganizationWDF World Development FederationWEAP Water Evaluation and PlanningWHS Water Harvesting StructuresWII Winrock International IndiaWMO World Meteorological OrganizationWORLP Western Orissa Rural Livelihoods ProjectWSSCC Water Supply and Sanitation Collaborative

CouncilPanchayat: In India, a local, village-level self-

governing body

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Climatic variability and change are among thegreatest challenges that society at global,regional and local levels will face over the

coming decades. Until recently, virtually all work onclimate change has focused on basic scientific questionsregarding the nature of – and factors driving – changeprocesses. Now global scientific consensus indicatesthat change is occurring and, that, whatever the causalfactors and level of success in mitigating changeprocesses, adaptation will be essential.

The topic of adaptation to climatic change andvariability is both relatively new and complicated.While there is increasing evidence that changes inclimate are likely to increase variability and the intensity

of extreme events and may also result in moreincremental changes to basic climatic parameters,existing scientific information provides relatively littleguidance regarding specific changes likely to beexperienced at both local and regional levels. Somechanges may occur incrementally over periods ofdecades or longer while other changes, such as thoserelated to extreme events, could have immediateimplications for populations living in vulnerableregions. As a result, while the importance of adaptationis increasingly recognized, the specific changes humansociety will need to adapt to are far less clear.

In addition, climate change processes are occurring inparallel with fundamental changes in social, economic,

Executive SummaryThese conference proceedings summarize the intensive discussions held in New Delhi (January 5-7, 2006)

on Adaptation to Climatic Variability and Change. The conference, which was financed by the U.S.

Environmental Protection Agency (USEPA) and organized jointly by the Institute for Social and Environmental

Transition (ISET) and Winrock International India (WII), brought together a unique set of participants that

included high-level governmental decision-makers, development organizations, physical and social scientists,

and field practitioners. While presenters spoke in their individual capacity rather than as representatives of

organizations or governments, they brought a wealth of perspectives and practical experience to the meeting.

From left to right: Dr. Kinsuk Mitra, Dr. Marcus Moench, Dr. R.K. Pachauri and Dr. Michael H. Glantz

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P R O C E E D I N G S O F T H E I N T E R N AT I O N A L C O N F E R E N C E O N A D A P TAT I O N T O C L I M AT E V A R I A B I L I T Y A N D C H A N G Exii

environmental and technological systems. India istransiting from a rural agricultural society to one wherenon-farm activities play a much larger role inlivelihoods than ever before. Dependence onagriculture as a primary livelihood form is decreasingbut, however far this transition proceeds, India isunlikely to become another United States where lessthan one percent of the population depends onagriculture for their livelihood. The context in whichadaptation needs to occur will, as a result, differ greatlybetween regions such as India and the United States.Overall, the topic of adaptation needs to addresschanges that may occur across differing time scales,differing geographic scales, and under differingassumptions regarding social and economic conditions.

Not surprisingly given the complexity of the topic,discussions at the conference addressed a wide varietyof conceptual as well as more narrowly applied issues.They also highlighted very different perspectivesregarding the courses of action that will be required torespond to climatic variability and change. Thisdiversity was reflected in the four keynote talks byDr. R.K. Pachauri (Chairman, Intergovernmental Panelon Climate Change) and Dr. Michael Glantz (Director,

Center for Capacity Building, NCAR) on the first day,and Dr. Pradipto Ghosh (Secretary, Ministry forEnvironment and Forests, Government of India) andMr. John Furlow (U.S. Environmental ProtectionAgency) on the second day. It was also a core part ofthe wider discussions that occurred throughout theconference.

In his keynote address, Dr. Pachauri highlighted theimplications of emerging climate science for adaptation.He emphasized the need for international collaborationto identify effective strategies for improvingunderstanding of adaptation processes. Knowledge wasidentified as a critical driving factor supporting thedevelopment of effective courses of action. From hisperspective, interventions that build off existing coursesof action and respond to existing problems within thelarger context of vulnerability and poverty eradicationrepresent an important starting point. This approach isimportant because many of the likely consequences ofclimatic change – such as increases in water stress andclimate related disasters – are already major challenges.Strategies to address such problems would, as a result,address immediate as well as future needs. Movingforward on this requires integration of community

E X E C U T I V E S U M M A R Y

The Great Deluge: A scene from the Mumbai flood 2005

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responses, strengthening of social capital, pilotimplementation activities, and the development oflong-term collaborative programs to share insights andbuild capacity across many regions on problems thatare ultimately common to all.

In the second keynote address, Dr. Glantz focused onthe concept of climate affairs as an organizingprinciple. His core point, which in many ways echoedDr. Pachauri’s call for knowledge generation, was thatthe challenges society faces in responding to climaticvariability and change represent a focal point whereinsights from a very wide variety of disciplinesintersect. While individual social or natural sciencedisciplines often generate new bits of knowledge thatare related to climatic variability and change, in theabsence of a core disciplinary focal point thisknowledge remains isolated. No social mechanismexists that enables it to come together into anaggregate body of knowledge that can influence policyand behavior. Building “climate affairs” as aninterdisciplinary focal point for research, education andtraining would provide this mechanism. Doing sowould have a major impact on the applied capacitiessociety brings to climate issues both immediately and

over the longer-term process of climate change.Development of climate affairs as a focal point foreducation, training, research and applied policy could beused to develop the social capital – the large groups ofprofessionals and informed actors – that will be requiredto incorporate climate considerations into the day-to-dayactivities of local governments and businesses.

In his keynote address, on the start of the second day ofthe conference, Dr. Pradipto Ghosh, focused on thecentral role of economic development in climateadaptation. In comparison to mitigation (greenhousegas reduction), adaptation has been the “neglected step-child” in global negotiations and debates over climatechange. This must change. Dr. Ghosh emphasized thatthe resource requirements for mitigation and adaptationare equal. From his perspective, developing effectivestrategies for adapting to climate change will requiremeaningful responses, resources and political capital.He emphasized that many such meaningful responseswill involve enhancements to existing programs such asthose that already exist for drought and floodmitigation. On a more fundamental level he highlightedthe particular vulnerability of the poor to climaticvariability and change and framed the challenge of


Aftermath of a natural disaster

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adaptation to climate change largely in terms ofsustainable development. Key levers for adaptationincluded moving people out of poverty and supportingprogressive change in economic structures away fromprimary (agricultural) livelihoods and into secondaryand tertiary (knowledge-based) forms of economicactivity that are less vulnerable to the direct impactsof climate.

Mr. John Furlow, in the final keynote address,highlighted both commonalities and differences inadaptation issues in the United States and Indiacontexts. Some issues, such as the basic design criteriafor water structures under changing climatic conditionsare common. Other issues, such as the impacts onlivelihoods, have large differences due to the divergentnature of livelihood and economic conditions. Finally,other issues have yet to be explored. Sleeper issues suchas urban drought and the factors determining theadaptive capacity of different groups may be offundamental importance but are poorly understood.Given the great diversity of issues he emphasized theimportance of stakeholder- driven responses – a strongpoint of commonality with issues in India. He alsoemphasized that many of the core strategies (fromsocially-driven patterns of mobility and diversificationto more planned interventions in specific sectors, suchas water) for adaptation are common.

Beyond the keynote addresses, presentations at theconference illustrated both the importance of adaptingto climatic conditions and the complexity of separatingclimate adaptation from other socioeconomic,environmental and development issues. Conceptually,changes in complex systems occur through acombination of incremental adjustments (such as thegradual decline of groundwater resources orimprovements in agricultural technologies) and sudden“pulsed” fluctuations (such as those associated with amajor disaster or economic downturn). Whereincremental changes are concerned, adaptationrequirements are likely to be very similar to – in somecases indistinguishable from – existing attempts toimprove basic management of water and otherresources or support processes of sustainabledevelopment. Where sudden changes are concerned,

adaptive processes will be closely related to disasterrelief and the responses individuals and householdsmake when subjected to disruption. As a result,discussions of adaptation to climatic variability andchange may often appear, as they did at many pointsduring the conference, to be addressing basic existingissues rather than relating to climate change per se.

In both the incremental and sudden cases, however,climate considerations introduce an additional elementof risk and often increase the potential for climate orwater related disasters. This link between adaptation toclimatic change and disaster risk management is, as thepresentation by Professor Santosh Kumar of theNational Institute of Disaster Management emphasized,increasingly well recognized in India. As a result, theneed to understand and manage risks represented astrong unifying element in the discussions.

This was presented as a central issue in understandingdifferences in vulnerability and ability to respond toclimatic variability and change between communitiesand groups. It was also discussed as the factorunderlying the differing worldviews and, as a result,strategies market actors, governments and social groupsbring to the climate debate. Governments tend to bedriven by the practical demand to “do something” andthe fact that departments are structured to respondthrough hierarchically designed projects or programs.Market actors respond to economic opportunities andrisks. They respond where they see businessopportunities and by reducing/pooling their risksthrough insurance. Social groups have widely differingorigins (whether religious, political, cultural) and theperspectives they bring to climate issues differ as aresult. At a societal level, bridging such gaps dependson mechanisms such as freedom of information, “datademocratization,” and strategies for stakeholderinvolvement. These mechanisms bring the risks that areidentified or perceived by different groups into publicdialogue and policy debate. They are, as a result, centralto risk management and to the link between adaptationto climate change and disaster risk reduction.

On a more specific level, the role of risk management asa central strategy for responding to climate issues was


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highlighted through discussions on the following:1. The role and importance of early warning systems

(both the immediate need for warning regardingextreme climate events and longer-term indicators ofvulnerability).

2. The role of financial mechanisms for risk spreadingand pooling (insurance as a core point where privatesector involvement in adaptation may be supportedby market forces).

3. The importance of management and designstrategies in the water sector that are adapted andresilient to higher levels of variability anduncertainty in stream flows, drought frequencies,flood volumes, etc

4. The need to integrate climate variability and changeinto both pre-disaster risk management and post-disaster rehabilitation processes (rehabilitation beinga key period when systems that have been disruptedcan be re-built in ways that are resilient to futureclimate impacts).

5. Economic diversification as a mechanism forspreading risk within livelihood and regionaleconomic systems.

6. The distinction between “planned” adaptation and“socially-driven” adaptation. The former is reflectedin formal planning processes (the NationalAdaptation Plans of Action) and formal attempts toreduce disaster risk as opposed to the latter whichreflects the courses of action individuals, householdsand communities take (such as livelihooddiversification, migration, etc.) to respond to therisks and opportunities they face in the course ofdaily life.

In many ways, the keynote addresses and subsequentpresentations highlighted many of the core issues thatwill need to be addressed as society attempts to respondto climatic variability and change. The ability to adaptwill depend on knowledge and understanding ofchanges in the climate system and how they relate to


Drought proofing by building water tanks

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equally pervasive changes in social, economic and othersystems. Mechanisms for developing this commonunderstanding – through collaborative activities withinand between regions and within disciplinary focalpoints such as climate affairs – are essential. Beyondunderstanding, adapting to climatic variability andchange will require a combination of targeted “planned”interventions and more lateral, less specifically targeted,approaches that build adaptive capacity. Targetedinterventions can address specific constraints, such asthe design of water structures, or issues such asvulnerability to extreme storms, in specific situations.Equally importantly, however, adaptive capacity and theability to respond to surprise depend on broadquestions of social capital, financial systems for riskpooling, and the flexibility and diversity of economicsystems. As a result, responses to climate change areintimately tied to wider questions of sustainableeconomic development. Although this was notaddressed in detail at the conference, it implies thatlarger questions regarding trade, global and localfinancial institutions, migration, the role of marketsand the private sector, etc., are likely to becomecentral points of discussion in debates overadaptation to climatic variability and change.Accountability is also a key issue, as Kamal Kishorefrom the United Nations Development Programmepointed out in relation to the links between disasterand climate response: “Assessments after disastersare not done well and there is no accountability forthe lack of advance planning even where risks arewell known. Building models and rhetoric ofdisasters and development will not be of any use.Accountability has to be improved in a tangible way notin a conceptual way.”

Ways forwardIn many ways, the discussions at the conference couldbe seen as a call for greater collaboration on attempts tounderstand and respond to the challenges emerging as aconsequence of climatic variability and change. Theneed for this was explicitly emphasized in the keynoteaddresses and many of the individual presentations.Many of the issues facing the development of effectiveresponses to climate change are the same in the West

and South Asia and across borders within South Asia.Core points where collaboration could be of greatbenefit include the following:1. Improvement of basic shared understanding

regarding the basic social as well as physical scienceissues that must be addressed to adapt to existingand changing climatic conditions.

2. Development of methodologies, indicators andtechniques for analyzing climate impacts, patterns ofvulnerability and building adaptive capacity.

3. Development of improved systems for mitigatingrisks associated with climatic change and variability,including:a. Mechanisms that can address the specific needs of

vulnerable communities (the poor and sociallymarginalized groups);

b. Financial mechanisms for risk pooling andspreading;

c. Early warning systems and data sharing;d. Systems for climate disaster risk reduction in

development and post-disaster recoveryprograms;

e. Risk management in the water sector, particularlyadapted structure design and resilientmanagement approaches; and

f. Risk management within local, regional andglobal economic systems through economicdiversification and improved understanding of therole appropriate trade, migration,communications and other policies may play;

4. Sharing of experiences and testing, through pilotactivities, strategies to support adaptation andresilience to climatic variability and change.

5. Development of professional and other networksnecessary to hold key actors – in governments,NGOs and the private sector – accountable forusing existing knowledge to take effective action toreduce risks.

These kinds of activities could contribute both topractical courses of action within countries and to thedevelopment of shared perspectives in global debates.They are, as a result, of fundamental importance to theultimate evolution of any consensus regardingresponses to climate change.


Welcome and IntroductionDr. Marcus Moench, President, Institute for Social and Environmental Transition (ISET)

Dr. Kinsuk Mitra, President, Winrock International India (WII)

Special Address

PERSPECTIVES OF IPCC ON ADAPTATION

Dr. R.K. Pachauri, Chairman, Intergovernmental Panel on Climate Change (IPCC), and

Director General, The Energy and Resources Institute (TERI)

Special Address

CLIMATE AFFAIRS PROGRAM: USABLE SCIENCE FOR SOCIETY

Dr. Michael H. Glantz, Director, Center for Capacity Building (CCB), National Center for

Atmospheric Research (NCAR)

Key Points Raised in the Discussions

DAY–1

Inaugural Session

Page No2

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D A Y – 1 : I N A U G U R A L S E S S I O NWELCOME AND INTRODUCTION

P R O C E E D I N G S O F T H E I N T E R N AT I O N A L C O N F E R E N C E O N A D A P TAT I O N T O C L I M AT E V A R I A B I L I T Y A N D C H A N G E2

Dr. Marcus Moench, President, Institute for Social and Environmental Transition (ISET)

Marcus Moench opened the conference by welcoming all participants. Followingthis, his introductory remarks focused on the key issues the conference was intendedto address. He highlighted the broad range of basic social and scientific questionsthat will need to be understood in order to develop effective strategies for adaptingto climate change. He also pointed out that many of the issues are of equal importancein all parts of the world. Adaptation to climate change raises issues that cross, andoften make irrelevant, the historical division between “developed” and “developing”regions. Many of the issues, including some that have historically been viewed asapplying to developing regions (such as the ability of poor populations to respondto climate change) are, as events such as Hurricane Katrina highlighted last year,common. As a result, the development of strategies for supporting adaptation andresponding to the consequences of climate change will require collaboration at local,regional and global levels, across disciplinary boundaries and between differentsectors of society. He closed his welcoming remarks by emphasizing that theconference was intended as a first step in catalyzing collaboration and clarifyingsome of the core issue areas that adaptation strategies will need to address.

D A Y – 1 : I N A U G U R A L S E S S I O NWELCOME AND INTRODUCTION

Dr. Kinsuk Mitra, President, Winrock International India (WII)

Kinsuk began by welcoming everyone on behalf of the organizers. In his introductoryremarks, he emphasized that this conference was a collaborative venture to addressclimate change and adaptation. The purpose of the meeting was to serve as a platformfor the identification of approaches that would help develop a long-term andsustainable responses to climate impacts based on grassroots experiences. Thisapproach would hopefully bring together attempts to reduce greenhouse gasemissions with the impacts of climate change on the poor.

Adaptation to global climate change is a relatively new topic and, therefore,little has been done to prioritize the different courses of action required, Kinsukadded. Scientifically, the degree to which climate change will affect regional conditionsand the connection with extreme events has not been established universally andscientifically. It follows that little attention has been paid to adaptation and coping.Coping mechanisms must have a basis, both in technology and local practices, toenable effective risk reduction and diversification opportunities, he stressed.

Kinsuk hoped that one of the many outcomes of this conference would helpsharpen the current thinking and help in building capacities and fosteringpartnerships. He pointed out how WII had already taken a few steps in this regardthough a project Vulnerability to Climate Change and Adaptation Strategies in India:Droughts and Floods. Under this project, WII reviewed local coping strategies foradapting to droughts and floods and suggested incremental adaptation measuresthat might be required to reduce the adverse impacts of climate change.

WII has also been involved, along with USAID-OFDA-ISET, in earlier programsto understand local coping strategies for adapting to the impacts of floods anddroughts in selected areas of India and Nepal, he added. WII has also been involvedon other levels. WII has been appointed by the Ministry of Environment and Forests(MoEF) as the facilitating agency supporting the preparation of India’s second nationalcommunication to the UNFCCC.

In his concluding remarks, Kinsuk introduced WII’s activities in brief. Throughits three program areas – Natural Resources Management, Climate Change andEnergy and Environment – WII builds sustainable multidisciplinary projects byconsolidating innovative concepts, sound research, new technologies, andindigenous knowledge to achieve long-term success and accomplish its mission todevelop and implement solutions that balance the need for food, income andenvironmental quality. WII’s focus is on integrating environmental priorities intomainstream development planning, management and implementation, at the local,state and national levels, especially in these programmatic areas. One of WII’s thrustareas is to reach out to involve people, communities and institutions to strengthentheir efforts to develop and implement sustainable solutions.



The Intergovernmental Panelon Climate Change (IPCC)was founded in 1988 by the

World Meteorological Organization(WMO) and the United NationsEnvironment Programme (UNEP)as an intergovernmental bodycomprising 192 members. Thepurpose of the IPCC is to assess allaspects of climate change, using thebest available talent and informationto maintain a scientific andgeographical balance. It limits itswork of assessment to publishedpeer-reviewed literature. Because somuch of the work on developmentand social issues is not published inthis manner, perhaps social scientistshave not yet been adequatelyinvolved in the assessments of theIPCC on the impacts of climatechange. Therefore, the assessmentof climate change faces some gapson the social dimensions of climatechange.

The Fourth Assessment Report ofthe IPCC is yet to be completed. Itwill, however, include assessment ofthe socioeconomic dimensions ofclimate change. It will also addressspecific issues, including theregional dimensions of climatechange (“the reality in specificlocations”). It will also evaluatemitigation and adaptation issuesfrom an integrated perspective usinga combination of technological andsustainable development

approaches. The Third AssessmentReport evaluated the impacts ofclimate change at international,regional, national and sub-nationallevels and, therefore, to an extent atthe local level where muchadaptation actually must ultimatelyoccur. At the international level,adaptation issues first emerged in asubstantive manner at the EighthConference of the Parties (COP-8)in New Delhi. Recognition oftheses issues has continued to growand they were prominent at therecent COP-11 in Montreal. Acentral theme in these debates is theneed to react and respond to climatechange in the larger developmentcontext relating to economicgrowth, vulnerability and povertyeradication. The financialimplications of adaptation have alsoemerged as a central issue at theglobal level, and will be addressedby the Fourth Assessment Report.Knowledge in this field can,however, only move forward ifknowledge is available regardingadaptation measures and associatedcosts. Knowledge has to be thedriving factor. Frameworks foradaptation have not been defined,and there is a clear need to developthe knowledge base required toidentify effective responses toclimate related problems. This willrequire international collaborationand better linkages between macroand grassroots perspectives,

Knowledge has to be the driving

factor. Frameworks for adaptation

have not been defined and there is

a clear need to develop the

knowledge base required to

identify effective responses to

climate related problems

D A Y – 1 : I N A U G U R A L S E S S I O NSPECIAL ADDRESS

Perspectives of IPCC on adaptationDr. R.K. Pachauri, Chairman, Intergovernmental Panel on Climate Change (IPCC), and Director General,

The Energy and Resources Institute (TERI)



involving a range of initiatives andactions. Opportunities for these areparticularly available within aregional context, such as in SouthAsia, and the time has come forregional activities in this area on alarger scale. In addition,opportunities exist where currentactivities can be strengthened inways that address present needs aswell as the larger impactsanticipated as a consequence ofclimate change in the future.

International collaboration has notyet received enough attention. Thisis needed for bottom-up initiativesthat feed common grassrootsexperiences into plans andprograms. The problems facingdifferent regions are often verysimilar and relate to long-term aswell as future climate relateddevelopment challenges. In the caseof water, for example, a workshopwas held in 1992, New Delhi, justbefore the Rio Conference, where itwas stressed that it was time to actat the national and sub-nationallevels. There are 1.7 billion peoplewho are water-stressed in the worldtoday, and it is projected that thenumbers could reach 5 billion by2025. As climate changes, waterquality in both surface andgroundwater sources will beaffected. The magnitude andfrequency of extreme events such asfloods will also increase.Collaboration at local, national,regional and international levels isrequired to address challenges, suchas those in the water sector thatalready exist and could beexacerbated by climate change.

Common challenges are also presentin other areas. Higher incomes andconsumerism will, for example, leadto imbalances between demand andsupply and this will be reflected inagricultural patterns. Food securitywill be threatened due to thepressure on supply of food grains.Research is important to counterthis threat by developing moredrought-resistant strains of differentcrops, particularly those in rainfedareas, as a large number of marginalfarmers are dependent solely onprecipitation for irrigation. Extremeweather and climate will result inadverse effects, especially in theSouth Asian region and the worstaffected will be the poorer sectionsof society. Warning systems arelimited and these need to bestrengthened. This requiresforesight and planning. The costsinvolved in the provision of theseare minimal. There are gaps inscientific, institutional andsocioeconomic knowledge that canbe filled by scientific collaborationacross the South Asian region.Effective early warning will,however, require sharing ofsuccesses and information acrossborders. There is also a need toexplore and innovate for solutionsusing scientific knowledge.

What is the way ahead? Identifyingeffective strategies for responding toclimate change will require:1. location specific research and

pilot implementation activities;2. integration of community

responses (the building blocks)into higher level analyses andstrategies; and

3. strengthening of social capital.


There are gaps in scientific,

institutional and socioeconomic

knowledge that can be filled by

scientific collaboration across the

South Asian region. Effective early

warning will, require sharing of

information across borders


Overall there is a need to define along-term collaborative program ata regional level. Adversity throwsup challenges that are unique tospecific areas but that have commonroot causes. During HurricaneKatrina, though there werewarnings well in advance, theresponse was not adequate.Mumbai also was not adequatelyequipped to handle the torrentialrains that occurred in 2005, andtherefore the response was notadequate, though the societalresponse was far better than in New


During the recent heat wave inAndhra Pradesh, India, 3,364persons lost their lives. Theywere poor who, as a group, oftenhave few alternatives and littleknowledge regarding ways toreduce the impact of heat ontheir bodies. In spite of the heatwave, due to the need forgenerating some income tosurvive, they continued to workin extremely high temperatures.After work they returned to ill-designed and poorly constructeddwellings where the temperaturewas often higher than theoutside. This caused manydeaths that might have beenavoided.

Climate change projectionssuggest that a proactiveapproach to all forms ofadaptation would have greatmerit. Food security will also bethreatened. Internationalcollaboration needs grassrootsexperiences to be incorporatedin plans and programs. Warningsystems have to be set up,communities must work together,and their capacities must bestrengthened. There is a need forlong-term development projectsas the future will face a highdegree of danger, not onlythrough climate change but alsoin other areas.

Orleans. Ultimately, communitiesmust work together and theircapacities must be strengthened toaddress both existing challenges andthose that will be faced in thefuture. To do this, experiencesderived through pilot projects mustbe used. There is a need for long-term development projects,conceptualized to face new andexisting challenges. The futurecould involve high degrees ofdanger, not only through climatechange, but also due to otherfactors.

Ultimately, communities must work

together and their capacities must

be strengthened to address both

existing challenges and those that

will be faced in the future


Climate affairs program: usable sciencefor societyDr. Michael H. Glantz, Director, Center for Capacity Building (CCB), National Center for Atmospheric

Research (NCAR)


Although the focus in this talk is on climate affairs, it refers more generallyto “climate, water and weather affairs.”

The first and foremost goal of establishing a “climate affairs” activityis to develop an awareness among educators and trainers in a varietyof disciplines on how climate affects all aspects of life in industrializedand developing countries alike. Educating educators of students atvarious levels and training trainers of people already in the workforcecan catalyze a cascade of awareness throughout society about thegrowing importance of improved understanding of climate in its societalcontext.

Decision-makers, too, in those countries can influence the waytheir climate-sensitive activities are affected by variables in addition tochanging climate as a result of enhancing their understanding of climateaffairs. In essence, this will build the institutional as well as individualcapacity of countries to deal with a host of climate-related issues(agriculture, energy, water, health, public safety, education).

If the worldwide media reports are taken as an indicator, there wasa heightened interest and awareness of climate and climate-relatedissues during the 1990s. There was also an improved awareness of theneed for a better understanding of how climate variability and changeaffect ecosystems and the affairs of individuals as well as nations on avariety of time scales, from seasons to decades. Societies areincreasingly coming to realize how their activities (e.g., industrializationprocesses and land-use activities) can alter the chemistry of the globalatmosphere, which in turn can raise its average temperature by a fewdegrees Celsius. An increasing number of government, individual, andcorporate decisions are being made where knowledge of climate affairsis necessary. There is, however, at the same time a lack of human andinstitutional capacity in developing countries to impart effectively relevantknowledge to such decision-makers now and in the future. This situationcalls for national capacity-building efforts by academic institutions,international agencies and scientific organizations.

ABSTRACT

Understanding climate variability, change and extremes: a societal need

Educating educators of students at

various levels and training trainers

of people already in the workforce

can catalyze a cascade of

awareness throughout society

about the growing importance of

improved understanding of climate

in its societal context



Glantz opened hispresentation by talkingabout which countries had

dominated, generally speaking, inearlier centuries. It seems thathistorians have suggested that the1800s was the British century, the1700s the French century, and the1600s and 1500s the Spanish andthe Portuguese centuries,respectively. Some have argued thatthe 20th century was the Americancentury, and speculation has begunfor the 21st century. Some havesuggested that the 21st century willbe the Chinese century. However,Glantz said that he felt that nogovernment will dominate the 21stcentury. While there will be warsand other kinds of conflicts throughthe century – political, economic,ideological and religious – he arguedthat the century will be dominatedby climate issues of variability,extremes, and deep climate change(global warming) and their impactson societies and ecosystems.

He noted that scientists now believethat climate anomalies are becoming

more frequent, costly and deadlyand global warming has beenimplicated. At the same time,demographic changes appear to beputting population pressureincreasingly with regard to weatherand climate extremes. Thus, climateissues have become important togovernments, corporations, thepublic and to humanitarianorganizations, especially non-governmental organizations(NGOs) because they are often thefirst to respond at the local level.

He introduced the notion of“climate affairs” as a way to educateeducators who educate students,and train trainers who trainprofessionals in the workforce,about how climate knowledge canimprove the quality of climate-sensitive decisions. The purpose isto foster a multidisciplinaryapproach to climate issues forpurposes of awareness,understanding and making climatescience “usable” by the public aswell as by policymakers at all levelsof social organization. Climate

Scientists and policymakers alike

must accept that society is now an

integral part of the physical climate

system, as potentially influencing

as vegetative land cover, sea ice,

clouds, and the like


affairs encompasses climate science,climate impacts, climate policies andlaws, climate economics, andclimate ethics and equity.

There was, therefore, a need tocatalyze widespread interest ineducation on climate-society-environment issues byunderstanding how climate, societyand environment interplay. Climateimpacts are felt on ecosystems –terrestrial and marine; and onsocieties – industrialized andagricultural, North and South. Thehuman impacts on the atmosphereare both direct and indirect. Themethods to assess impacts are bothquantitative and qualitative. It isimperative to make climate sciencemore “usable” by educators andtrainers, the public, policymakersand industry.

Scientists and policymakers alikemust accept that society is now anintegral part of the physical climatesystem, as potentially influencing asvegetative land cover, sea ice,clouds, and the like. There is a needto improve society’s understandingof science. People have to beeducated and public awarenessincreased through informationdissemination. Glantz providedexamples like the Venezuelan mudslides (1999) and Hurricane Mitchin Honduras (1998) as exampleshighlighting the conflictingrelationship between disasterresponse and long-term communitydevelopment. Disaster managerstend to try and bring things back tonormal as soon as possible while the

development community focuses onlong-term needs and not presentones. Industries have becomeincreasingly interested in learninghow climate shifts and extremes areaffecting their activities. Forexample, the reinsurance industryhas begun to consider the effects ofclimate change on their climate-sensitive investments.

American ecologist BarryCommoner wrote in the early1970s about society’s debt to naturethat was owed by America andother industrialized andindustrializing countries. Thus, ananalogy of “Natures Bank” has beenused. Banks lend money, and moneyborrowed must be paid back intime. The borrower and the lenderknow this well because funds thatare returned are available for othersto borrow. Industrialized countrieshave borrowed from nature fortheir development. They haveborrowed natural resources andenvironmental quality. It is time topay back “Nature’s Bank,” so thatothers can borrow from it. Globalwarming, increased greenhousegases (GHGs) emissions anddeforestation are driven in largemeasure by demands of the richcountries. They, therefore, have theresponsibility to take the first stepsin reducing their GHG emissionsand their large imprint on adverseenvironmental change globally. The“polluter pays” principle should beinvoked, though this very rarelyworks, as polluting countries do notheed it.


Global warming, increased

greenhouse gases (GHGs)

emissions and deforestation are

driven in large measure by demands

of the rich countries. They,

therefore, have the responsibility to

take the first steps in reducing their

GHG emissions and their large

imprint on adverse environmental

change globally

D A Y – 1 : I N A U G U R A L S E S S I O N

1. Lack of coordination between the governmentdepartments working in the water sector. Given thecomplex and multi-sectoral implications of climate changediscussed in the keynote presentations, discussions focusedon concerns regarding the lack of coordination on climatebetween many government departments, particularlythose working in the water sector. In addressing theseconcerns, respondents pointed out that similar situationsexisted in the energy sector. There are many agencies andit is difficult to coordinate efforts. The government is nowplanning a process where a single agency will handle allenergy issues. Many actions in response to climate changeare also taking place through civil society organizations,and mechanisms are required that support interactionbetween these and government efforts. As a result, thoseinvolved in the discussion also emphasized that forcoordination to occur, bureaucracy has to work togetherwith civil society.

2. Role of media, industry, civil society andgovernment in addressing climate change. Manyinitiatives that respond to the impacts of climate changewill have to come from outside the government. Thegovernment needs social science assessments to be carriedout. Some of the lessons learned can be put to use eitherin government programs or through those implementedby civil society. In some cases, strategies for respondingto climate change are likely to conflict with other socialgoals. As a result, such conflicts need to be studied.Potential sources of conflict between different actorsinvolved in climate responses also exist. To avoid suchissues, these sources of conflict have to be identifiedand studied.

3. Involvement of social scientists in climate change.A large part of the discussion focused on the need forgreater involvement of social scientists in studying theimpacts of climate change and developing responsestrategies. Climate debates have, to a large extent, been

dominated by physical scientists. Responses depend,however, on a wide variety of social factors within differentsectors of the economy. Climate change has hugesocioeconomic implications that will affect large numbersof people. These implications have not, however, beenadequately studied.

4. Concept of “Nature’s Bank” and the response ofdeveloping countries to climate change. The “Nature’sBank” concept focuses attention on the tremendousenvironmental and resources costs that industrializedcountries have incurred in the process of development.During the period of their development, climate andenvironmental factors were disregarded – they, in effect,withdrew huge amounts of accumulated environmentalcapital to finance development. Much of this is stilloccurring. The United States and many other industrializedcountries are, for example, as several participantsemphasized in their comments, still using unsustainablepractices and the process is being emulated on a globalscale. While developed economies should be moreproactive in addressing climate change, developingcountries should not compound the problem by emulatingthe historical models of unsustainable development.Lessons learned have to be used and new models ofdevelopment have to be created, taking into accountenvironmental and climatic factors. Even now, indeveloping countries, very little attention is paid to publictransport and building bylaws, which are part of manystrategies for adaptation to climate change. Over 17 years,there has been a loss of credibility in global responses toclimate change. Despite major statements in 1984 and1992 regarding the willingness of developed countries totake measures to address climate change, little is actuallybeing done. The Kyoto Protocol’s targets are, for example,unlikely to be met. Developing countries must work atthe local level, especially in energy and transport, and thesecan contribute to a global solution.

Key points raised in the discussionsInaugural Session


SUMMING UP

DAY–1

Session 1

Concepts and Insights on Adaptation – The Water Sector

CHAIR: Marcus Moench, Institute for Social and Environmental Transition (ISET)

PRACTICAL IMPLICATIONS OF CLIMATE CHANGE

Marcus Moench, Institute for Social and Environmental Transition (ISET)

POLICY PROCESSES IN WATER RESOURCE MANAGEMENT AND CLIMATE CHANGE

Tony Allan, King’s College

RESILIENCE AND VULNERABILITY IN NESTED SOCIAL-ECOLOGICAL SYSTEMS: INIWRM’S CONTEXT

Victor Galaz, Centre for Transdisciplinary Environmental Research (CTM)

COPING COMPENDIUM ON WATER RELATED RISKS

Henk van Schaik, Cooperative Programme on Water and Climate (CPWC)

HAZARD, RISK, VULNERABILITY AND CLIMATE CHANGE IN INDIA

Santosh Kumar, National Institute of Disaster Management (NIDM)

DEVELOPMENT ISSUES IN RAJASTHAN

Rajinder Singh, Tarun Bharat Sangh (TBS)

KEY POINTS RAISED IN THE DISCUSSIONS

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Source: Resilience Alliance

Practical implications of climate changeMarcus Moench, Institute for Social and Environmental Transition (ISET)

Over the last two decades, research on the dynamics of complexinterlinked systems has highlighted fundamental similarities in ways thatsocial and ecological systems evolve. Organizations, economies ororganisms often start out in a resource-rich environment and expandrapidly. As a result, resources become scarce. At some point, externaldisruptions exceed system resilience and fundamental changes occur.This difference between the process of continuous small adjustmentsand transformative/disruptive change is central to understanding thechallenges climate change poses for human society. Risk is reflexive,and the probability of an event and the consequences depend on theinteraction of social and behavioral factors over time. Managing risk isa multilevel process that requires mechanisms for spreading and poolingthe impacts of smaller-scale disruptions on the system as a whole sothat growth and conservation phases do not increase rigidity and ultimatevulnerability. Attention needs to be paid toward risk reduction in thelong-term, incremental, process of development (the growth andconservation phase). As a result, financial and other techniques areneeded for mitigating the impact of disruptions.

ABSTRACT

Over the last two decades,research on the dynamicsof complex interlinked

systems has highlightedfundamental similarities in waysthat social and ecological systemsevolve. In most situations, asillustrated in the diagram, systemspass through clearly recognizableloops of increasingly structuredgrowth, conservation, disruptionand reorganization.

D A Y – 1 : S E S S I O N 1CONCEPTS AND INSIGHTS ON ADAPTATION – THE WATER SECTOR

Difference between the process of

continuous small adjustments and

transformative/disruptive change is

central to understanding the

challenges climate change poses

for human society


During the “r” growth phase,entities (whether organizations,economies or organisms) exist in aresource-rich environment andexpand rapidly. Expansioneventually leads to increasedcompetition as resources (energy,nutrients, commodities, money,etc.) become scarce or locked up byexisting entities. This leads in the“K” conservation phase toorganizational patterns that areincreasingly efficient and specializedbut generally less flexible. Thesystem becomes more and morestructured – and momentarilypredictable – as entities specialize tocapture any resources that remainavailable and to hold on to theresources they have alreadyaccumulated. Increasing efficiencyand specialization reduce flexibilityand the resilience of the system toexternal disruption declines. Atsome point, external disruptionsexceed system resilience and, duringthe “W” release phase, fundamentalchange (which is often equivalent todestruction) occurs. Reorganizationoccurs in the “a” phase.

In ecological systems, the r-K phasemight represent the gradualtransition over decades frompioneer species to a climax forestcover where most nutrients arelocked in existing biomass. TheK-W phase could represent a majorfire or storm and the release ofnutrients it enables, while the W-aphase would involve the initialestablishment of pioneer speciesthat “prepare the ground” for areturn to structured – and muchmore gradual – growth. In socialsystems, parallel processes can easily

be identified at multiple levels fromorganizations to nation states.Processes of growth, conservation,release and reorganization arecommon and range from therelatively innocuous (a firmreorganizing in response tochanging market conditions) to thetransformative (the fall of theRoman Empire and the centuries ittook following that for society toreorganize toward productivegrowth). This difference betweenthe process of continuous smalladjustments and transformative/disruptive change captured in thisanalogy is central to understandingthe challenges climate change posesfor human society.

Research on the dynamics ofcomplex systems suggests that themore highly structured and rigid asystem becomes during the Kconservation phase, the moredisruptive its eventual failure will beduring the inevitable W phase ofrelease and transformation.Continuous exposure to smalldisruptions helps to maintain theflexibility and ongoing processes ofrelease and reorganization that formthe basis of adaptation and overallsystem resilience. When systems areinsulated from exposure to minorsources of disruption, they tend tobecome increasingly specialized,structured and rigid. If disruptionsexceed their stability threshold, theresulting collapse and theprobability of it resulting infundamental restructuring of thesystems involved is far higher.

To shift this into other terms,consider a standard engineering

Processes of growth, conservation,

release and reorganization are

common and range from the

relatively innocuous (a firm

reorganizing in response to

changing market conditions) to the

transformative (the fall of the

Roman Empire and the centuries it

took following that for society to

reorganize toward productive

growth)


definition of risk as the probabilityof a given event multiplied by theconsequences. If the probability offlooding is reduced through floodproofing measures, then society willgenerally make large, individuallyunprotected investments in theprotected areas. If floods aresufficiently large that they exceedthe design capacity of the protectivestructures, the consequences interms of life and livelihoods from asingle event can, as Katrinademonstrated, be huge. If, instead,areas remain exposed to floodingand investments in vulnerable areasare designed in ways that minimizethe impact regular flooding hasupon them, then the consequencesof any given event are much lower.

Increases in the intensity of extremeclimatic events projected as aconsequence of climate changepoint to the trade-offs inherent inthe above alternate approaches torisk management. Take the case offloods. Climate change complicatesthe design of protective structuresbecause there is little basis forpredicting the magnitude andfrequency of extreme events. As aresult, society may not be able to domuch to reduce the probability thatfloods will exceed the capacity ofprotective structures – at least notover the long term. Uncertainty,and surprises related to theoccurrence of unanticipated extremeevents are almost certainly inevitableas a consequence of ongoing climatechange processes. This implies thatapproaches that do not attempt tofully protect areas from floods andthat instead encourage households,communities and regions to make

on-going adjustments that reducethe consequences of flooding, mayultimately produce lower levels ofrisk. Similar arguments could bemade in the case of drought, theimpact of extreme storms and otherchanges that may occur as aconsequence of climate change.

Risk is a reflexive concept. Both theprobability of an event and theconsequences depend on theinteraction of social and behavioral



Risk

Probability multipliedby consequences

Adapted from a talk by Ann Kinzig

factors over time. Flexibility,diversification, continuousadjustment, reorganization andlearning in response to recurrentrelease events enable adaptation tooccur with less probability ofdisruption and fundamentaltransformation of complex systems.Managing risk is a multilevelprocess that requires mechanismsfor spreading and pooling theimpacts of smaller-scale disruptionson the system as a whole anddirecting the reorganization processso that growth and conservationphases do not increase rigidity andultimate vulnerability.

In practical terms, this means thatattention needs to be paid towardrisk reduction in the long-term,incremental, process ofdevelopment (the growth andconservation phase), that financialand other techniques need to bedeveloped for mitigating the impactof disruptions and that muchgreater attention needs to be paid tothe process of reorganizationfollowing extreme events as a keyperiod shaping patterns of futuregrowth.

Key issues for adapting toclimate changeTo improve understanding ofchange and link that in a practicalway to:� disaster risk reduction and theimplications of “pulsed” changeprocesses;� long-term developmentprocesses;� activities within specific sectors,particularly water;

The ability to adapt to floods and droughts depends on:� the extent to which people are able to shift to livelihoods that areless vulnerable to disruption by water and climatic fluctuations;� the ability to access labor markets (migration and commuting);� the ability of information, goods and services to flow into and outof affected areas;� the nature of physical infrastructure;� secure domestic water supplies;� the condition of key resources (groundwater);� the institutional environment (markets, community organizations,etc.); and� access to financing for non-agricultural activities and non-conventional structures.

Findings from the field



� changes in the approach to watermanagement;� changes in core scientific tools(data, modeling);� changes in the approach tophysical structures;� changes in approaches toinstitutions (scale, water rights,organizations);� changes in the “institutionalsilos” separating key activity areas(water management, disaster riskreduction, climate change, etc.);� changes in approaches to risk;� changes in our approaches toinsurance and risk pooling;� changes in our attempts to“control” as opposed to “live with”daily risk; and� changes in our institutional silos– risk reduction in the water sectormay depend as much on activitiesoutside water as it does on watermanagement.

Policy processes in water resourcemanagement and climate changeTony Allan, King’s College

The main purpose of thesession was to highlight thetypes of knowledge that

determine resource use and waterpolicy. It was argued thatconstructed knowledge is muchmore important than observedscience. Such knowledge reflects theinterests of those who manipulatethe policy discourse. Sometimesthere are economically invisible andsilent processes that enable acommunity or nation to beenvironmentally and economicallysustainable and secure. Politicalprocesses determine whether thesesilent processes are taken intoaccount by the resource-using andpolicy-making communities.

A second purpose was to show thatthe river basin is not a sufficientanalytical framework. The“problemshed” is much more likelyto provide useful explanations thanthe watershed. For example,international trade in waterintensive commodities enables thesoil-water surpluses in thetemperate zones to be moved to thewater deficit regions such as theMiddle East and North Africa. Suchtrading has alleviated the waterscarcity within countries and citiesfor millennia.

A third purpose was to show thatsustainability needs to beunderstood to have threedimensions – with contendingvoices coming from society, fromthe economy, and the environment.The dominant notion in currencyon sustainability is the outcome ofthis discursive political process.The red lines identified by theenvironmental scientist and theeconomist are no match for thepolitically constructed knowledge.

It was also pointed out that manyvery important problems relating tothe availability of water resourcesand climate change impacts occur inthe domain of uncertainty. Scientistsare uncomfortable dealing withuncertainty. They cope well withrisk, which can be understood viathe concept of probability.Politicians, on the other hand, areexpert in dealing with theambiguities of uncertainty. They areespecially expert in integrating newuncertainties, such as climatechange, into the existing landscapesof uncertainty. Scientists have tolearn how to communicateeffectively in this world ofconstructed knowledge.

Scientists are uncomfortable

dealing with uncertainty. They cope

well with risk, which can be

understood via the concept of

probability. Politicians, on the other

hand, are expert in dealing with the

ambiguities of uncertainty. They are

especially expert in integrating new

uncertainties, such as climate

change, into the existing

landscapes of uncertainty



Resilience and vulnerability in nested social-ecological systems: in IWRM’s contextVictor Galaz, Centre for Transdisciplinary Environmental Research (CTM)

The present and future threats to water resources create an increasingchallenge to existing water policy and institutions around the world.Integrated Water Resource Management (IWRM) has been proposedby a number of key international actors (such as the World Bank, GlobalWater Partnership, United Nations Environment Programme) as thesolution to the challenges facing nation states. In this paper, I arguethat the current promotion of IWRM could reduce rather than enhancethe resilience of social-ecological freshwater systems, hence creatingvulnerability to climate change and variability, and extreme weatherevents. The paper summarizes insights from an emerging research fielddealing with resilience and vulnerability in nested social-ecologicalsystems, and uses examples from the implementation of IWRM in Europe(Sweden) and Latin America (Chile).

ABSTRACT

The present and futurethreats to water resourcescreate an increasing

challenge to existing policy andinstitutions around the world.Integrated Water ResourceManagement (IWRM) has beenproposed by a number of keyinternational actors, including theWorld Bank, Global WaterPartnership and the United NationsEnvironment Programme (UNEP),as the solution to the challengesfacing nation states.

IWRM, however, seldomacknowledges issues that are crucialin enhancing the resilience of nested

social-ecologicalsystems.

Resilience is “theextent to which asystem can absorbrecurrent naturaland humanperturbations andcontinue toregenerate withoutslowly degrading orunexpectedly shiftinto less desirablesstates.”

Conventional waterpolicy and



management tends to be based onpredictability, fixed policies basedon scientific expertise, andimplemented by effectiveorganizations with a rigid chain ofcommand.

Yet, water policy decision-making ismainly about uncertainties,interactions and scales.Understanding of how to deal withchange, uncertainty across scales isweak in the water sector.Precipitation patterns will changeand therefore risks will change.Plans will then be irrelevant.Extremes are also risks that areoutside the planning process.

The key issue, therefore, is how toharness surprises, uncertainty andchange in freshwater managementand policy. There must be a focuson uncertainties, interactions andscales. Nonlinear behavior (e.g.threshold effects, surprises) must beidentified. There is a need to reachout to professionals with down-to-earth practical approaches andpromote joint learning processes ofsystem dynamics, which include“experiments” to both the naturaland social system.

Insights from the implementationof IWRM in Sweden and Chiledemonstrate how in the waterplanning process social andecological uncertainties are assumed

away. Participation must includestakeholder input and promotelearning processes. Implementationof policies must allow localsolutions and initiatives at the sametime as they treat policy asexperiments from which managerscan learn. An adaptive planningprocess based on uncertainty andlearning should be adopted.Adaptive freshwater managementand policy incorporates strategiesdesigned to harness uncertainties. Itpromotes an understanding ofsystem dynamics (thresholds,uncertainties, etc.) It is diverseenough to enhance possibilities oflearning from policy experiments. Itis a proactive approach tostrengthen the social-ecologicalresilience of the system includingcommunities, ecosystems andinstitutions.

Participation must include

stakeholder input and promote

learning processes.

Implementation of policies must

allow local solutions and initiatives

at the same time as they treat

policy as experiments from which

managers can learn. An adaptive

planning process based on

uncertainty and learning should be

adopted



Coping compendium on water related risksHenk van Schaik, Cooperative Programme on Water and Climate (CPWC)

The Dialogue on Water and Climate (DWC) evolved into the CooperativeProgramme on Water and Climate (CPWC) in 2004, to research localcoping actions at the national, basin and regional levels and see if theyhave a basis in science.

The compounding nature of climate, socioeconomic, demographicand other changes has increased risks and altered perceptions. Thecost to livelihoods and economies, and the number of victims areincreasing. The response to changing risks calls for “adaptivemanagement” that needs assessments of vulnerability on regional,national and urban/rural scales and evaluation of hazards along withthe level of protection available, resilience and the capacity to cope.Organized coping actions are measures that include: mitigation or theremoval of the hazard; resistance or the building of impoundments, damsand dikes and changing land use patterns; preparation or insuranceand establishing early warning systems; response which consists ofevacuation and control of the situation; and recovery and aftercare orrehabilitation. In Europe, a multistakeholder approach, involving science,politics, government, private and NGOs, is being used. Comprehensivewater related risk management approaches need to be developed byadapting and using appropriate technologies to protect people,economies and ecosystems against disasters.

ABSTRACT

ObservationsThe occurrence of climate relateddisasters is increasing with a hugecost in terms of lives lost as well asto livelihoods and economies.Extreme events are becoming morefrequent and water solidarity is atstake at local and internationallevels. It is not climate change alonebut the compounding nature of

changes that has increased risks andaltered perceptions. Demographicchanges, changes in land usepatterns in urban and rural areas,changes in cultivation systems,changes in demand (scarcity,quantity and quality), all suchchanges compound the impacts ofincreasing climatic variability andextremes. Due to better



Comprehensive water related risk

management approaches need to

be developed by adapting and

using appropriate technologies to

protect people, economies and

ecosystems against disasters

information, awareness of risks isincreasing. The willingness ofsociety to accept such risks is,however, decreasing.

From DWC to CPWCThe Dialogue on Water and Climate(DWC) was initiated in 2001. Itwas a response to the ThirdAssessment Report (TAR) of theIntergovernmental Panel on ClimateChange (IPCC), which stated thefollowing:

“Climate change will lead to anintensification of the globalhydrological cycle and can havemajor impacts on regional waterresources, affecting both groundand surface water supply fordomestic and industrial uses,irrigation, hydropower generation,navigation, in stream ecosystemsand water-based recreation.”

In addition, the TAR acknowledgedthe compounding nature of waterrelated risks by stating that:

“The impacts of climate change willdepend on the baseline condition ofthe water supply system and theability of water resource managersto respond not only to climatechange but also to populationgrowth and changes in demands,technology, and economic, socialand legislative conditions.”

The main objective of the DWCwas to bridge the disciplinary dividebetween climate science and watermanagement by initiating dialoguesat the national, basin and regionallevels. It involved collectingevidence, and studying impacts,

vulnerabilities (hot spots) andcoping measures to establish that“climate changes the water rules.”The DWC evolved into theCooperative Programme on Waterand Climate (CPWC) in 2004 tostimulate local coping actions at thenational, basin and regional levelsand ensure that they have a basis inscience. The other components inthe CPWC are education andtraining, information andcommunication, and eventorganization.

One of CPWC’s main objectives isto ensure that climate changeimpacts and the risks associatedwith them are incorporated indevelopment strategies, particularlyfor water resources and waterservices. The CPWC is concernedthat there is no mention of climatechange risks in the MillenniumDevelopment Goals (MDGs). Thebase criteria in the MDGs for watersecurity is 500 cubic meter perperson per year and the goal is toachieve this through structuresincluding impoundments, dams anddikes. These structures are beingdesigned using historicalhydrological data and demandprojections that do not reflect theimpacts likely to occur as aconsequence of climate change.

In conclusion, the present designsfor water structures and also waterlegislature and water institutionscannot be considered “climateproof.”

Adaptive managementThe response to changing risks isleading to calls for “adaptive



management.” This requiresassessments of vulnerability onregional, national and urban/ruralscales. Evaluation of hazardsincluding floods (both riverine andcoastal), droughts and storms alongwith the level of protectionavailable, resilience, and the capacityto cope is essential. Adaptivemanagement also needs to evaluateorganized coping actions using thesafety chain concept and how thatcould contribute to resilience.Organized coping actions aremeasures that include: mitigation orthe removal of the hazard;increasing the resilience ofstructures, or the building ofimpoundments, dams and dikes andchanging land use patterns;preparation or insurance; andestablishing early warning systems.It also includes measures such asdisaster response planning as well asrecovery and rehabilitationfollowing disasters.

To achieve these ends, risk policiesand strategies need to evolve.Traditional strategies aim atincreasing water security, resilienceand solidarity at a local level. TheUnited Nations FrameworkConvention on Climate Change(UNFCCC) advocates a no regretapproach since many of thestrategies required for adapting toclimate change also meet immediateneeds. In this context, it argues forwater conservation and discouragesnon-reversible measures for waterextraction. It also espouses the“polluter pays” principle. Inaddition to the UNFCCC, the UNhas advocated the development ofnational and local disaster risk

reductionstrategies. And atCOP-11, climateproofing wasintroduced as aconcept fornationaldevelopmentplanning. Somebilateral interestis emerging tosupport OfficialDevelopmentAssistance(ODA) countries to carry out“climate proofing.”

Risk management inEuropeIn Europe, a comprehensiveapproach for floods is underdevelopment. It uses a multi-stakeholder approach involvingscience, politics, government,private and NGOs. It takes up theissues of demography, climate andeconomy, and works at differentlevels – local, municipal, district,riparian, national, basinand global.

ConclusionsRisks are increasing in nature andhave compounding effects. Theyhave a greater magnitude and theimpact is of a longer duration.Efforts to reduce water related risksmust be increased. Comprehensivewater related risk managementapproaches need to be developed byadapting and using appropriatetechnologies to protect people,economies and ecosystems againstdisasters. The coping compendiumis to contribute to the capacity ofwater managers to cope better.

MDGs: Reduce half theproportion of people withoutsustainable access to safedrinking water by 2015.

WSSD & WEHAB: Reduce by halfthe population without access tobasic sanitation by 2015.

Prepare country Integrated WaterResource Management plans by2005 to ensure water security.

No mention of risks.



Hazard, risk, vulnerability and climatechange in IndiaSantosh Kumar, National Institute of Disaster Management (NIDM)

India is among the world’s most disaster-prone areas, and most disastersare mainly water related. During the last year, India has been impactedby floods, cyclones, drought and the tsunami. The population, affectedby disasters, is huge in number when compared to the number of deaths.This socioeconomic cost includes loss of public and private property,loss of access to livelihood, distress sales of poor people’s assets,adverse effects on local-state-national economy, damage to environmentand biodiversity, violence and discrimination against women, malnutritionand increase in school dropouts, and psychosocial trauma and stress.The recent change in the concept of vulnerability requires a newapproach. Until recently, the focus of disaster management was on reliefand rehabilitation. This has shifted to prevention, preparedness,response and recovery.

ABSTRACT

The incidence of reportednatural disasters hasincreased substantially

between 1900 and 2004, and Asiasuffers from the maximum impacts.Of the total number, Asia has beenaffected by 43 percent of the disastersworldwide, 69 percent of lives havebeen lost, and 54 percent of theestimated damages are in Asia. Indiais among the world’s most disaster-prone areas. Disasters are mainlywater related. During the last year,India has been affected by floods,cyclones, droughts and the tsunami.The connection between disastersand water management has notbeen made internationally or locally.

In India, 40 million hectares areprone to flood with 8 millionhectares being affected every year.The Brahmaputra and Gangeticbasin are the most flood-proneareas. The rivers flowing west –Krishna, Cauvery and Mahanadi –are also major flood-prone areas.The population affected by floodsin 2005 was 32.03 million, and1,504 lives were lost. In addition,about 96,713 livestock have beenkilled and 1,683 houses damaged.The crop loss has beenRs 4,600.7 million (US $103million), and the damage to publicutilities is Rs 3,772.48 million(US $85 million).



India is among the world’s most

disaster-prone areas. Disasters are

mainly water related. During the

last year, India has been affected

by floods, cyclones, droughts and

the tsunami

India has a 7,200 km-long coastlinewith two cyclone seasons, duringthe southwest and northeastmonsoons. The coastal districts ofOrissa, Andhra Pradesh and Gujaratare most prone to the impacts ofcyclone. Most casualties are causedby tidal waves, storm surges andtorrential rains.

Of the net area sown in the country,68 percent is prone to drought, andof this 33 percent is chronicallydrought-prone, receiving rainfall ofless than 750 mm per annum, while35 percent receives rainfall between750-1,125 mm per annum.

The population affected by adisaster is huge in number whencompared to the number of deathswhich may also be large. TheTsunami affected 1,561,874persons, while 647,599 shifted tosafer places. The number of deathswas 10,749 in five states in India.

Landslides can affect large areas ofthe country every year duringmonsoons. They can also be causedby earthquakes. The areas that sufferfrom landslide hazards are located inthe hilly tracts of the Himalayas,Northeast India, Nilgiris, EasternGhats and Western Ghats.

A map of India has been preparedshowing multi-hazard zones basedon earthquakes, wind and cyclones,and floods. This will help inpreparedness, quick risk assessmentand action as well as being aninvaluable tool for proactiveplanning. A vulnerability map,developed by the Building Materialand Technology Promotion

Council, has given enough warningregarding possible hazards thatmight get converted into disastersin the future. We need to learn fromthese warnings and start takingmeasures to reduce risk. We alsoneed to revisit the vulnerability atlasin the context of the newphenomenon of extreme weatherevents that India has faced, in thecurrent year and also in the past onintermittent basis.

The definition of disaster as in theDisaster Management Act, 2005states that it is “a catastrophe,mishap, calamity or graveoccurrence affecting any area fromnatural and man-made causes, or byaccident or negligence, whichresults in substantial loss of life orhuman suffering or damage to anddestruction of property, or damageto or degradation of environmentand is of such a nature andmagnitude as to be beyond thecapacity of the community of theaffected areas.”

The average annual loss of humanlives due to disasters is 4,350. Thecultivated area affected is 1.42million hectares, and 2.36 millionhouses are damaged. This loss isRs 250,000 million, which is2 percent of the GDP of India. Theexpenses on emergency responseand relief are over Rs 150,000million. There are also indirectlosses, which include loss of output,and disruption in trade andcommerce, undermining futureprofitability and infrastructuraldamage. Secondary losses, bothshort and long-term are intangiblein nature and difficult to quantify.



A vulnerability map, developed by

the Building Material and

Technology Promotion Council, has

given enough warning regarding

possible hazards that might get

converted into disasters in the

future



100,000 hectare



These include diversion of funds,deferring development plans, andloss of skilled manpower.

The socioeconomic cost includesloss of lives, public and privateproperty, access to livelihood,distress sales of poor people’s assets,adverse effects on local-state-national economy, damage toenvironment and biodiversity,violence and discrimination againstwomen, malnutrition and increasein school dropouts, andpsychosocial trauma and stress.

There have been changes in theconcept of vulnerability recently, andthis requires a new approach. Indiahas a different vulnerability profileand each disaster affects the other.The poor are the most affected asthey are unable to break the cycle.

Extreme weather events occur moreoften and are becoming moresevere, and vulnerability willincrease. Trends in India show thatrescue and rehabilitation do notsolve problems, prevention andplanning are required. Communitiesmust be made more resilient.Strategies and policies must copewith climate change andadaptability and increasingvulnerability. The top-downapproach has been left with veryminimal impact. A proactive riskreduction bottom-up drivenapproach is required and thegovernment should work as afacilitator, for which political will isnecessary. Development and climatemust be integrated into hazards anddisasters and direct and indirectcosts recovered.

Until recently the focus of disastermanagement was on relief andrehabilitation. This focus has shiftedto prevention, mitigation,preparedness, response andrecovery. The logical approach tothe disaster management cycleshould be mitigation as the firstpriority; rehabilitation andreconstruction must also includemitigation in the disaster riskreduction cycle. In a non-disasterscenario, planning, prevention,mitigation and preparedness are allrequired to address hazard risks andvulnerability reduction. Only thiswill be relevant in the context ofdevelopment and environmentsustainability.

Planning requires critical inputs andit is necessary to integrate regionalexperiences into the global scenario.A global initiative, at the WorldConference on Disaster Reductionin 2005, was the HyogoFramework for Action 2005-15.This framework seeks to� ensure that disaster riskreduction is a national and a localpriority;� identify, assess and monitordisaster risks and enhance earlywarning;� use knowledge, innovation andeducation to build a culture ofsafety and resilience;� reduce the underlying riskfactors; and� strengthen disaster preparednessfor effective response at all levels.

In India, disaster management inthe context of development hasbeen included in the Tenth Five-year Plan. There is now a



Trends in India show that rescue

and rehabilitation do not solve

problems, prevention and planning

are required. Communities must be

made more resilient

framework, a draft national policy,an act and a national disastermanagement authority. TheNational Institute of DisasterManagement (NIDM), set up in2003, provides assistance innational level policy formulation,formulates and implementscomprehensive human resourcedevelopment plans, developstraining modules, undertakesresearch and documentation, andmainstreams disaster managementin education at every level.

Local approachThe scientific method of dealingwith water is hydrology. However,local communities use differentmethods to forecast climate. Holesare dug and women place jewels inthem. If the jewels sink, they predictwater scarcity. Children playing inagricultural fields, and migration,are also indicators of increasedthreat perception.



Development issues in RajasthanRajinder Singh, Tarun Bharat Sangh (TBS)

Disaster has both directand indirect impacts. Insome cases the indirect

influences are as severe as the direct.In Rajasthan, it has been observedthat the psychological aspects offamine are, in some cases, as bad asits actual physical effects. Therehave been advances in technology,and the extensive use of some ofthese advancement for economicdevelopment has increased thepressure on nature. The scenario ofdisaster has changed; it no longerincludes only events caused bynature. Development has led toexploitation of natural resources,and development usinginappropriate technology is a majorcause of disasters.

Rajasthan has been left behind bothin terms of development and theprotection of its natural resources.Man’s relationship with nature mustbe changed and this change canalter the entire scenario.Development should be throughsociety-based and decentralizedsystems. This is now beingattempted through the PanchayatiRaj system of local governmentinstitutions. As environmentaldestruction generally starts fromcauses at local levels and then growsto have large impacts, improvement

must also start at a local level even ifthe ultimate objective is to have aglobal impact. As a result,decentralization is essential toaddress the location-specific roots oflarger problems. But there arevested interests against thisimprovement of communitiesand society.



As environmental destruction

generally starts from causes at

local levels and then grows to have

large impacts, improvement must

also start at a local level even if the

ultimate objective is to have a

global impact

1. Decentralized Policy. The highly localized dynamicsof water systems and adaptation options will necessitatedecentralized strategies to address climate change. Policiesfor responding to droughts, floods and disasters mustmatch with emerging realities. Local actions are fluid andversatile. Therefore, community-driven, decentralized,natural resource management systems need to berevitalized. In India, local initiatives have been verysuccessful. However, there should be a national model.The government has realized that decentralized structureslike the pachayats have an important role to play incommunity-based initiatives. Approaches for integratingclimate considerations into action within the water sectorare also essential. As a result, water specialists need to beinvolved in the development of strategies for supportingadaptation. In some cases, this will require action at thecentral level. To achieve this, strategies for connectingdecentralized and central action need to be developed.

2. Capacity Building. To provide services and protectthe interests of the people, the government must findmechanisms to enhance community development andbuild skills of vulnerable communities. Vulnerablecommunities also include those, such as farmers whodepend on climate sensitive sources of irrigation water,who may be unable to adapt to situations where wateravailability is likely to decline.

3. Dialogue. In many situations the current “dialogue,”over climate and water management is, in reality, amonologue – it is not two-way communication. In thecurrent, regional geopolitical situation, knowledge existsat multiple levels and these levels need to be addressed inmore ways than one. Therefore, it is necessary to create aforum in which diverse views can be effectively expressed,communicated and responded to, that is, to enable a“dialogic dialogue.” Experience has shown thatauthoritative, top-down approaches do not work, and

when this is attempted dynamic dialogue cannot takeplace. Civil society has included this factor in theirapproaches. However, there is a lack of will at the statelevel to initiate changes. Dialogue is necessary, becauseisolated local initiatives and partial governmental actionswill not be able to address the multiple factors that createrisk in relation to climate change. In addition to the needfor broad-based dialogue on climate per se, similar formsof dialogue are needed to address other risks and issuessuch as disaster management. At present, there is nomanagement model to ensure that institutionalmechanisms for such dialogue are built at the local level.Most responses to climate and disaster have used top-down approaches.

4. Convergence. Solutions to complex problems such asthose likely to emerge as a consequence of climate changerequire the convergence of knowledge and institutionalmechanisms across sectors and scales. Risks andperspectives are different at the community andgovernment levels and in the water and other sectors. Itis necessary to deconstruct and reconstruct problems withcommunity perspectives in mind in order to identifypotential solutions. While searching for institutionalmechanisms, it is important to recognize that newinstitutions, such as insurance, are emerging that can serveas a foundation for catalyzing convergence across sectors.Similarly, approaches that use post-disaster reconstructionactivities to reduce future risks are increasingly recognizedas important institutional mechanisms to addressadaptation needs.

5. Approaches. Dialogue has to be established betweenprofessionals and non-professionals and across differentsectors in order to develop effective approaches to respondto complex problems such as climate change and disaster.The gap between those involved in developing approachesor strategies and those directly involved in implementation

Key points raised in the discussionsSession–1



activities has had a major impact on situations such as therecurring floods in Bihar and drought in Rajasthan.Concepts are available to address these endemic problems– but they rarely reflect the field realities under whichimplementers work. Similarly field implementers are oftenoperating without any larger strategic vision. Overall,improving the link between academic knowledge andpractical knowledge is very important. In Nepal, all sectorsworked together on recent issues, such as the report ofthe World Commission on Dams, and arrived at a broadapproach, applicable to everyone. Convergence betweensectors can be structured through dialogue and education.At present, courses of action within different sectors or

organizations – government, funding agencies, NGOs andthe private sector – are often repetitive and water centric.The majority of disasters, today, are floods and droughtsand most responses are water-centric. Avenues forresponding to such disasters, however, cross many sectorsin addition to water, and for convergence to occur, bothdialogue and extensive social (as well as physical) scientificknowledge is needed by water managers. As a result,educational inputs are required in the water sector. Thiswill need new training material and the building of a long-term corps of “water” professionals which is able to engagein dialogue across sectors.



Concepts and Insights on Adaptation – Views from the FieldChair: Sara Ahmed, Independent Researcher

UNDERSTANDING VULNERABILITY: IMPLICATIONS FOR COMMUNITY-LED ADAPTATION

Sara Ahmed, Independent Researcher

SUCCESSFUL ADAPTATION TO CLIMATE CHANGE IN SOUTH ASIA CRITICALLY

DEPENDS ON REGIONAL COLLABORATION IN RESEARCH FOR INTERDISCIPLINARY

WATER SYSTEMS KNOWLEDGE

Jayanta Bandopadhyay, Indian Institute of Management (IIM)

LIVELIHOOD SERVICES FOR RURAL MIGRANTS IN SOUTH RAJASTHAN

Sudhir Katiyar, SUDRAK (Aajeevika Bureau)

ADAPTATION RESEARCH: SCALAR AND DISCIPLINARY ASPECTS

Preety Bhandari, The Energy and Resources Institute (TERI)


DAY–1

Session 2

Page No

32

35

36

38

42


Understanding vulnerability: implicationsfor community-led adaptationSara Ahmed, Independent Researcher

The growing frequency and magnitude of the impacts of climatevariability such as droughts, floods, storms and extreme events poseenormous developmental challenges for poor and vulnerablecommunities, particularly in developing countries. Although poverty isa core dimension of vulnerability – all poor people are vulnerable – notall vulnerable people are poor. Poverty measures the current status ofdeprivation: the lack of access to resources (material, political, cultural)and capacities necessary for full participation in economic and sociallife. Vulnerability, on the other hand, is a more dynamic concept thanpoverty as it captures the changing degree of susceptibility to losscaused by exposure to disaster or unequal risk of individuals,communities and systems. The contextualization of climate changewithin everyday, overlapping “geographies of vulnerability” recognizesthe role of pre-existing, interlocking systems of physical and social spacein structuring vulnerability. That is, where small and marginal farmersreside in a flood-prone village in Eastern Uttar Pradesh is as importantto our understanding of vulnerability as the intersection of gender andcaste as determinants of who has access to which water during droughtin Gujarat or Rajasthan.

However, while the concept of vulnerability is important as it drawsattention to the multiple dimensions of deprivation, including socialexclusion, gender and human security, and to established patterns ofcoping and resilience, there is no consensual definition or agreedapproach to its operationalization. Vulnerability assessments typicallyraise questions of what to measure, how (instruments and indicators),by and for whom on the one hand, while on the other, the politicalexpediency of disaster mitigation, planning or rehabilitation does notadequately take on the discourse on vulnerability. In this institutionalvacuum, praxis (or the linking of knowledge to practice through institutionaldesign) becomes important. Civil society actors are increasingly recognizedas a bridge between scientific and social research, policymakers, plannersand communities at risk. But while multidisciplinary collaborations andinterdisciplinary approaches are no doubt necessary, critical questionsremain about the capacity of development organizations to understand

ABSTRACT

Although poverty is a core

dimension of vulnerability – all

poor people are vulnerable – not all

vulnerable people are poor

D A Y – 1 : S E S S I O N 2CONCEPTS AND INSIGHTS ON ADAPTATION – VIEWS FROM THE FIELD



Vulnerability is said to be amultidimensional conceptbased on specific change.

There is internal change that dealswith coping and external change thatdeals with risk impact. However,there is no consensual definition orapproach to understandingvulnerability. It defines essentiallythe ability of a community,household or individual toanticipate, cope with or adapt to anexternal risk, whether environmental,socioeconomic or political.Vulnerability is multidimensional,differential, scale dependent andcontext specific. It is a dynamicconcept that portrays a changingdegree of susceptibility to loss byexposure to disaster by individuals,communities and systems.

The formal methods for copingwith internal aspects of vulnerabilityinclude the crisis and conflict theory,models of access to assets, andaction theory approaches. Themethods for dealing with externalaspects of vulnerability are politicaleconomy approaches, human

ecology perspectives and theentitlement theory.

Three types / patterns ofvulnerability1. Physical or material vulnerabilityincludes the location of communitysettlements in hazard-prone areasthat lack infrastructure such as roadsor disaster-proof shelters and wherethere is little access to informationor communication services and lackof control over productive resourcessuch as credit or land.

2. Social factors that increasevulnerability are lack of skills,knowledge, literacy, time and otherpersonal endowments, along withpoor institutional structures of thefamily and community, and powerrelations. Governance and decision-making, including conflictresolution, are also social factorsthat affect vulnerability.

3. Psychological/attitudinal factorsthat affect vulnerability are people’sresistance toward change,dependency, trauma, lack of social

vulnerability, facilitate adaptation, and develop strategic partnershipswith the state at different levels.

Drawing on insights from policy and field research on adaptivestrategies in South Asia, this paper looks at the political economy ofvulnerability underlying community-led adaptation. What are the differentstrategies which NGOs, for example, as one set of civil society actors,have used to enable vulnerable communities, particularly women andthe socially excluded, to diversify livelihoods, access resources,information and services? How effective have such strategies been notonly in terms of developing empowered and resilient communities butequally in addressing the larger concerns of human security, rights andentitlements as well as engaging with the state and questions ofgovernance in linking the disaster-climate change-developmentcontinuum?

Vulnerability is multidimensional,

differential, scale dependent and

context specific. It is a dynamic

concept that portrays a changing

degree of susceptibility to loss by

exposure to disaster by individuals,

communities and systems



or physical mobility, and lack of self-autonomy.

Vulnerabilities include poverty,though not all vulnerable people arepoor. Vulnerability is exacerbated bysocial exclusion, whether due tocaste, gender or by virtue of beingindigenous. Women, who often lackaccess to or control over resourcesand opportunities, young girls, oldpeople, and those who arephysically or mentally challengedare particularly vulnerable.

Measuring vulnerability is complex– the what, how, by and for whomaspects have to be factored in. Thepredictive analysis only focuses oncurrent circumstances rather thanprospects for recovery. Measuringvulnerability must take into accountquantitative (secondary goals) andqualitative (narratives of change)indicators. Several models havebeen developed, including disasterrisk index projects at the globallevel, hazard or risk mapping andeconomic analysis at the national orregional level, and assessingparticipatory capacities andvulnerability tools at the communitylevel. Measuring vulnerability,therefore, requires an intersectionalanalysis and multidisciplinary tools.

Addressing vulnerabilityThe core challenge for developmentpolicy is to build the adaptivecapacity and resilience of disaster-prone communities. While someadaptation is self-driven andincludes migration, social networksand individual risk-taking capacity,households and communitiesrequire access to skills, assets and

other resources necessary to adaptto ongoing change processes and torestructure their livelihoods.

The role of civil society actors,including non-governmental andcommunity-based organizations, isimportant in building the adaptivecapacities of communities. Someinsights from water-stressedenvironments are cited below, forwhich a process approach was usedto enable and empower thecommunities:� Supporting livelihooddiversification (non-farmenterprises, skills, access to markets)� Facilitating access to resources(credit, loans and insurance, oftenthrough SHGs)� Developing physicalinfrastructure (housing, communityshelters, participatory risk mapping)� Facilitating community naturalresource management institutions

ChallengesDisasters need to be treated as anopportunity for transformingunequal power relations andstructures. The operationalizing ofthe concept of vulnerability mustuse simple and practical indicatorsto link science and society. There isa need to move beyond community/family approaches to the householdas a disaggregated unit of analysisand understand gender andgenerational inequity. Humansecurity and human rights must beaddressed. Lessons learned,strategic partnerships, and advocacymust be promoted while main-streaming vulnerability discourse indisaster management policy.

Disasters need to be treated as an

opportunity for transforming

unequal power relations and

structures. The operationalizing of

the concept of vulnerability must

use simple and practical indicators

to link science and society



Successful adaptation to climate change inSouth Asia critically depends on regionalcollaborative research for interdisciplinarywater systems knowledgeJayanta Bandopadhyay, Indian Institute of Management (IIM)

The economic importance ofthe Himalayan watersystems for South Asia is

well established. Hydrologicalchanges expected in these watersystems due to climate change isalso becoming increasingly clear.The draft papers of the FourthAssessment Reports of theIntergovernmental Panel on ClimateChange have strengthened theearlier assessment that thehydrological changes caused byclimate change on the Himalayanwater systems will be quitesignificant – various scenarios haveindicated the extent of such changes.

The Himalayan water systems feedseveral large international rivers,notably the Brahmaputra, theGanges and the Indus. Acomprehensive, eco-hydrologicalunderstanding of the water in theselarge river basins has beenobstructed by hydro-nationalisticapproaches so characteristic of thecountries sharing Himalayan rivers.This has led to imposition of

several initiatives toward this, butwith little effect. There is a criticalrole for a systemic knowledge baseand collaborative development ofthe Himalayan rivers. Adaptation toclimate change cannot be addressedsuccessfully without regionalcollaboration in water systemsresearch.

Such a knowledge base wouldcreate diverse possibilities foradapting to climate change. Thelack of interdisciplinarity in theindividual national management ofthese rivers has, for example, led tosuboptimal use of the recurringfloods and to viewing extremeevents only as disasters. Both floodsand droughts in South Asia areexpected to intensify and becomemore frequent with climate change.In the context of the Himalayanrivers, an ecological understandingof floods and droughts is requiredto manage and adapt to them, and,for this, regional, multinationalcollaboration and research isnecessary.


restricted access to hydrological datawhich in turn has led to astagnation of comprehensivescientific knowledge on these riversystems. Based on a narrow andconfidential knowledge base,governments in South Asia haveundertaken major structuralinterventions in these rivers, andmany regional water transferprojects between these rivers arebeing discussed and proposed ofwhich the interlinking of rivers inIndia is one.

The present gaps in thecomprehensive knowledge base onthese rivers have, by itself, been thereason for friction and disputes overthe river waters among the differentgovernments. In order to managethese rivers toward achieving theMillennium Development Goals,the governments of the region willhave to undertake collaborativeresearch and joint action, and theissue of adaptation to climatechange needs to be internalized insuch an action. There have been


Livelihood services for rural migrants inSouth RajasthanSudhir Katiyar, SUDRAK (Aajeevika Bureau)

Large-scale migration is areality. It goes largelyunreported and there is no

verified census of rural to urbanmigration. Official policy onmigration does not exist. Althoughshort-term migration for wage laboris rapidly emerging as the dominantmode of labor in the unorganizedsector, it remains an area of neglectin development policy. The povertyalleviation strategy of the staterevolves around natural resourcedevelopment and promotion of off-farm income generation activities inrural areas. Urban public opinion isdownright hostile to the plight ofmigrant workers.

South Rajasthan lies at one end of atribal belt that stretches fromKhandesh in Maharashtra throughGujarat and Madhya Pradesh. It isinhabited mainly by the Bheel tribe.Most of the area is hilly with verylittle fertile land and no coastal area.The only activities are mining andtourism. Livelihoods are understress due to a poor agriculturalbase: small land holdings, semiaridconditions, and a recent history ofheavy deforestation. There isinadequate fodder or water forlivestock, and pastures aredegraded. Employment outside thefarm sector in the region is

negligible – seasonal migration forwage labor has become an annualfeature.

Migration is no longer a response toextremes such as drought. It isestimated that there are 80 millionseasonal migrants every year. Adultmales are the primary migrants;however, whole families alsomigrate every year with children intow. These migrants undertake low-end, low-value, unskilled, hard andrisky manual labor in farms,factories, ports and urban centers.They are poorly paid, have no jobstability or social security, and workthroughout their productive adultlife before going back to their

Migration is no longer a response

to extremes such as drought. It is

estimated that there are 80 million

seasonal migrants every year



Low value, unskilled manual labor in urban centers

Migration factsIn a study of 810 households in68 villages across SouthRajasthan, almost 75 percent ofhouseholds reported migration.Migration generated 41 percentof household income comparedto 18 percent from agriculture.

Migration is rapidly increasingamongst children, who drop outof schools in order to work – itis estimated that hundreds ofthousands of adolescents, boysand girls, are currentlyemployed as migrant labor.

villages. They live in crowdedshelters with inadequate toilets,water and health facilities. Theywork long hours, suffer from loss offreedom, and have nocommunication with their families.They frequently get into debt, areexploited by intermediaries,employers and contractors, andhave no legal recourse.

In the textile markets of Surat, forexample, migrants are engaged at alllevels as traders, wholesalers,agents, salesmen, accountants, laborcontractors and workers who cutand drape raw cloth. Largenumbers of tribal adolescents arealso employed in this textile market.In the cotton fields of NorthGujarat, it is estimated thathundreds of thousands ofadolescents aged 8 to 14 years, bothgirls and boys, are employed forthree-month periods during whichthey live in the fields. Recruitmentis carried out by local agents invillages who offer cash advances toparents in exchange for theirchildren’s labor. There is significantmovement of child labor from allborder areas across this tribal belt.

The Aajeevika Bureau was formedin early 2004 with a small start-upgrant as an institutional response tothe high level of migration amongthe rural poor in Udaipur district inSouth Rajasthan. Aajeevika Bureau’soverall mission is to substantiallyupgrade and improve labor- andmigration-based livelihoodopportunities for rural poorhouseholds in South Rajasthan. Itsmajor areas of involvement are:� training and upgrading unskilled

migrant youth in new and highervalue skills so that they are able toearn higher incomes;� placement and job search servicesfor migrants and laborers;� registration, preparation,tracking and photo-identity servicesfor migrants;� financial services for seasonalmigrants;� destination services, particularlyfor migrants in Gujarat; and� research into migration patternsand processes across various blocksof South Rajasthan in order tobetter define interventions at scale.

Seven hundred migrants areregistered with Aajeevika Bureau forwhom photo-identity cards havebeen provided.

Lessons learned� Migration is growing and needsurgent attention� Rapid training of unskilledmigrants is possible� Migrants need information,counseling and placement assistanceto get started in new labor markets� Social networks in newoccupations are essential to enablemobility� Schooling and improving thelearning environment can helpprevent early child migration� The number of organizationsworking with migrants needs toincrease rapidly and these shouldbroaden the scope of their activities� Migrant laborers needgovernment support and socialsecurity measures for long-termprotection.



Migration contributes significantly tohousehold income

Aajeevika Bureau’s migration photo-identity card

Adaptation research: scalar anddisciplinary aspectsPreety Bhandari, The Energy and Resources Institute (TERI)

The first generation of adaptation research was very linear in natureand focused primarily on impacts, beginning with development ofemission and climate change scenarios, leading to determination ofimpacts and identification of adaptation options. It resulted in a macro-level assessment of regions, resources and sectors impacted, and abroad analysis of policy options. This, however, has evolved into anapproach where vulnerability is central, and adaptation is considered inresponse to economic, social, political and environmentalcircumstances, requiring a multidisciplinary analysis as also a finerresolution of assessments.

In this context, The Energy and Resources Institute (TERI), Centrefor International Climate and Environmental Research (CICERO), andInternational Institute for Sustainable Development (IISD) undertook astudy based on the concept of double exposure, mapping the dualimpacts of climate change and economic globalization on differentregions in the country at the macro level and different social groups atthe micro level. After developing the vulnerability profile of the agriculturesector in the country, with the district as the spatial dimension, five casestudies were conducted in “doubly exposed” regions to assess copingcapacities and their determinants thereof. This work and methodologyis now being honed further to assess vulnerability of and adaptationoptions in two drought-prone and one flood-prone region of the country.At another level, TERI has also initiated research on the role of a specificinstrument, that is crop insurance. The relevance of weather-indexedinsurance to protect the overall income of farmers, improve their riskprofile and enhance access to credit, are issues that are currently beingexamined in the context of vulnerability to climate variability and climatechange. A presentation of key results of these studies will highlight themulti-pronged approach required to further adaptation research.

ABSTRACT

The relevance of weather-indexed

insurance to protect the overall

income of farmers, improve their

risk profile and enhance access to

credit, are issues that are currently

being examined in the context of

vulnerability to climate variability

and climate change



Adaptation research must beimpact-driven and use amultidisciplinary approach.

Like many research agencies in theworld, The Energy and ResourcesInstitute (TERI) has done someadaptation research; two studies arecomplete.

The first generation of adaptationresearch was linear in nature andimpact-driven. It focused onimpacts, beginning with emissionsand climate change scenarios,leading to a determination of thephysical impacts and identificationof adaptation options. It resulted ina macro-level assessment forregions, resources and sectorsaffected and a broad analysis of thepolicy options. The response tothese impacts is technology-based,market-driven, legislative andinstitutional.

This has evolved into the secondgeneration of adaptation researchwhere vulnerability is central andadaptation is considered in responseto economic, social, political andenvironmental circumstances,requiring a multidisciplinaryanalysis and a finer resolution ofassessments. Adaptation requires aclose look at the complex balancebetween human and environmentalinfluences, across multiple spatial,functional and temporal scales.

TERI, the Centre for InternationalClimate and EnvironmentalResearch (CICERO) and theInternational Institute forSustainable Development (IISD)undertook a study based on theconcept of double exposure,

mapping the dual impacts of climatechange and economic globalizationon different regions in India at themacro level, and different socialgroups at the micro level. Afterdeveloping the vulnerability profileof the agriculture sector in thecountry, with the district as thespatial dimension, five case studieswere conducted in “doublyexposed” regions to assess copingcapacities and the determinantsthereof. The micro-scale case studieshighlight those who are morevulnerable, the extent ofvulnerability, and what makes themmore vulnerable.

The elements of vulnerabilityprofiles are adaptive capacity,climate and trade sensitivity thatdetermine vulnerability to climatechange and globalization.

Sen’s entitlements and capabilitiesapproach introduces a householdperspective on vulnerability wherethe main contribution focuses onvulnerability of individuals andsocial groups, where vulnerability

Adaptation requires a close look at

the complex balance between

human and environmental

influences, across multiple spatial,

functional and temporal scales




arises largely from differential accessor “entitlement” to resources anddoes not solely stem from anindividual’s cash income but isbased on other factors such asdevelopment.

Studies at Anghora show that accessto irrigation and better availabilityof electricity, health facilities, accessto markets (Kota) and transportinfrastructure enhance copingoptions. At Lakhakheri Umat,which is dependent on rainfedagriculture, it was observed thatsemi and medium farmers wereforced to sell livestock – in theseareas, livestock is wealth, landlesslaborers migrated every season, andsmall and marginal farmers resortedto coping measures that weretemporary. There was no long-termadaptive solution.

Adaptive capacity of communities isdetermined by access to resources –economic and technology,information and skills,infrastructure and institutionalsupport. Financial resources increaseadaptive capacities while the lack ofresources limits adaptation options.Lack of technology also limits therange of potential adaptationoptions, and less advanced regionsare less likely to develop andimplement technologicaladaptation. Access to informationincreases the likelihood of timelyand appropriate adaptations whilethe lack of informed, skilled andtrained personnel reduces adaptivecapacity. A variety of infrastructurecan enhance adaptive capacitythrough a larger number of options;however, the character and location

of infrastructure can also affectadaptive capacity.

Well-developed social institutionshelp reduce the impacts of climaterelated risks and advocate policyand regulations that enhanceadaptive capacity. An importantfactor in building adaptive andresilient communities is for thepublic policies, which influence thebehavior of communities, tothemselves be adaptive and resilientto uncertainty, change and surprise.Adaptive policies must have theability to be effective under a rangeof anticipated conditions andrespond well to unanticipatedcircumstances and longer-termchange. While policies andstrategies are important, theimplementation and how thevarious actors deal with complexityis also very important.

The insights from an Indian casestudy research show the evolutionof crop insurance from experimentalindividual scheme in 1972, to pilotcrop, comprehensive crop,experimental crop, and a NationalAgriculture Insurance Scheme tofarm income insurance schemes andweather-indexed insurance.Insurance was first linked to short-term credit at a 2 percent premiumwith a subsidy for small farmers andcovered basic rainfed food grains.There was very poor coverage offarmers and a very low premium toclaim ratio. After economic reformsin 1998, the National AgricultureInsurance Scheme had higherpremiums with the subsidy forsmall farmers being phased out andan option of covering higher risk at

Adaptive capacity of communities

is determined by access to

resources – economic and

technology, information and skills,

infrastructure and institutional

support. Financial resources

increase adaptive capacities while

the lack of resources limits

adaptation options




higher premiums. This wasextended to non-loanee farmers andincluded commercial crops.

However, coverage and financialviability still remain as issues. Thefarm income insurance scheme forwheat and paddy will replace theNational Agriculture InsuranceScheme. Weather-indexed insuranceinvolving microfinance institutionsand SHGs through village Internetkiosks are being planned.Traditional crop insurance helpsdeal with a range of weatherconditions though the coverage.Financial viability, adverse selectionand delays in payment of claims aredifficulties, and small and marginalfarmers are unable to access it.Weather-indexed insurance, which isavailable in some countries,minimizes adverse selection,eliminates the need to draw up andmonitor individual contracts,protects overall income rather thanyield of specific crop, improvesfarmers’ risk profile and access tobank credit, and settlement ofclaims is fast. The role of microfinance institutions is important inweather-indexed insurance.

From a development perspective,addressing future risks involvesaddressing today’s vulnerability toclimate variability and planning forimpacts to enhance the resilience ofpeople, communities, countries andregions.

The development agenda forclimate change must establishresearch and development priorities,fortify current coping capacity, useinsights gained from case study

approaches, understanding impactsat individual and community levelsrather than at sectoral or regionallevels, and designing appropriatepolicies that enhance the adaptivecapacity at the individual andcommunity level and the relevantroles played by voluntary agencies,corporations and the government.

This work and methodology is nowbeing honed further to assessvulnerability and adaptation optionsin two drought-prone and oneflood-prone region of the country.At another level, TERI has alsoinitiated research on the role of aspecific instrument – cropinsurance. The relevance of weather-indexed insurance to protect theoverall income of farmers, improvetheir risk profile and enhance accessto credit are issues that are currentlybeing examined in the context ofvulnerability to climate variabilityand climate change. These studieshighlight the multi-prongedapproach that is required to furtheradaptation research.

Insurance and related financial

mechanisms are essential tools to

assist communities in adapting to

climatic variability and change




1. Migration as adaptation strategy. Migration is a corestrategy communities and households use for adaptingto problems within local livelihood systems andresponding to emerging opportunities in other areas.There are different types of migration on different scalesand resulting from differing causes. The factors underlyingmigration are often complex. In some communities,migration is a tradition. In other regions, people migrateeither for better lives or for livelihood sustenance. Majordistinctions exist between migration that comes aboutas a response to new economic or other opportunitiesand forced migration. In Rajasthan, there are areaswhere agriculture is no longer viable and so peoplemigrate. Migration also expands the scope ofadaptation through livelihood diversification. It istherefore important to study the causes of migration.Migration occurs from rural to rural as well as rural tourban areas and migrants tend to disregard nationalborders, some of which are only 50 years old, in theSouth Asian region. Therefore, strategies to cope withmigration will have to cut across borders.

2. Policy and planning on migration. Planning toaddress the issue of migration needs to take into accountall the factors leading to migration. Official estimates ofmigration are significantly lower than actual numbers.Urbanization policies also need to be examined – thegovernment should consider establishing suburban townsto accommodate migrants.

3. Adaptation as evolutionary process. At the local level,the macro implications of climate change are not wellunderstood. Therefore, strategies for supportingadaptation need to evolve according to needs as theyemerge at local levels.

4. Stages of adaptation research. The first generationof adaptation research has generally taken a top-downapproach and focus has been on identifying the impactsof climate change on regions. This generation focusedprimarily on macro- or regional level issues. As a result,understanding of adaptation issues across communitieshas been relatively weak. Important aspects at the locallevels include changes in the natural system impactingcommunities, location of human settlements andlivelihood issues. Differential vulnerability and adaptationstrategies across socioeconomic, gender and communitygroups are also important. A second-generation approachto adaptation using bottom-up research methods andperspectives is now beginning to emerge. Ideally, the twoapproaches need to be integrated.

5. Developing effective adaptation strategies. Both newand traditional knowledge drawn from diverse situationsneed to be tapped for the development of effectiveadaptation strategies. Criteria for evaluating theeffectiveness of adaptation strategies also need to bedeveloped, particularly in relation to longer-term aspectsthat are designed to reduce risk. Most current developmentand disaster relief programs focus only on immediate“tangible” indicators that may have little to do with longer-term adaptation objectives. For example, after the tsunami,the only concern was “how many lives did you save?”Nobody asked whether or not the risks facing survivorshad been reduced in the process of rebuilding livelihoods.Unless adaptive responses are supported and criterianecessary to evaluate them are prepared, focus will remainon short-term indicators that only measure immediaterelief. Sustained pressure from the internationalcommunity and professionals is needed to address suchissues when dealing with water resources.


DAY–1

Session 3

Concepts and Insights on Adaptation – Views from the FieldCHAIR: Ajaya Dixit, Nepal Water Conservation Foundation (NWCF)

FLOOD CONTROL WHERE TECHNOLOGY GETS STUCK: A CASE STUDY OF

THE GANGA–BRAHMAPUTRA BASIN OF INDIA

Dinesh K. Mishra, Barh Mukti Abhiyan

RESPONDING TO WATER SCARCITY AND FLOODS

Ajaya Dixit, Nepal Water Conservation Foundation (NWCF)

EXISTING COPING STRATEGIES TO CLIMATE CHANGE AND VARIABILITY: FINDINGS

FROM THE NAPA STAKEHOLDER CONSULTATION WORKSHOPS

Mozaharul Alam, Bangladesh Centre for Advanced Studies (BCAS)

WHERE IS BANGLADESH IN TERMS OF CLIMATE CHANGE?Johny M. Sarker, Department for International Development (DFID), Bangladesh


Page No

44

45

47

49

50

Floods of differentmagnitudes have occurred indifferent locations in India.

In Tamil Nadu, Gujarat andMumbai, they are consideredextreme events. In Bihar, however,floods occur every year and peoplehave learned to cope. Structuralinterventions (there are 8 measures)used for flood control include:� embanking of rivers;� construction of ring bunds alongsettlements;� raising the ground level ofsettlements;� re-sectioning and increasingdischarge carrying capacities ofrivers;� construction of large dams;� straightening of meanderingrivers and increasing flow velocity;� inter-basin transfer; and� development of detention basins.

Unfortunately, all theseinterventions have a hiddenenvironmental cost. Politicianscreate the impression that oncethese interventions are made, thearea will be freed of problems.

The adverse impacts of floodcontrol become visible much laterand the mistakes are often repeatedelsewhere. Sometimes when thetechnology fails to meet the

aspirations of the people, regulatorymethods to limit habitations anddevelopment of infrastructure aresuggested. Enforcing regulations arenot taken up seriously and the floodproblem persists. It also defines theregulatory methods of minimizingthe impact of floods.

People have developed their owncoping mechanisms to deal withfloods, over generations, as naturalfloods have been an annual event.Using technology alone to deal withfloods will not help. The solution isto incorporate local knowledge andexperiences into scientifictechniques and methods.

Contrary to common belief,farming started on hill slopes whererainfall met requirements for crops.As perennial sources of water werefelt necessary for farming, peoplemoved closer to rivers. Fishing wasan additional benefit. As farmingalong rivers gained momentum, theland became vulnerable to floods.While normal floods helped thecrops, the abnormal ones harmedthem. This led to the search fornon-monsoon crops. These cropsyielded a good harvest as the riverwould revitalize the land byspreading fresh silt every yearduring the rainy season and the

Flood control where technology getsstuck: a case study of the Ganga-Brahmaputra Basin of IndiaDinesh K. Mishra, Barh Mukti Abhiyan

moisture content of the soil wouldbe enough to meet the waterrequirements of the cropsthroughout the year. Thus, in theyears of abnormal flooding, anydamage to the monsoon cropswould be suitably compensated by arich harvest of winter crops.

Reckless denudation of forestscleared the flow path of rainwaterand it took less time to reach thestreams. The grip of trees and plantson the adjoining soil weakened,making its erosion easier. Thesubsequent deposition of theeroded soil in the riverbeds madethem shallower, and this reducedthe discharge carrying capacity ofthe rivers. They started spilling overtheir banks more frequently andfloods became a common feature.

Preventive measures are dependanton the political will of the time. Ifpoliticians do not want to adopt acertain measure in a certain area atany given time, engineers devisevalid reasons for the decision. Thesolution probably lies in combiningthe experience of people living inthe plains who have developedcoping mechanisms to the floodswith technology, and it is hopedthat someday this combinedstrategy will be taken.



Responding to water scarcity and floodsAjaya Dixit, Nepal Water Conservation Foundation (NWCF)

Disasters caused by toolittle and too much waterare unresolved problems

of development. There is a linkbetween disasters and conditions insociety during “normal times.”Understanding this link is essentialfor identifying the causes and effectsof disaster – and how to deal withthe situation created by waterscarcity as well as that by its excess.If we understand and give emphasisto the link between disasters andconditions in society during“normal times,” there is greaterroom for the strategy ofintervention to be appropriate tothe situations of both floods andscarcity. All water related activities,at the regional and community levelshould heed to mitigating and



Reservoir for Flood Moderation

preventing stress caused by water.Such an approach should have abearing on identifying priorities forsecuring development anddetermining how these are to becarried out. We need to know moreabout people who are victims ofsuch disasters. Their position insocial, political and economicconditions in normal times isimportant to understand howscarcity of water and floodsaffect them.

In order to control floods, theHimalayan Ganga water has to bestored in mountain dams andreservoirs built for floodmoderation. Most reservoirs are inthe hills; in the south, reservoirs arenot possible and embankments can

If we understand and give

emphasis to the link between

disasters and conditions in society

during “normal times”, there is

greater room for the strategy of

intervention to be appropriate to

the situations of both floods and

scarcity


be and are constructed. However,this does mean that floods areeliminated, and yet, flood water hasto somehow flow to the sea. In1993, the Bagmati Barrage wasbuilt, designed for 8,000 cubicmeters of water per second. At thattime, various figures were studied.A barrage design, which had beenprepared for 11,000 cubic meters persecond was not used as the figure wasconsidered an outlier. There followeda flood with a flow of 15,000 cubicmeters per second which the barragecould not withstand.

Social realities determine whycertain groups are more vulnerableto scarcity and excesses of waterwhile others are less vulnerable.Who has access to power andresources of various types, andthereby who has more access tomaterial benefits, and who has morecontrol over their own lives, is amajor determinant in deciding theextent of vulnerability. Theserelationships are defined by socialinstitutions. These can be formallystated between individuals, withinhouseholds and families, betweenclasses and groups, and between othersocial organizations. They could beinformal, based on traditionalpractices. Inequalities betweenclasses, ethnic groups and gendercategories are often a result of, andreinforced by, these socialinstitutions; they do not easilygo away.

It is important to analyze theserelationships in society in normalconditions to understand the degreeof vulnerability of different sectionsof the population to disasters. For


effective long-term management ofrisks, we must develop strategies tofirst understand how theseinstitutional functions interrelatewith each other. This can help us tobring about gradual changes tounderstand why people becomevulnerable, and how it could bereduced. Institutional issues lie atthe root of strengthening thecommunity’s capacity to cope withthe situation of water scarcity andfloods. Such understanding shouldbe part of any intervention toensure security from scarcity ofwater as well as flood.

Due to their disruptive effects onsocieties, the situations of waterscarcity and floods provideopportunities for changing existingrelationships and to make basicchanges in the way we tackle suchproblems. Such situations also offeropportunities to develop newinstitutional structures throughwhich disadvantaged groups can bebetter prepared to the extreme watersituations.

Kulekhani Sediment

Institutional issues lie at the root of

strengthening the community’s

capacity to cope with the situation

of water scarcity and floods


The Least DevelopedCountries (LDCs) arepreparing a National

Adaptation Programme of Action(NAPA) as a response to thedecision of the Seventh Session ofthe Conference of the Parties of theUnited Nations FrameworkConvention on Climate Change(UNFCCC). The annotatedguideline prepared by the LDC’sExpert Group is being used forpreparing the NAPAs, whereinvolvement of differentstakeholders, including amultidisciplinary team of experts,government and non-governmentagencies and local level people hasbeen suggested as an integral part ofthe preparation process. TheBangladesh NAPA preparationprocess has organized four sub-national stakeholder consultationworkshops as well as a nationalstakeholder consultation workshopfor prioritizing suggested projectsto address adverse effects of climatechange. In addition, sectoralworking groups have organizedmeetings with various agencies onhow to integrate adaptationmeasures into sectoral policiesand plans.

The primary aims of the sub-national stakeholder consultation

workshops were to:� identify problems related toweather, climate and variability;� identify existing copingstrategies/measures to reduce theserisks and impacts;� see how existing copingstrategies/measures can be improvedin the future; and� identify new strategies/measuresthat can be undertaken in future ifexisting problems are aggravated.

The key findings gathered fromthese workshops, meetings and thenational consultation include anunderstanding and knowledge ofdifferent stakeholders on climatechange and barriers for integrationinto sectoral policies and plans.Future research questions on theeffectiveness of existing copingstrategies and measures under achanged condition were alsohighlighted.

ConstraintsAt the sub-national stakeholderconsultation, problems wereenumerated referring to the erraticnature of rainfall (excessive anduntimely) and temperaturefluctuations, irregularity in seasonalchange, the duration of changes,water logging, early or otherwiseuntimely floods, reduction in

Existing coping strategies to climatechange and variability: findings from theNAPA stakeholder consultation workshopsMozaharul Alam, Bangladesh Centre for Advanced Studies (BCAS)


The Bangladesh NAPA preparation

process has organized four sub-

national stakeholder consultation

workshops as well as a national

stakeholder consultation workshop

for prioritizing suggested projects

to address adverse effects of

climate change

freshwater flows, salinity intrusion,and fluctuation/variation in soil andwater salinity. Other problemsidentified were: cyclones, stormsurges, tidal floods, lack of access tosafe drinking water due to salinity,drought, increased acidity of soiland water, sedimentation inriverbeds, flash floods, localizedinundation/floods (due to acollapsing embankment or dam orto sedimentation in the riverbed),intense fog in winter.

Coping strategiesExisting coping strategies include:shrimp farming (saline andbrackish), poly-culture (shrimp andrice farming), salt panning,collecting drinking water over long

� Locals are able to identify problems related to climate variability

and extremes.� Communities know the benefits and limitations of existing

coping strategies and measures.� Suggestions for improving existing coping strategies and measures

are also valuable, but making concrete suggestions is difficult.� Communities have limited knowledge of how to cope when

problems are aggravated.� Sub-national stakeholder engagement and consultation was

found a very good approach to address context-specific problems.� Engagement of different categories of stakeholders (men, women,

farmers, non-governmental and government agencies) is necessary.� Differentiation of other environmental and development problems

from climate related problems were key difficulties during the sub-

national stakeholder consultations.� The role of a facilitator is crucial for stimulating group

discussions and to keep it on track.

distances, rainwater harvesting,keeping land fallow, migration,construction of polders orembankments, afforestation, takingshelter just before a cyclonefollowing the signals, practicingfloating agriculture during floodingor the monsoon season, developingof saline tolerant species, establishingshallow tubewells for irrigation toreduce the impact of salinity, plantinga variety of crops based on thesituation, supplementary irrigationand drainage depending on seasonand temperature, artificialtemperature management such asthe use of wet jute bags over ashade, and exhaust fans (to simulatehot weather) or electric bulbs (tocreate heat during the winter).

Lessons learned


Lessons to belearned� Improving the effectivenessof existing coping measuresand strategies to addressboth present and futureproblems.� Integrating local levelneeds in planning and projectdevelopment.� Since impacts are cross-sectoral, measures also haveto be cross-sectoral for whichcoordination andcollaboration with governmentand non-government entitieshas to be improved.


Communities know the benefits

and limitations of existing coping

strategies and measures

The South Asian region –Bangladesh in particular –is most vulnerable to

climate change. Bangladesh has apopulation of 140 million peopleliving on 147,570 sq km of land,most of which consists of low andflat lands. With a growth rate of 5percent over the past 10 years,poverty is widespread. The loweconomic strength, lack ofinstitutional capacity and a highdependence on the natural resourcebase makes Bangladesh especiallyvulnerable to climate change.

The most damaging impacts ofclimate change relate to floods,salinity intrusion and drought. Ifthere is a 1.5 meter rise in the sealevel, 17 million people will beaffected. The people who live alongcoastal areas and on islands areamong the poorest, and thelivelihoods of the majority aredependent on water. TheBrahmaputra River rises afterrainfall and sedimentation occurs.

Climate change relatedvulnerabilities in Bangladeshinclude water resources, sedimen-tation and riverbed rise, the coastal

zone, crops, agriculture and foodsecurity, forestry and biodiversity.

There is a lack of awareness ofclimate change issues. Climatechange impacts are not incorporatedinto the planning or responseprocess, and there is a lack ofadequate knowledge, tools andmethodologies. Priority actions atthe country level are to increasenational level awareness on climatechange and build the government’scapacity to coordinate climatechange issues, integrate adaptation,and implement projects withinternational responses. Bangladeshhas signed the UNFCCC. TheDepartment of Environment hasinitiated a climate change cell thatacts as the secretariat andmainstreams policy in variousdepartments. A NationalEnvironment Committee has alsobeen set up. Risks due to climatechange and sedimentation arehighlighted within the context ofhow these impact the local level.The National AdaptationProgramme of Action (NAPA) is anessential document thatencapsulates issues and challenges.

Where is Bangladesh in terms ofclimate change?Johny M. Sarker, Department for International Development (DFID), Bangladesh

Climate change related

vulnerabilities in Bangladesh

include water resources,

sedimentation and riverbed rise,

the coastal zone, crops,

agriculture and food security,

forestry, and biodiversity



1. How are stakeholders involved in the NationalAdaptation Plans of Action in Bangladesh? InBangladesh, stakeholders in the NAPA process includegovernment agencies, community-level organizations,farmers’ groups and women’s groups. In the northeastand southeast of Bangladesh, tribal groups are alsoinvolved. Overall, specific efforts have been made to ensurebroad-based stakeholder involvement and this has beencentral to the success of the NAPA process.

2. What are some of the key adaptive response toclimate change in coastal areas of Bangladesh? Thedevelopment of floating agricultural systems is one. Thisfirst began 40 or 50 years ago when people startedworking nearer coastal areas. In the southern part ofBangladesh, different agricultural activities are promotednear the coast to reduce climate related risks. Water loggingis, however, a problem that will be exacerbated by climatechange, particularly the impacts of sea level rise. Thecoastal policy has sections that deal with climate change.

3. Substantial experience exists within communitiesin Nepal for coping with environmental contexts. Thisexperience is relevant for responses to climate change.In Nepal there is a vast difference between conditions inthe hills and the plains. As a result, the strategies localcommunities follow to adapt their livelihood systems tolocal conditions is very different. Challenges include steepslopes (which contribute to erosion and sedimentation),extreme events (many of which cross national boundaries),and highly variable patterns of rainfall. Points of particularsuccess in developing strategies for “coping with” or“adapting to” this variability include traditional “variabilityadapted” water and irrigation systems, cultivation of fruits,and use of renewable energy sources (particularly micro-hydropower).

4. Collaboration is essential to address the diverserequirements between communities in adaptation. Thedefinition of disaster is relative. Floods in Bihar and

drought in Rajasthan are regular events. Livelihoodsystems have been developed that respond to theserecurrent events while in other areas similar events wouldrepresent true “disasters.” As a result, collaborationbetween communities and external actors is required toidentify adaptation needs even where the physical natureof disruption is the same. In addition, at the local levelstrategies that support adaptation within differentcommunities generally require cooperation andcollaboration. Fishermen and paddy growers, for example,have different water needs, and the needs of one are oftendetrimental to the other. Cooperation and collaborationis the only way toward local solutions. These localsolutions can be supported through scientific work thathelps identify practical alternatives when strategies conflict.

5. Local systems. Communities often remain in disaster-prone areas for a variety of basic reasons including lack ofaccess to alternative land and the presence of livelihoodactivities that can only occur in such areas. In manysituations these communities have developed effectivestrategies for adapting their livelihoods to local conditions.Such systems of coping or adaptation must be studiedand, where appropriate, replicated. Experiencesthroughout the country and across the region must bestudied, documented and shared.

6. Regional policies are required that supportadaptation. Climate change is likely to increase theoccurrence of extreme events such as floods. Respondingto this requires changes in policies for early warning andland use. Many issues, such as flooding in the Ganga Basin,cross one or more national boundaries. Policies that enableearly warning systems to function at a basin level areessential. Such policy reforms would address immediateproblems as well as those associated with climate change.Floods, for example, occur due to a rise in water levels,glacial lake outbursts and snow melting. Communicationis vital and governments must realize the value of earlywarning systems.




DAY–2

Opening Session

Keynote AddressADAPTATION RELATED ACTIVITIES IN INDIA

Dr. Prodipto Ghosh, Secretary, Ministry of Environment and Forests (MoEF)

FROM IMPACTS TO DECISION SUPPORT: THE EVOLUTION OF THE EPA GLOBAL

CHANGE RESEARCH PROGRAM

Mr. John Furlow, US Environment Protection Agency (USEPA)

Page No

52

54


Vulnerability and adaptationis a challenge forsustainable development

that is often neglected in globaldebates over climate change. Thefocus is mainly on mitigation – thatis reductions in greenhouse gasemissions. The political level shouldlook at devising means andbroadening the scope ofvulnerability and adaptation(V&A). To do this meaningfullyrequires technology, resources andpolitical capital. V&A cannot beseparated from sustainabledevelopment and this is part of theglobal challenge.

Occupations of the poor aredependent on climate and,therefore, they are the mostvulnerable to climate change.Marginal farmers, the vast majorityof the population in India, aredependent on land, precipitationand forest resources that are affectedby climate change. Coastal areas areeven more vulnerable. The capacityto adapt to climate change thereforemust be strengthened.

During the development processthere is typically a progressivechange. For better livelihoods, thepoor move out of primaryoccupations such as extraction of

natural resources, and into industry,transport and advanced methods offarming among others. As thismovement gains ground,vulnerability is reduced.

Direct measures for supportingadaptation and reducingvulnerability include actions such asthe protection of water resources,building of cyclone shelters, andpreventing spread of vector-bornediseases. Support for such coursesof action are already in place.However, there is a huge gap in theamount of resources spent onmitigation and the amount used foradaptation, and the challenge is toincrease development resources toaddress adaptation. Strategies forsupporting adaptation need tostrengthen and build on existingactivities.

Globally, the Clean DevelopmentMechanism (CDM) has becomeoperational. Mechanisms such ascarbon markets have beendeveloped that enable technologyand financial resources from theprivate sector to be harnessed formitigation. It is much more difficultto harness non-governmentalresources for financing directmeasures to support adaptation.Building support for investments in

Adaptation related activities in IndiaDr. Prodipto Ghosh, Secretary, Ministry of Environment and Forests (MOEF)

During the development process

there is typically a progressive

change. For better livelihoods, the

poor move out of primary

occupations such as extraction of

natural resources, and into

industry, transport and advanced

methods of farming among others.

As this movement gains ground,

vulnerability is reduced

D A Y – 2 : O P E N I N G S E S S I O NKEYNOTE ADDRESS


adaptation is also complicatedbecause climate models are unableto reliably quantify specific changein climate parameters, especially ona disaggregated scale. This alsomakes it difficult to estimate theincremental costs of adaptation.

What has India been doing tosupport adaptation? India, andSouth Asia, have a high degree ofnatural variability of climate, andclimate sensitive occupations aredependent on the annualmonsoons. These often differ inquantity of precipitation, its timing,and spatial distribution. There arevarious existing programs whichseek to reduce dependency on themonsoon, address drought (thereare large drought proofingprograms) and its impacts onagriculture, control vector-bornediseases and provide cyclone earlywarning and protection. Adaptationto climate change can beincorporated into these programs ata marginal cost. New programs thatfocus on climate variability andchange will require time andsubstantial financial resources.

COP-11 identified areas of dialogueto address scientific, economic,

social and political challenges.Developing countries shouldcontinue to focus on vulnerabilityand adaptation within the broadconcept of sustainable development.Ultimately, legal and financialcommitments supportingadaptation will be required.

Constraints and issuesTraditional coping strategies: Inresponse to a question on the roleof traditional coping mechanisms,Dr. Ghosh responded that peoplehave various adaptive strategiesdeveloped over time. Traditionalstrategies for coping with naturalvariabilities are not, however,enough to address climate change.Traditional strategies relate totraditional occupations. As peoplemove out of traditional occupations(for better lives) these strategies loserelevance.

Policy perspective on adaptation:India has a draft environmentpolicy. There is a chapter onadaptation. It has broad approachesto climate change. Adapting newstrategies does not mean additionalprograms – it is more viable toincrease the scope of existingprograms.

Traditional strategies for coping

with natural variabilities are not

enough to address climate change.

Traditional strategies relate to

traditional occupations. As people

move out of traditional occupations

(for better lives) these strategies

lose relevance


From impacts to decision support: theevolution of the EPA Global ChangeResearch ProgramMr. John Furlow, US Environment Protection Agency (USEPA)

IntroductionThe US Environmental ProtectionAgency (EPA) is dedicated toevaluating the potentialconsequences of global change onair quality, water quality,ecosystems, and human health inthe United States. The programworks to improve the scientific basisfor evaluating effects, risks andopportunities presented by globalchange in the context of criticalstressors. The EPA-Global ChangeResearch Program (EPA-GCRP)conducts research and assessmentsin each focus area, and it alsosupports three regional,stakeholder-driven assessments.These studies provide adaptationoptions that can improve societies’ability to effectively respond to risksand opportunities associated withglobal change and, ultimately,increase the resilience of social andecological systems.

This presentation highlights anevolution in the EPA-GCRP’sapproach to providing informationand tools for enabling stakeholdersto better incorporate considerationsof climate change into theirdecision-making processes. Ourexperience with a regional

assessment in the Great Lakesprovides an example of theevolution taking place withinthe program.

Great Lakes RegionalAssessmentThe EPA-GCRP is a member of theUS Global Change ResearchProgram (USGCRP). The USGlobal Change Research Act of1990 established the USGCRP*and requires periodic assessments ofthe state of climate change researchand of the possible consequences ofclimate change in the United States.

* The USGCRP was incorporated into the US Climate Change Science Program in 2002.


The Great Lakes Regional Assessment:Potential Impacts of Climate Change


The USGCRP conducted the firstround of assessments from 1997-2000, focusing on 19 regions andfive sectors (agriculture, coastal andmarine resources, forests, humanhealth and water resources). Each ofthe federal agencies comprising theUSGCRP partnered with anacademic institution to conduct oneor more of the assessments.

EPA took the lead on the GreatLakes, Mid-Atlantic, and Gulf CoastRegional Assessments as well as theHuman Health Sector Assessment.Some of this work continues today,such as the EPA’s ongoing GreatLakes Regional Assessment.

In the Great Lakes, EPA workedwith a multi-institution team led byMichigan State University. The firstround of the assessment consideredthe potential effects of climatechange and variability in the contextof non-climate stressors. TheMichigan State team addressed fourquestions:a) What are the currentenvironmental stresses and issues ofconcern in the region?b) How might climate variabilityand change exacerbate or ameliorateexisting problems, and what newproblems might arise?c) What are the key research andinformation needs of the public anddecision makers?d) What adaptation options arethere to take advantage ofopportunities and lessen thenegative impacts of climate changeand variability?

The assessment team relied onstakeholder involvement to ensure

that research addressed high priorityissues. A workshop was held at thebeginning of the assessment toshare information on climatechange with stakeholders and elicittheir ideas on issues to beinvestigated. The issues identifiedby the stakeholders in the GreatLakes Region were: waterresources, particularly water levelsin the Lakes; aquatic ecology;terrestrial ecology; agriculture; andquality of life, with an emphasis onhuman health, recreation, andtourism. The assessment teamaddressed these issues in their studyand returned relevant informationto stakeholders through a series offollow-up workshops.

The assessment team found that theLake water levels may beparticularly sensitive to climatechange. Water levels in Lake



Historic Lake Michigan-Huron Water Levels


Michigan-Huron fell to near-recordlows in 1999-2000. Drinking waterfacilities and power plants rely onthe Lakes for water supplies. Theplants are designed to withstand“100-year” extremes, which haveoccurred several times in the pastfew decades. The low water levelsalso affected the shipping industry:for each inch of draft lost, 1,000foot ships must offload 270 tons offreight. This resulted in lowerrevenues and higher costs, andshippers worried that a shift to landtransport would mean job losses inthe shipping industry. In theagriculture sector, the growingseason is projected to increase bybetween 3 and 7 percent in 2030and 15 and 26 percent in 2090.Details on these findings areavailable at: www.geo.msu.edu/glra/

Preliminary information on thepotential impacts of climate changeenabled stakeholders to describemore specific information needs.For example, the shippingindustry recognized theimportance of Lake levels, andstakeholders identified a need forreal-time information on waterlevels and shipping channels.They identified adaptationoptions such as lengthening theshipping season to take advantage oflonger ice-free periods, dredging,buying shallower-draft ships, andshifting to land transport. Theagriculture sector identified needs forlong-term planning decision support,derivatives and other risk-sharinginstruments, and other non-cropopportunities, such as wind farms.The timber industry cited a need foroperational decision support.

The first phase of the regionalassessment provided information onpotential impacts, but there was notime to pursue the specific supportneeds of stakeholders. Thisprovided the foundation for thedevelopment of specific decisionsupport tools. These resourcesbegin to link impacts informationwith appropriate aspects of adaptivedecision-making. These newresources help decision makers tomake better-informed decisions andto improve social andenvironmental outcomes.

The second phase of the GreatLakes Regional Assessment reflectsthe growing emphasis on decisionsupport. At the beginning of thesecond round of regionalassessments, EPA required that itsacademic partners identifystakeholders and opportunities todevelop decision support tools. TheMichigan State team is nowworking closely with stakeholdersfrom the agriculture and tourismsectors to develop tools that enable


Preliminary information on the

potential impacts of climate change

enabled stakeholders to describe

more specific information needs


decision makers to better considerclimate change. Their approach is toanalyze tool design to assist decisionmakers and will incorporate climateand socioeconomic factors.

EPA has found that simplyidentifying potential impacts ofclimate change may not be enoughto enable stakeholders to considerclimate change among the manyfactors that drive decisions. Andyet, the effectiveness of manydecisions may be compromised byclimate change. In order to providebetter decision support, EPA istaking a systematic approach tounderstanding decisions that may beclimate sensitive, and to understandingthe needs of decision-makers.

Evolution toward effectivedecision supportIn the early years of the program,the GCRP focused primarily onunderstanding the potential impactsof climate change on endpoints ofconcern (e.g., aspects of water qualityor biodiversity). The programengaged stakeholders to identifyimportant endpoints and implicitlyassumed that stakeholders would usethe results to improve their futuredecision-making. Information onclimate change would become oneof many factors affecting a decision.In some cases, the information wasutilized by decision makers. Inothers, stakeholders expressed aninterest in considering informationon the effects of climate change, butfaced obstacles to incorporating theinformation into their decisionprocesses. In many cases, decisionmakers were constrained byregulatory requirements, costs, and

other issues that were not fullyunderstood.

EPA recognizes the need for a moresystematic approach to thedevelopment of new decisionsupport resources. This involvesidentifying decisions where targetedresearch and development are mostlikely to contribute to adaptiveenvironmental outcomes. The bestcandidates for effective decisionsupport are sensitive to climate orimportant to determining the effectof climate change. Identifying theseopportunities requires new types ofdata, particularly information onthe context and characteristics ofdecisions and decision makers. EPAis building such a database througha process called decision assessmentand decision inventory. Theapproach is currently being appliedto the EPA’s Chesapeake BayProgram (an interagency effort toprotect and restore North America’slargest estuary). The decisioninventory database containsinformation about potentialadaptive decisions such as thedesign of flood control structures;


Decision Inventory

Information on climate change

would become one of many factors

affecting a decision. In some

cases, the information was utilized

by decision-makers. In others,

stakeholders expressed an interest

in considering information on the

effects of climate change, but

faced obstacles to incorporating

the information into their decision

processes


capacity of water treatmentfacilities; management of watersupply systems; strategies forecosystem restoration; andapproaches to the detection anderadication of invasive species. Theinventory will also includeinformation on decisioncharacteristics, including the cost,frequency, reversibility of that typeof decision; the decision context,including any dependencies,regulations or technologyrequirements; and decision impacts,such as the economic,organizational and environmentalimpact of a decision.

This information can be used tohelp identity opportunities for thedevelopment of new decisionsupport tools, improve linkagesbetween decision theory anddecision support practice, andprovide more effective and relevantdecision support. Early decisionsupport accomplishments includethe water evaluation and planningmodel, a modified index forevaluating the vulnerability ofgroundwater supplies to salt waterintrusion, and a tart cherry cropmodel, each of which will bepresented in a later session.


Early decision support

accomplishments include the water

evaluation and planning model, a

modified index for evaluating the

vulnerability of groundwater

supplies to salt water intrusion, and

a tart cherry crop model, each of

which will be presented in a later

session

Long term climate informationcould help vineyard owners andother farmers make better long-term planting decisions.

DAY–2

Session–1

PARALLEL SESSION 1

Tools and Approaches for Analyzing the Impacts of ClimateChange – Enabling Adaptation, the Role Of Technology,Infrastructure and Institutions

CHAIR: John Furlow, US Environment Protection Agency (USEPA)

SEA LEVEL RISE AND GROUNDWATER SOURCED COMMUNITY WATER SUPPLIES INFLORIDA

John Furlow, US Environment Protection Agency (USEPA)

EVALUATING IMPACT OF FUTURE CLIMATE SCENARIOS ON AGRICULTURAL WATER

MANAGEMENT: AN APPLICATION OF THE WATER EVALUATION AND PLANNING

(WEAP) SYSTEM

David Purkey, Natural Heritage Institute (NHI)

THE PILEUS PROJECT: DEVELOPMENT OF TECHNIQUES AND TOOLS TO HELP ASSESS

THE IMPACT OF CLIMATE VARIABILITY AND CHANGE ON AN INTENSIVELY-MANAGED

AGRICULTURAL CROP

J.A. Andresen, Michigan State University (MSU)


Page No

60

63

66

68


Sea level rise and groundwater-sourcedcommunity water supplies in FloridaJohn Furlow, US Environment Protection Agency (USEPA)

The average global sea level is rising more rapidly as a result of climatechange, posing risks to estuaries, aquifers, wetlands, lowlands, beaches,and infrastructure. A study was conducted to provide a betterunderstanding of whether the state’s groundwater-sourced watersupplies might be vulnerable to rising sea levels and saltwater intrusion.The objectives of the study were to: develop a screening tool tocharacterize vulnerability of groundwater-supplied community watersupplies (CWS) to saltwater intrusion due to sea level rise; develop apriority-setting framework based on vulnerability and aquifer reliance;and demonstrate the framework with CWS in Florida. The limitation wasthe applicability to confined aquifer systems and the utility when dataavailability was limited.

ABSTRACT

Salt water intrusion associatedwith sea level rise resultingfrom climate change may

pose a risk to water treatmentinfrastructure in many coastal andlow-lying areas. The USEnvironmental Protection Agency’sGlobal Change Research Program(EPA-GCRP) recently completed astudy assessing the vulnerability ofgroundwater drinking watersupplies to sea level rise in Florida,USA. About 17 million people livein Florida, and over 90 percent ofthem are served by communitywater supplies (CWS) that rely ongroundwater supplies. Theobjectives of the study were to:

develop a screening tool tocharacterize vulnerability ofgroundwater-supplied CWS tosaltwater intrusion due to sea levelrise; develop a priority-settingframework based on vulnerabilityand aquifer reliance; anddemonstrate the framework withCWS in Florida. The study wasconducted to provide a betterunderstanding of whether the state’sgroundwater-based water suppliesmight be vulnerable to rising sealevels and saltwater intrusion.

The most widely used groundwatervulnerability index in the US is theDRASTIC index, named for the

D A Y – 2 : P A R A L L E L S E S S I O N 1TOOLS AND APPROACHES FOR ANALYZING THE IMPACTS OF CLIMATE CHANGE – ENABLING ADAPTATION, THE ROLE OF TECHNOLOGY,INFRASTRUCTURE AND INSTITUTIONS

Salt water intrusion associated

with sea level rise resulting from

climate change may pose a risk

to water treatment infrastructure

in many coastal and low-lying

areas


seven hydrogeologic factors that areconsidered in the method.Developed by the EPA and theNational Water Well Association,the DRASTIC index is used tomeasure the vulnerability ofgroundwater to contamination fromthe ground surface. The DRASTICguidance manual providesinformation about two majorelements of the system: 1) themappable units or hydrogeologicsettings; and 2) the relative ratingsystem, which uses seven factors toproduce the DRASTIC Index score.

A basic assumption in the standardDRASTIC Index is thatcontamination is introduced at theground surface and transported intogroundwater by precipitation. TheDRASTIC score is the sum of thefollowing factors:D – Depth to WaterR – Net RechargeA – Aquifer MediaS – Soil MediaT – TopographyI – Impact of Vadose ZoneC – Conductivity

To assess the vulnerability ofgroundwater to salt water intrusionassociated with sea level rise, wemodified the DRASTIC Index toaccount for the fact that salt waterintrusion occurs as lateral orupward flow into aquifers. Twoadditional criteria were also added –distance from the coast and theelevation of the potentiometricsurface. In the modified DRASTICIndex, the pollution potential fromsea level rise, expressed as a“vulnerability score,” is the sum ofthe products of each rating factor

and the weight assigned to it:SLR Vulnerability Score = D + R+ 3A + 2T + I + 3C + 5M + 5P,whereD (Depth to Water) ranges from1 (0-5 ft) to 10 (100+ ft)R (Net Recharge) ranges from10 (0-2 in./yr) to 2 (10+ in./yr)A (Aquifer Media) ranges from2 (massive shale) to 10 (karstlimestone)T (Topography) ranges from1 (18% slope) to 10 (0-2% slope)I (Impact of Vadose Zone) rangesfrom 10 (confining layer) to1 (karst limestone)C (Conductivity) ranges from1 (1-100 gpd/sq ft) to 10 (2000+gpd/sq ft)M (Miles to Coastline) ranges from10 (less than 0.31 miles) to 1 (morethan 4.35 miles)P (Potentiometric Surface or Water-Table Level from Sea Level) rangesfrom 10 (less than 0.5 ft) to1 (greater than 3 ft)

The Florida Drinking WaterAdministration provided data onthe location of drinking watersystems. The data providedincluded the latitude and longitudeof each CWS in the state and thestandard DRASTIC scoring ofaquifers.

In addition to the modifiedDRASTIC Index, we alsodeveloped a “reliance score” foreach system. The reliance score isbased on the number of peopleserved and the availability ofalternative sources of water. Forexample, a system serving a largepopulation with only one source ofwater would have a high reliance


A basic assumption in the

standard DRASTIC Index is that

contamination is introduced at

the ground surface and

transported into groundwater by

precipitation


score, and a system serving a smallcommunity with alternative supplieswould have a low reliance score.

Reliance was calculated as follows:Reliance = 2 * log(Pop served) +AWS

where:Pop served = number of personsserved by the system (Min = 25(for a mobile home park)Max = 475,000 (for Tampa)

AWS = measure of availability ofalternative water supplies; forexample Biscayne Aquifer(designated by the Safe DrinkingWater Act as sole-source aquifer) =10; Water resource caution areas(designated by regional watermanagement districts) = 5; Allothers = 1)

The relative vulnerability of eachCWS was then based on the

modified DRASTIC Index scoreand the reliance score.

Key findings were that highvulnerability/high reliance CWSwere concentrated in the Pensacolaon the Gulf Coast and the Miami-Palm Beach areas of the AtlanticCoast. These results are consistentwith known occurrences of saltwater intrusion in Florida. Theseareas are also areas of highpopulation living very near thecoasts of Florida. Results alsosuggest that the modifiedDRASTIC Index could besimplified (to drop some DRASTICfactors) and still provide validresults. The “M” and “P” factorsappear to be most important.

Peer reviewThe DRASTIC Index has beenthoroughly reviewed and is usedwidely. Our modified index has onlybeen internally reviewed.



...a system serving a large

population with only one source

of water would have a high

reliance score, and a system

serving a small community with

alternative supplies would have a

low reliance score


Evaluating impact of future climatescenarios on agricultural watermanagement: an application of the waterevaluation and planning (WEAP) systemDavid Purkey, Natural Heritage Institute (NHI)

Global climate change has the potential to alter hydrologic conditionsin California by changing the spatial and temporal patterns of snowaccumulation and snowmelt. The water management infrastructure inCalifornia had been designed, and is operated in accordance with historichydrologic patterns. A study was conducted to understand the potentialimpacts and adaptation to global climate change and to evaluate theutility of various tools in refining this understanding in the future.

An application of the Water Evaluation and Planning (WEAP)system, developed by the Stockholm Environment Institute forCalifornia’s Sacramento River Basin was used to evaluate the impact offuture climate scenarios on agricultural water management in the region,and to investigate whether water management adaptation could reducepotential impacts.

ABSTRACT

Global climate change hasthe potential to alterdramatically hydrologic

conditions in California bychanging the spatial and temporalpatterns of snow accumulation andsnow melt. The water managementinfrastructure in California has beendesigned and is operated inaccordance with historic hydrologicpatterns. Understanding if and howthis infrastructure can be managedin the face of global climate changein order to meet the array of vital

water management objectives forthe system is a critical researchquestion to which an investigationwas conducted. The goal was tobegin to understand the potentialimpacts of and adaptation to globalclimate change and to evaluate theutility of various tools in refiningthis understanding inthe future.

The Environment ProtectionAgency’s Global Change ResearchProgram (EPA-GCRP) financed

The water management

infrastructure in California has been

designed and is operated in

accordance with historic hydrologic

patterns. Understanding if and how

this infrastructure can be managed

in the face of global climate change

in order to meet the array of vital

water management objectives for

the system is a critical research

question



three research teams to attempt todevelop a climate change impactand adaptation framework for waterresources and aquatic ecosystems.One research team comprising ofthe Stockholm EnvironmentInstitute (SEI), the National Centerfor Atmospheric Research (NCAR)and the Natural Heritage Institute(NHI), used the Sacramento Riversystem in California as a case study.An application of the WaterEvaluation and Planning (WEAP)system, developed by the SEI, wasthe starting point for this pilot


A Simple Planning Model


project. It was used to evaluate theimpact of four future climatescenarios on agricultural watermanagement in the region, andto investigate whether watermanagement adaptation couldreduce potential impacts.

The original version of WEAP, andmost other water resource planningmodels, are simple planning modelswhere four critical areas areaddressed:� allocation of water to varioususers in periods of scarcity;

� operations to be constrained toprotect the services provided bythe river;� Operation of infrastructure in thesystem (e.g dams, diversion works,etc.) to achieve maximum benefits;and� allocation, operations andoperating constraints changing withnew management strategiesintroduced into the system.

Such models are based on theassumption that the� quantity of water flowing at the

top of each river;� quantity of water flowing into orout of the river as it movesdownstream; and� water demandsare known with certainty.

However, this system has beenremoved from the hydrologiccontext and a hydrology modulewas incorporated into WEAP thatprovides a framework to alsoanswer the following:� How does rainfall on a catch-ment translate into the flow in ariver?� What pathways does waterfollow as it moves through acatchment – runoff? infiltration?ET? seepage?� How does movement alongthese pathways impact themagnitude, timing, duration andfrequency of river flows?

The study, the results of which werealso included in a report requestedby California Governor ArnoldSchwarzenegger (see box), followedan approach that would:� use output from two GeneralCirculation Model (PCL andGFDL) run under two emissionscenarios (A2 and B1);� downscale to produce fourclimate time series scenarios forCalifornia; and� run the model for the entire 21stcentury without adaptation andwith adaptation.

The system can be adapted toassume a trend of improving



irrigation efficiency for the first halfof the 21st century and assume thaton an annual basis croppingdecisions are made dynamically tofavor higher valued, less-water-intensive crops in times of scarcity.The results of the study showed thatadaptation dramatically reduced theamount of groundwater pumpingthat took place during future dryperiods and allowed for greaterflexibility in meeting drinking waterand ecosystem water needs inthe future.

Potential improvements to themodel include the ability of thetool to:� Develop ensembles of climatescenarios so that we can begin toget toward the notions ofuncertainty and risk� Describe a more robust set ofpotential adaptations, includingsome that are not of a pure watermanagement character� Tie the description of adaptationdynamics much more closely tolocal knowledge.

As part of a second pilot project, inBrazil, WEAP was used at thecommunity level, then scaled up toa river basin level of analysis. Thechallenge is to conduct communitylevel analysis everywhere. Someapproaches to generalize diverselocal knowledge, goals and actionsat the river basin level are necessary.These will involve agent-basedmodeling and community indicatorsamong others.

Executive OrderS-3-05Issued by California GovernorArnold Schwarzenegger

“The Secretary of the CaliforniaEnvironmental ProtectionAgency shall report to theGovernor and the StateLegislature by January 2006and biannually thereafter onthe impacts to California ofglobal warming, includingimpacts to water supply, publichealth, agriculture, thecoastline, and forestry, andshall prepare and report onmitigation and adaptation plansto combat these impacts.”

The Pileus Project: developing techniquesand tools to help assess the impact ofclimate variability and change on anintensively-managed agricultural cropJ.A. Andresen, J.A. Winkler, J.R. Black, C. Zavalloni, and J.M. Bisanz, Michigan State University (MSU)*

The Pileus Project was undertaken by a large, multi-disciplinary team toinvestigate the potential impacts of climate variability and change ontwo economically important climate-sensitive industries located in theGreat Lakes Region of the USA: agriculture and tourism. Production ofsour or tart cherries (Prunus cerasus) was chosen as a primary researchtopic. A variety of tools are being developed to assist growers and othersin making decisions related to tart cherry production and climate.

ABSTRACT

Despite continuingimprovements intechnology, weather and

its longer-term variant, climate,remain among the mostuncontrollable factors in agriculturalproduction systems. The PileusProject was undertaken by a large,multi-disciplinary team toinvestigate the potential impacts ofclimate variability and change ontwo economically importantclimate-sensitive industries locatedin the Great Lakes Region of theUSA: agriculture and tourism.

Production of sour or tart cherrieswas chosen as a primary researchtopic. It is a deciduous perennialtree fruit (Prunus cerasus) with anapproximate production cycle of25-30 years. The major rationale forthis selection was geographical, asthe majority of the US productionis concentrated in the Great LakesRegion, downwind of the Lakes inMichigan. The level of managementsophistication required is high incomparison with other crops, andfruit commodity quality standardsnecessitate frequent control


*Paper presented by J.A. Andresen; J.R. Black is from Department of Agricultural Economics; All others from the Department of Geography.

Components of the Pileus Project

Project funded by the U.S. EnvironmentalProtection Agency


measures for pests and diseases. Tartcherries are characterized byextremely high interannual yield(and commodity price) variability.All major aspects of the industryand value chain – production areas,processing facilities, sales, andstorage – are located within arelatively small area in the GreatLakes Region.

This allowed a unique opportunityto link expertise in tart cherryproduction, economics, and climatescience. There was also scientificrationale, as very little research hasbeen conducted on climate andspecialty crop production or onclimate and intensively-managedcrops in general.

The major objectives in this portionof the Pileus Project were to:� cultivate stronger researchpartnerships with tart cherrygrowers, processors, and marketers,to establish assessment goals,identify specific needs, and provideexpertise;� create quantitative models tosimulate relationships betweenclimate variability and severalaspects of the tart cherry industry;and� integrate model simulationoutput and stakeholder input todevelop decision support tools to beutilized by the tart cherry industryfor risk management.

A series of meetings were held inthe early stages of the project withgrowers and other industryrepresentatives to identify keyproduction-related issues andproblems and needs. Among the

major difficulties identified werehigh year to year yield variabilityand production, low commodityprices, increasing land prices, andno federal crop insurance options.[Key climate-related issues includedlate spring freeze events, cool, wetweather during crop pollination.Growers have few options to hedgeclimate-related production risks],other than choice of orchard location(hilltops with cold air drainage awayfrom orchard sites are stronglypreferred), frost protectiontechnology, and irrigation.

A sequential or linked approach isbeing used in the assessment,whereby multiple models are linkedtogether to represent various aspectsof the production system. In theinitial step, a tart cherry simulationmodel was developed to predictcrop phenology, water use, andyield potential. The model utilizesdaily input weather series ofmaximum and minimumtemperature, solar radiation, andprecipitation and was found tosatisfactorily simulate yield, with amean absolute error on the order of

10-15 percent of observed yields.Weather and climate-relatedrelationships and impacts identifiedin the historical time frame wereassumed to continue in future timeframes. Analyses will be performedon 15 separate locations across theregion for both historical (1961-2004) and projected future (1990-2100) time frames. The future timescenarios were developed with anempirical downscaling techniqueutilizing free atmospheric variablesfrom four separate GCM, eightseparate downscalingmethodologies, and two differentfuture greenhouse gas emissionscenarios for a total of64 scenarios per site.

A variety of tools are beingdeveloped based on the output ofthe project, which are intended toassist growers and others in makingdecisions related to tart cherryproduction and include short- andlong-term management timeframes. The tools will be deployedon a dedicated project web site andare scheduled to be released to thepublic in 2006.



1. Gradual versus pulsed change. As opposed to muchof the discussion in this conference, most of the EPA’swork has focused on long-term trends such as sea levelrise or gradual changes in temperature rather than theimpact of sudden changes or extreme events that mightbe associated with climate change.

2. Top-down versus bottom-up approaches. Most ofthe studies that have been conducted in California usedtop-down approaches and most first generation toolslooked primarily at water resources. Second generationtools consider local knowledge and it is hoped that suchtools can be used for a bottom-up approach. The secondapproach is being used in Brazil where three communitiesare involved, and it is hoped that they will be able tomanage their own water resources.

3. Data issues. Data issues represent a major problem inevaluating the impacts of climate change. In California,initial evaluations were done using the WEAP model.Now the California University model is being used.However, the requirement for huge data essential foreffective application of the California University modelcannot be met using data generators and, if variables areassumed, the model does not work. WEAP is designedto be scalable and requires less data than conventional

Key points raised in the discussionsParallel Session–1

large hydrological models. Data are, however, essential.This said, it is important to recognize that models cangive some results even if few data are available. Whilehydrology data is difficult to obtain, climate data is moreeasily available. WEAP is now being improved so thatwater availability can be projected based on precipitationand other data that tend to be more readily available thanthe data on stream flows that have traditionally served asa foundation for hydrologic modeling. GIS tools also makedata access simpler and easier to use.

4. Involving vulnerable communities to addressclimate impact evaluations in California. The projectto evaluate climate impacts in California commencedbefore deciding who was going to use it. It was, therefore,not specifically targeted at vulnerable communities. In thecase of the surface water study, vulnerable groups werecontacted.

5. Local knowledge. A study covering three tribes inBrazil provides some insights at the local level. Datarelating to the community’s water use will be used todevelop some characteristic variables that will feed intoriver basin models. This effort is underway and some verydetailed information on local knowledge is beingdeveloped.



DAY–2

Session–1

PARALLEL SESSION 2

Adaptive Livelihood Strategies in Drought Areas – Views from theFieldCHAIR: Shashikant Chopde, Winrock International India (WII)

WATERSHED DEVELOPMENT THROUGH THE ADAPTATION LENS

Shashikant Chopde, Winrock International India (WII)

ENHANCING RESILIENCE OF THE POOREST COMMUNITY GROUPS TO DROUGHTS

THROUGH RURAL LIVELIHOOD APPROACHES IN THE WESTERN ORISSA LIVELIHOODS

PROJECT (WORLP)Subodh Kumar Mahapatra, Orissa Watershed Development Mission (OWDM)

ADAPTIVE POTENTIAL OF INNOVATIVE WATER MANAGEMENT PRACTICES IN COPING

WITH CLIMATE UNCERTAINTIES: A CASE STUDY OF PURULIA, WEST BENGAL, INDIA

Shrinivas Badiger, Institute for Social and Economic Change (ISEC)

WOMEN IN LIVELIHOODS: SELF-HELP GROUPS AS A MEDIUM OF EMPOWERMENT

Srinivas Mudrakartha, Vikram Sarabhai Centre for Development Interaction (VIKSAT)


Page No

70

74

77

80

84

More than two-thirds ofthe area of India isdrought-prone.

Droughts are increasing both inintensity and duration. As a result,increasing the ability ofcommunities to adapt to droughtsthrough the development ofresilient livelihood systems iscrucial. Over the longer-term thiswill also help governments,communities and support agenciesrespond to the anticipated effects ofclimate change. The adaptivecapacity of a system is its abilityto adjust in response to, oranticipation of, changedconditions. It reflects the capacityto cope with the consequences ortake advantage of opportunitiesthat change brings about.Watershed development (ourfocus here) contributes to adaptivecapacity, although only to someextent, by reducing thevulnerability of poor andmarginalized rural communities indrought-prone areas. It increasesthe coping capacity of thepopulation, improves livelihoodsand conserves biodiversity. Butthere are inherent issues of access,equity and sustainability inrelation to the natural resourcesaugmented through watersheddevelopment.

To evaluate the impact of watersheddevelopment on livelihoodresilience, Winrock InternationalIndia (WII) conducted a review offour case study areas from twodrought-prone states of westernIndia: Gujarat and Rajasthan.Watershed development and waterharvesting activities wereundertaken in these areas prior to

Watershed development through theadaptation lensShashikant Chopde, Winrock International India (WII)

D A Y – 2 : P A R A L L E L S E S S I O N 2ADAPTIVE LIVELIHOOD STRATEGIES IN DROUGHT AREAS – VIEWS FROM THE FIELD


the drought of 2000-2002 and thereview found that the activitiessignificantly contributed to thedifferential adaptive capacities inthese areas.

The review was conducted in areaswhere non-governmentalorganizations (NGOs) had beeninvolved in the implementation ofwatershed projects. Case exampleswere as follows:1. Sri Kundla Taluka Gram SewaMandal (SKTGSM) works inAmreli district, Savarkundla taluka,Gujarat. Average annual rainfall atthis site is 540 mm withtopography slope between 10 and15 percent. The site has basalticgroundwater formations and thereare open wells and tubewells. Thecommunity is heterogeneous,stratified on basis of caste includingPatels, Kolis, Muslims, Kumbharsand Harijans.2. Self-Employed Women’sAssociation (SEWA) works inPatan district, Santalpur andRadhanpur taluka, Gujarat, wherethe annual average rainfall is175 mm. The area has flattopography with very mild slope of0-5 percent. Groundwater in thearea is saline and is contained in therecent alluvium. Here also thecommunity is heterogeneous,comprising of Ahirs, Rabaris andThakores.3. Seva Mandir works in Udaipurdistrict, Jhadol, Badgaon block,Rajasthan, where the annual averagerainfall is 640 mm. The topographyis undulating with slope between 25and 40 percent. The ground systemcomprises hard rock and thereforewater storage is poor. The area has

open wells and the community isrelatively homogeneous tribals.4. PRADAN works in Alwardistrict, Kishangad Bas block,Rajasthan. The annual averagerainfall there is 650 mm and theterrain slope ranges between 10 and20 percent. The groundwater isfound in highly prolific hard rockaquifers overlain by thin alluvium.There are open wells and tubewells.The community consists of Sardars,Meus and Jatwas.

Research was undertaken to assessthe extent to which watersheddevelopment and water harvestinghelps augment natural capital(water, land and forest resources)and social capital (includinginstitutional and human capital).Under definitions used in the study,institutional capital consists of localinstitutions involved in managinglocal resources, promoting broaderlivelihood options, better droughtcoping strategies; and developmentof water, food and fodder security.Human capital consists of the skillsand knowledge available. Thecontribution of each in combatingdroughts and enhancing livelihoodswas studied in the context ofmigration, social and gender equity,sustainable and efficient use ofnatural resources and water, foodand fodder security.

The field study included groupdiscussions with the watershedcommittee, village developmentcommittee and other institutions,including credit groups, dairygroups and women’s groups.Leaders, the village sarpanch (mayor)and farmers were interviewed,



Research was undertaken to

assess the extent to which

watershed development and

water harvesting helps augment

natural capital (water, land and

forest resources) and social

capital (including institutional and

human capital)


followed by visits to farmers’ fieldsand watershed structures. Finally, adebriefing with implementingorganizations was conducted.

The four cases offer valuableinsights. There is close linkagebetween social capital, socialbenefits and institutionalsustainability.

Institutions need to be stable andsustainable to ensure equitableparticipation of differentstakeholder groups and to maintainwater-harvesting structures in thelong run. Institutional sustainabilityin itself is dependent on theperception of equity amongstakeholders. This perception isshaped by a number of variables,including the representation ofstakeholder groups in the localinstitution, the broad-based natureof leadership, redundancy in skillsdeveloped, and special focus on theweaker sections of society as well asgender. In addition, the orientationof the support institution should belong-term as opposed to short-term(project oriented).

As the accompanying figureindicates, when perceptionsregarding social equity and thesustainability of interventions arelow (i.e. interventions have a short-term project orientation) it isdifficult to create sustainableinstitutions. When the perception ofequity is high (cell 2) butinterventions are seen as stemmingfrom a short-term projectorientation, institutions tend tobecome dormant or disintegrateafter the project is over unless they


develop a leadership and vision thattakes them on to new objectivesbeyond watershed development.This situation is characterized bywhat we term “episodic”institutions. The best chances forsustainability occur when allstakeholder groups are satisfiedabout their roles and responsibilitiesand potential share in the benefitsand when both the facilitatingagency as well as the concernedCBO begin to develop a long-termdevelopmental orientation (cell 4).

In the sample cases, the committeesin Savarkundla and the isolatedwatershed committees of Alwarcould be classified as episodicinstitutions. They performed wellduring the project period but beganto lose direction once the projectwas over. In contrast, thecommittees promoted by SEWA inSantalpur, those promoted by SevaMandir in Udaipur, and the 10committees in Alwar that gotfederated, were active andpurposeful beyond the watershedproject. In fact, with the wider

Institutions need to be stable and

sustainable to ensure equitable

participation of different stakeholder

groups and to maintain water-

harvesting structures in the long run


responsibilities, the committees inboth Santalpur and Udaipur weregradually converted into gramvikas (village developmentcommittees) with a largerdevelopmental mandate.

Increase in livelihood optionswould also result in better droughtcoping, especially if these are notbased on land-based activities andcan be practiced even during thedrought years.

In the four interventions, the studyteam found that apart fromwatershed development, agencieswere involved in other interventionsgeared to augment livelihoodoptions of the local communities,particularly the poor. Hence, a needwas felt to separate the impacts ofthe two types of interventions butalso to look at them together to seethe total impact in a given region.

The source of drought proofing,whether due to watershed treatmentor due to generation of alternativelivelihood options could be mapped


The best chances for

sustainability occur when all

stakeholder groups are satisfied

about their roles and

responsibilities and potential

share in the benefits and when

both the facilitating agency as

well as the concerned CBO begin

to develop a long-term

developmental orientation

on the basis of data available asshown in the figure below. It isclosely linked to the extent to whichsocial capital was augmented. Incases from Gujarat, governmentfunding for a software set ofcapacity building and awarenessactivities was low. In the Rajasthancases studies, funding wasaugmented through donors forsoftware activities.

In the case of PRADAN, the majorcontribution to drought proofinghas been from watershed treatmentwhile in the case of SEWA it hasbeen through its livelihoodinterventions. PRADAN has alsostarted promoting dairycooperatives of women in a big way.Seva Mandir and SKTGSM havemade some efforts at developingalternative livelihood options butthese are in the nascent stage (e.g.,soap making from ratanjyote andcultivation of safed musli in the caseof Seva Mandir; and manufacture ofbio-pesticide in the case ofSKTGSM).


Western Orissa has apopulation of fourmillion of which about

60 percent lives below the povertyline. The area experiences extremeclimatic conditions and droughtsoccur every 3 or 4 years.Malnutrition, infant mortality andmaternal mortality rates are some ofthe highest in India. Between5 and 10 percent of the area isurban and literacy rates are between10 and 16 percent. Only 16 percentof the villages are connected to all-weather roads. Distress migration isaround40 percent.

The Orissa Watershed DevelopmentMission (OWDM) was establishedin 2000 by the state government tomanage watershed projects andschemes for the state of Orissa. TheWestern Orissa Rural LivelihoodsProject (WORLP) was funded byDepartment for InternationalDevelopment (DFID) andimplemented by OWDM. Theproject is working in four districtsof Western Orissa.

The annual rainfall of the area isaround 1300 mm. Most of the

rainfall happens to be during themonsoon months (July-September).The mission is currently working inabout 2,600 watersheds – 290watersheds under WORLP arespread over four districts.

The project involves capacitybuilding, enhancing the livelihoodasset base, and creating an enablingenvironment. The project has alsoinitiated a community-driven micro-planning process. The processinvolves prioritization of issues,problems and solutions andnegotiation for equity andcontribution as per need. Villageinstitutions have been strengthened.The Common Interest Group(CIG) and Self-help Group (SHG)cooperative concept was adopted.There are now over 2,200 SHGswith savings of more thenRs. 10 million. There are over1,400 user groups and WatershedDevelopment Fund is more thanRs 6.5 million. About 400 villageexperts have been trained in areassuch as micro-enterprise andmarketing, livestock, aquaculture,and soil and water conservation.Exposure visits, training andsensitization activities for the

Enhancing resilience of the poorestcommunity groups to droughts throughrural livelihood approaches in the WesternOrissa Livelihoods Project (WORLP)Subodh Kumar Mahapatra, Orissa Watershed Development Mission (OWDM)


About 400 village experts have

been trained in areas such as

micro-enterprise and marketing,

livestock, aquaculture, soil and

water conservation


community and SHG memberswere conducted. Participatoryresearch was undertaken to developother activities such as micro-irrigation, and medicinal plants andtuber crop production.

The outcomes of enhancing andbroadening the livelihoods assetbase included land treatment ofover 18,000 hectares, creation ofover 3,000 small and big waterharvesting structures, enablingaccess to over 200 metric tons ofquality seeds, diversification totuber crops, pulses and oil seeds,and installation and operation ofmore than 1,100 (Krishak Bandhu)pumps. Over 125 grain banks aremanaged by the villagers. Increasesin primary crop productivity havereached over 30 percent and secondcrop productivity over 20 percent.Water conservation measures havehelped to increase the water table inidentified dug-wells by one meter.

The project has identifiedaquaculture as one of the mostattractive livelihoods option for thepoor and mobilized around 300women’s groups. The projectestablished liaison with the FisheriesDepartment for supply offingerlings and capacity building ofsuch women’s groups. A low-costfiberglass reinforced plastic (FRP)hatchery was established in one ofthe remotest districts of the state.The FRP hatchery is a newtechnology developed by theCentral Institute of FreshwaterAquaculture based in Bhubaneswarand has only been tested within theinstitute campus. There are 55SHGs in nursery pond management

who have networked with thisnewly established FRP hatchery.These are spread over four districtsof the project area. To provideinformation, technology, betterpractices and input services to thefishing community through a singlewindow, six One-stop Aqua Shops(OAS) have been established in theproject area. Four of these OAS aremanaged by the fisheriesdepartment and the other two byNGOs and the community together.To build the capacity of the fishingcommunity, 19 Better PracticeGuidelines (BPG) have beendeveloped in the local language.

Strengthening market support hasincluded organizing meetingsbetween buyers and sellers,exposure to town and terminalmarkets, promotion of local haats(markets), and training in quality,volume and price ratios. Thecollective marketing effort of over30 SHGs for selected items hasresulted in a turnover ofRs. 2.5 million.

Preventive health measuresThe use of herbs as alternativemedicine has reduced the health


Block Printing by SHGs in Kotasingha village

Strengthening market support has

included organizing meetings

between buyers and sellers,

exposure to town and terminal

markets, promotion of local haats

(markets), and training in quality,

volume and price ratios


budget in six villages. Awareness hasbeen created on Reproductive TractInfection (RTI) among migrantwomen in 5 villages; impregnatedmosquito nets are being used in15 villages; and full sanitationfacilities in 25 villages.

Alternate livelihoods –income generationactivities (IGAs)Small income generating activitieshave been initiated by around15,000 SHG members with a totalturnover of Rs, 25 million. Thegroup members selected diversifiedincome generating activitiesmatching their skills and experience,64 such small IGAs so far have beenadopted by project participants(beneficiaries).

Alternate livelihoods –livestockGoats are gold for poor people inthis area – during an eventuality agoat can be sold off at midnight.Small ruminants like goats andpoultry birds are the alternatesources of livelihood afteragriculture. The project identifiedthat prevention of diseases for goatsand poultry birds of local breeds canhelp to improve the productivity oflivestock for the poor. The strengthof the livestock department is poorin this part of the state; hence amodule of community link workerson livestock was adopted under theproject, and 134 paraworkers/community link workers trainedand linked to local veterinarydoctors for hand holding support.Such community link workersprovide services to poor livestockkeepers at their doorstep and

establish a liaison with the locallivestock officer for additionalsupport. More than 3,000 peopleare involved in rearing goats andpoultry birds. A milk cooperativehas also been established in linewith the government’s programs.

Enabling environmentThe project facilitated in setting upa fully staffed office in four districts,and mobilized the government toprovide opportunities to NGOs inthe development process. As aresult, around half the projectimplementing agencies are NGOs.Project implementing agenciesoperating at the watershed level hadto manage large numbers ofwatersheds, which was difficult forsupervision. The project facilitatedpolicies for limiting 15 watershedsper implementing agency. Theproject adopted a participatoryapproach to find solutions and fightagainst frequent droughts andhunger. Adoption of localknowledge and priority to the voiceof the poor has helped to achieveexciting results.


Manual operated Pressure Pump to irrigate areas in theupper catchments

Goats are gold for poor people in

this area – during an eventuality a

goat can be sold off at midnight.

Small ruminants like goats and

poultry birds are the alternate

sources of livelihood after

agriculture


Adaptive potential of innovative watermanagement practices in coping withclimate uncertainties: a case study ofPurulia, West Bengal, IndiaShrinivas Badiger, Institute for Social and Economic Change (ISEC)

Access to sustainable water supplies remains a major obstacle to effortsin rural poverty alleviation in Indian agrarian communities. Theagricultural sector, especially rainfed farming in large tracts of arid andsemi-arid belts, is highly vulnerable to uncertainties in climate. Theseregions are particularly vulnerable to erratic rainfall, mostly short spellsof high rainfall and degraded soils that cover large areas that have mademuch of the land less fertile. Although the rainfed agricultural sector issensitive to global changes in rainfall and temperature, communities inthese resource scarce regions have been taking into account variabilityin local climates. Their ability to adopt low-cost, small-scale watermanagement technologies along with best crop management practiceshas proven to augment water availability during critical periods of cropgrowth, securing household food production even during low rainfallyears. One such example is the “five-percent-technology,” a techniquefor harvesting rainwater and excess runoff. Initiated by PRADAN in thelate 1990s in the Purulia district of West Bengal, this on-farm waterharvesting technique has provided farmers a system of adaptation torisks in climatic variability not historically practiced in these typicallynon-agrarian tribal belts.

Five-percent-technology is a simple technique of allocating a smallportion of cultivated land, roughly five percent, usually at the mostupstream portion of the farmer’s plot, to water storage. It is a riskreduction technique primarily implemented to mitigate the weatherrelated uncertainties that affect the rainfed paddy crop on which thesmall holding farmers of this poor region depend for their subsistence.Although the average annual rainfall in this region is about 1,200 mm,considered semi-humid in technical terms, most of it is received duringearly monsoon. Even during this period, the distribution of precipitationis often erratic, and drought-like conditions occur during critical crop

ABSTRACT


The agricultural sector, especially

rainfed farming in large tracts of

arid and semi-arid belts, is highly

vulnerable to uncertainties in

climate


growth stages. According to PRADAN, the implementing NGO, the five-percent area meant for on-farm water storage is the minimum and not asacrosanct figure, and mostly depends on the topography, soil conditionsand land available.

Field investigations in three hamlets of Purulia indicated that thebest results could be obtained over large contiguous areas that consistof a farm pit, field bund management and bund-plantation of selectedtree species, which add to the overall revenue of poor tribal communities.Increase in paddy yields of up to 30 percent was recorded among farmerswho were progressive and willing to maintain the pit system properly.However, the variability of its success was very high, attributed to areluctance in collective uptake of the practice by farmers. It was alsoobserved that many of the farm pits in the mid-slopes and downstreamof contiguously treated lands had enough water to provide deficitirrigation for paddy and an additional vegetable crop beyond themonsoon. The study indicated that less than 20 percent of implementershad to depend on migration, wage labors, or other sources of income tosupport their livelihoods.

Purulia district is verydrought-prone and is one ofthe three districts in West

Bengal most frequently affected bydrought. Agriculture in this areabegan only 40 years ago. Rain fallsmainly in September, the monsoonperiod, and a seven-day dry periodduring this month results in cropfailure.

The communities inhabiting thisarea are mainly tribals, consisting ofMahatos (65%), Singh Sardars(20%) and Santhal Parganas (5%).Chitrakar, Karmakar, Malakar andKalindi are the other communitiesliving in the area. They relocatedfrom forests in the ChhotanagpurPlateau to new settlements and aretraditionally non-agrariancommunities.

Traditional drought coping

mechanisms include intercropping,

partial cropping and distributed

cropping. Streams are the source of

water. Where the land is fallow,

migration takes place


Drought Pattern


The frequency of droughts in thelast 50 years has increased andagricultural lands are highlydegraded. Annual rainfall is erratic,between 50-450 mm with anaverage rainfall during Septemberof 200 mm. The probability of twosuccessive wet weeks during themonsoon is 0.73, that of one wetweek followed by one dry week is0.29, and of four successive weekswith 25 mm of rain per week is0.20. Traditional drought copingmechanisms include intercropping,partial cropping and distributedcropping. Streams are the source ofwater. Where the land is fallow,migration takes place. Less than75 percent of the area is underrainfed paddy, and this productionmeets about 30 percent of ahousehold’s food requirements.

In the late 1990s, PRADAN beganimplementing the five-percentsystem. The scheme primarily aimedat serving as a reserve for criticalirrigation (paddy) in September andproved to be a mix of successes andfailures. The scheme was, however,later supported by local governingbodies.

The main component of the five-percent system is a farm pit, whichoccupies five percent of the landarea, and which was used forsupplementary irrigation duringSeptember and October, the criticalgrowth periods for grain formationand filling. Tree species wereselected for fruit, fuel and fodder.Grass was grown on bunds forfodder and making rope. Fish wascultivated for a short duration inthe pit.

The system provided food securityfor 16 percent of the population,mainly large landowners,throughout the year. About22 percent of the population hadfood security for eight months ofthe year, 38 percent for six monthsand 24 percent for less than sixmonths of the year. Over 80 percentof the population still had tosupport their livelihoods throughother means, mainly wage labor.

From the study it can be concludedthat although the five-percentsystem reduces the chances of totalcrop failure, it does not secure thefood needs for the entire populationfor the whole year. Large landowners located downstream andsocially better off benefit more fromthis scheme than small and marginalfarmers located further upstream.The five-percent system is moreeffective when used in combinationwith other upland treatments andbunding to ensure water is capturedin upstream pits. It did, however,reduce migration during themonsoon months.

The main component of the five-

percent system is a farm pit, which

occupies five percent of the land

area, and which was used for

supplementary irrigation during

September and October, the critical

growth periods for grain formation

and filling


Water harvesting intervention of 5 percent pits


Women in livelihoods – self-help groupsas a medium of empowermentSrinivas Mudrakartha, Vikram Sarabhai Centre for Development Interaction (VIKSAT)

Sustaining land-based livelihoods is facing a challenge due to theincreasing complexity of meteorological, physical and socioeconomicconditions resulting from increasing water scarcity. Women’s groupshave taken on the role of contributing to coping and adaptive strategiesin a semi-arid district in Gujarat. Beginning as small savings and creditprograms, the groups have evolved into a federation, taking loans torelease mortgaged lands, construct check dams, and ensure food andfodder security. These self-help groups (SHGs) have empowered womento develop strategies to adapt to drought periods through non-farmincome generating activities. The groups are now focusing on expandingnon-land based income through micro-enterprise.

ABSTRACT


Sustaining land-basedlivelihood, such asagriculture and animal

husbandry, is facing a greatchallenge today due to theincreasing complexity ofmeteorological, physical andsocioeconomic conditions resultingfrom increasing water scarcity.People’s responses to events such asdroughts is a combination of manyfactors. Common coping andadaptive mechanisms include loansor borrowing, reduction of foodexpenses, mortgage or sale of land,and migration. However, prolongedand frequent drought conditions,especially in arid and semi-aridregions, tend to sap the physical,economical and psychologicalstrengths of communities.

In Nana Kothasana village, since1996, the area under kharif(monsoon) crop has fallenmarginally while the area under rabi(winter) crop has droppedsignificantly. Summer crops are nolonger being cultivated. The trend isthe same in Bhanavas village. InBhanavas, monsoon crops,

Common coping and adaptive

mechanisms include loans or

borrowing, reduction of food

expenses, mortgage or sale of

land, and migration


including groundnut, cluster beans,maize and minor millet (bajra),failed in 2002, while of the threewinter crops – wheat, mustard andtobacco – only wheat wascultivated.

Crop production fell drastically dueto low rainfall, though there was anincrease in income from animal andnon-farm activities. As a strategy,farmers tend to save groundwater inwells for the rabi crop, since residuefrom the rabi crop provides fodderfor their livestock. Milk productionled to an increase in cash flow thatwas invested in animal husbandryand the quality of lives improved.Income during drought periodsincreased from 16 to 69 percentafter interventions from non-governmental organizations(NGOs).

In the semi-arid Satlasana taluka ofMehsana district, women’s groupstook on the enviable role ofcontributing to the family’s copingand adaptive strategy with supportfrom the Vikram Sarabhai Centrefor Development Interaction

(VIKSAT). The National Bank forAgriculture and Rural Development(NABARD) supported a one-yearproject and established linkageswith the State Bank of India. Aftervisiting VIKSAT field areas, thebank offered a line of credit andestablished direct contact with theSHGs. These now could access bothrevolving funds from VIKSAT aswell as loans from the bank.

A revolving fund managementcommittee was set up and normslaid down for access to thefinancing. The revolving funds wereloaned at different interest rates andinvolved income sharing andreinvestment. Through the involve-ment of federations, Tree GrowersCooperative Society (TGCS), amutual stake was created.

The bank provided loans to72 SHGs from 12 villages,amounting to Rs. 2,777,500 andVIKSAT’s revolving fund providedRs. 500,000. Most of the fundswere used for seeds, livestock andfodder. Other uses includedcollection of food grain, storage and


Income during drought periods

increased from 16 to 69 percent

after interventions from non-

governmental organizations (NGOs)


ensuring food security for the entireyear. Interestingly, some groupstook loans to release agriculturalland mortgaged during the recentdrought spell. The groups haverepaid installments promptly,thereby enabling financing forothers. The manager of a nearbybank branch comes on apredetermined date to the VIKSAToffice in Satlasana to collectinstallments. In view of the onehundred percent repayment history,the bank has decided to open abranch in Satlasana.

ConclusionsWomen have shown moreimagination than men by investingin livelihood enhancement activitiessuch as livestock, fodder, agricultureand food security. This strengthensadaptive strategies and reducesvulnerability. Women have alsoshown greater vision bydemonstrating a higher capacity fortaking risks than men and releasingmortgaged land frommoneylenders. Women havedemonstrated money managementskills by taking bank loans to investin construction of check damsunder the Swarn Jayanti SwarojgarYojna (SJSY, a Government ofIndia’s program on promoting self-employment) scheme and repayingthe loans when the scheme moneywas released. Within three years,the women of Satlasana formed aMahila (women’s) Federation.

Scaling up and sustainabilitydimensions have been demonstratedby a similar approach in theneighboring district where womenhave formed a Mahila Federation


and are negotiating with the bankfor loans. Women are gainingprominence and are graduallybecoming part of the decision-making process at the family, villageand regional levels. They haverestored the creditworthiness oftheir villages. A committedfacilitating agency (an NGO), afinancial institution and acommitted, critical mass of womenleaders along with the appropriatepolicy changes in banks andgovernment schemes has thepotential to mainstream women andempower them by providingsustainability to their adaptivestrategies.

Beginning innocuously with aconventional savings and creditprogram three to four years ago, thewomen’s groups have today evolvedinto a federation, which indicatesinstitutionalization of the groups.They now extend finance for basiclivelihood issues such as releasingland mortgaged during drought,constructing check dams andensuring food and fodder security atthe family level. Furthermore, thegroups have also begun non-landbased income through microenterprise activities.

For the project, a villagereconstruction committee wasformed and everyone was invited tobe part of it. Even elders couldcontribute. The main strategy wasempowerment. The aim was tobuild a local institution and installlocal management. Technologicaland management capacities are builtinto the institution for all aspects ofproduction and quality checking.

Women have shown more

imagination than men by

investing in livelihood

enhancement activities such as

livestock, fodder, agriculture and

food security. This strengthens

adaptive strategies and reduces

vulnerability. Women have also

shown greater vision by

demonstrating a higher capacity

for taking risks than men and

releasing mortgaged land from

moneylenders


The project called “Development

Alternatives” intends to introduce

alternative livelihoods, especially to

women, thereby improving and

influencing their economic

condition


vulnerability to disasters andstrengthen their resilience to futureshocks – natural or man-made.

The project is investing in large-scale training and capacity buildingof masons and other artisansbeyond the three villages identifiedin order to support safe andsustainable reconstruction activitiesand growth in the housing andinfrastructure sectors. In this way,the project will be able tocontribute to livelihoods and safe(re)construction processes in thewhole region.

Families have been involved in theplanning, reconstruction design andtechnology selection process in aninteractive manner. The project hasdeveloped “indicators ofeffectiveness and sustainability”through a stakeholder-basedinteractive process. The SHGs arebeing encouraged to set upenterprises for the production ofprefabricated building elementsrequired for construction.

Trainings are conducted to enablemasons and artisans to be familiarwith the technologies. This willprovide economic opportunitythrough reconstruction andrehabilitation, involving local SHGsand other groups.

Currently, model demonstrationhouses have been constructed toshowcase local technologies, andparticipatory exercises in the designand construction of the houses arebeing completed. The people areappreciative of these efforts in allareas, although some criticism isstill being addressed.

The project called “DevelopmentAlternatives” intends to introducealternative livelihoods, especially towomen, thereby improving andinfluencing their economiccondition. It also opens thepossibility of strengthening localvillage institutional frameworks andthus facilitating a long-termsustainable development process.This will reduce the community’s

1. Promoting participatory processes is key.Community-driven initiatives are essential to support thedevelopment of adaptive capacity. These foster localinitiatives that support adaptation provided the larger issueof appropriate institutional arrangements is addressed.

2. Building adaptive capacity requires long-termsupport for the development of social assets. All theinterventions presented in the session contribute in oneor the other way to rural livelihoods by enhancing thenatural resource base. In order to sustain flow of benefitsequitably, larger issues of institutional development andstrengthening needs to be carefully addressed. This is along-term process.

3. Promoting equity builds adaptive capacity.Promoting equity helps create stronger institutions that


in turn help overcome barriers created by social-stratification. This requires effective facilitation ofcommunity-based organizations and non-governmentalorganizations over a long period.

4. Combination approach is essential. A combinationapproach targeting development of both natural and socialcapital with adequate investments over adequate durationis key in creating better adaptive capacities of communities.

5. Diversification of livelihoods system is key.Facilitating changes in the livelihoods system in whichcommunity shifts from farm-based livelihood dependenceto other alternative non-farm-based livelihood options,which are more resilient to droughts, is one of the effectiveapproaches to strengthen adaptive capacity.



DAY–2

Session–2

PARALLEL SESSION 3

Groundwater, Drought and Climate – Adaptation in the WaterSectorCHAIR: Marcus Moench, Institute for Social and Environmental Transition (ISET)

CLIMATE CHANGE AND DROUGHT: A RAJASTHAN EXPERIENCE

M.S. Rathore, Institute of Development Studies (IDS)

GROUNDWATER MANAGEMENT IN HIGHLAND BALOCHISTAN: KAREZ VS. TUBEWELL

IN ADAPTATION TO CLIMATE CHANGE

Daanish Mustafa, University of South Florida

IMPROVING ADAPTATION AND DEVELOPING LIVELIHOOD RESILIENCE

Himanshu Kulkarni, Advanced Centre for Water Resources Development and

Management (ACWADAM)

COMMUNITY INITIATIVES IN ENHANCING RESILIENCE TO COPE WITH CLIMATIC

VARIABILITY AND EXTREME WEATHER: A CASE STUDY IN MAHARASHTRA

Suruchi Bhadwal, The Energy and Resources Institute (TERI)


Page No

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formulate different strategies fordifferent locations as solutions aresite-specific. Interventions in onearea may not be appropriate forothers.

In Rajasthan, migration is atraditional coping mechanism notencouraged by the state. Thegovernment has allocated between200 and 800 hectares of wastelandfor biofuel plantations; however,this land is currently being used forsustenance of livestock andmarginal agriculture. The land usepolicy needs to consider localrequirements. At government andlocal levels, the connection betweenclimate change and groundwater isyet to be established. Unless aconnection is established, policy willnot address climate change.

The manifestations of climatechange in a specific desertarea in Rajasthan were

analyzed in a case study. Drought,groundwater and adaptationmeasures were examined. Whiledrought and water scarcity haveabrupt results, and people andcommunities are sensitive toextreme events, climate change, onthe other hand is a gradual process,not explicit and, therefore, notunderstood by local communities.Climate change affects temperature,wind velocity, precipitation andhumidity. Data relating to rainfallcovering a period of a 100 years isavailable, and it has been observedthat local communities have beenable to adapt through copingmechanisms developed over time.

However, certain changes inweather patterns are expected toincrease in severity and whether andhow people adapt to extremechanges has yet to be assessed.Change in rainfall patterns lead toshifts in agricultural practicesincluding moving away from raindependent crops, changes in landusage and migration.

Adaptation measures require dataand information on climate. It hasbeen noticed that drought – one

manifestation of climate change – isincreasing in frequency and isaffecting larger areas. However,there are significant gaps ininformation on the patterns ofclimate change. Policymakers,therefore, do not address the issueof climate change, and policy isrestricted to relief andrehabilitation. This is particularlytrue of groundwater. In Rajasthan,groundwater provides 90 percent ofdrinking water and 60 percent ofirrigation water. Over time, thequality and availability ofgroundwater has been decreasing.

ActionsNumerous efforts are being madeby NGOs and the state. TheGroundwater Act is part of thegovernment’s policy to addressdepletion of groundwater. Raisingawareness for groundwaterconservation is underway: sprinklerand drip irrigation systems arebeing promoted, and watershedsand water harvesting projects arebeing implemented. However,improvements are not visible.

In western Rajasthan, water isbrackish. There is a need to usetraditional wisdom to address waterscarcity. Diversification is onesolution. The government needs to

Climate change and drought: a RajasthanexperienceM.S. Rathore, Institute of Development Studies (IDS)

D A Y – 2 : P A R A L L E L S E S S I O N 3GROUNDWATER, DROUGHT AND CLIMATE – ADAPTATION IN THE WATER SECTOR


Groundwater management in HighlandBalochistan: karez vs. tubewell inadaptation to climate changeDaanish Mustafa, University of South Florida

A case study of transition from karez to tubewell irrigation in Balochistan,Pakistan, is used to illustrate the utility of engaging with contemporarywater problems and religio/political reconstruction to glean insights onadaptation to climate change. Analyses reveal that the transition fromkarez to tubewell irrigation was neither inevitable nor necessarily moreadvantageous, but the outcome of deliberate policy choices by thegovernment. The diffusion of tubewells is weakening the traditionalresilience of the local communities to episodes of environmental stress,such as droughts. At the policy level, the differential power of thediscourse of modernization coupled with the power of the large farmersis facilitating rapid diffusion of tubewells in Balochistan. It is proposedthat climate change research agenda at its core is really about adaptationto an increasingly uncertain future. Modern groundwater managementtechniques, much the same as in other sectors, are predicated upon anassumption of past environmental averages prevailing into the future.Accumulative development strategies based on such assumptions arelikely to render the future of fragile drylands like Balochistan much moreperilous in any future climate change scenario.

ABSTRACT

Four conceptual approaches:computer modeling –scenario building based on

computerized General CirculationModel (GCM) results; anecdotalevidence of historic climatevariability and environmental stress;contemporary water problems; andcritical religious reconstruction, havebeen proposed to understand futureimpacts of global climate change onwater resources in South Asia.

Although, international scholarlyattention is mostly devoted to the

first and to a lesser extent, thesecond approach in informingmitigation and adaptation to globalclimate change, in the South Asiancontext, it might be the latter twowhich are more pertinent.

A case study of transition fromkarez to tubewell irrigation inBalochistan, Pakistan, is used toillustrate the utility of engagingwith contemporary water problemsand religio/political reconstructionto glean insights on adaptation toclimate change.


The diffusion of tubewells is

weakening the traditional

resilience of the local

communities to episodes of

environmental stress, such as

droughts



The karez system consists of anunderground channel connected withmaintenance wells where the motherwell operates through gravity. Thistechnology is estimated to be 3,000years old and similar systems existedin the Middle East, North Africa,Central Asia and as far as in Spain,Peru, Mexico and Japan.

The field study was conducted inseven villages in the districts ofMastung and Killa Saifullah of theBalochistan province in Pakistan,and covered both Pashtun andDehwar areas. The region is aridand similar to Utah and NewMexico. There have been droughtsin this area for the past seven years.The primary sources of income arethrough labor, agriculture,employment out of the village,business and livestock. The studywas conducted through 147questionnaires distributed to bothmales and females. ParticipatoryRural Appraisals (PRAs) were madealong with interviews with decisionmakers and a review of publishedand gray literature. Of therespondents, 52 percent said thatthe karez had no future, 19 percentof the replies were maybe/conditional, and 22 percent felt thatthe karez had a future.

People need quick responses to theirproblems during drought, and freetubewells that are subsidized by thegovernment are increasingly beingused. This has resulted in decliningwater tables, resulting in the failureof the karez system.

The reasons for the success of thekarez system were that it required

no electricity which was expensive,community interest, elite pressure,communal harmony, satisfactoryproductivity, better sustainability,and advantageous and well-protected water rights. Thefollowing quote by a local wateruser illustrates the communalharmony aspect of the karez system:“Karezes were a great source ofsocial and communal life for usvillage folks. People would sit ontheir sides and discuss their issuesand find solutions to their problems.But modern times, new technologiesand tubewells have dried out thekarezes and their resurrection is nolonger possible, nor is there anyfuture for the existing ones” (GhausBux, karez Kunghar).The reasons for drawing upon asupplementary irrigation, besideskarez, are the decline of the karez,change of cropping pattern,inheritance, economy,individualism, social freedom, pastwater scarcity, drought cropping,and on demand water.“People have turned to the tubewellbecause the karez went dry. Somepeople even sold their land andwater right because of the droughtwhich is considered extremely lowand objectionable in ordinarycircumstances” (Roohullah, Yakubkarez).“Times have changed. Newtechnology is coming in, with newmachines, and new people who likethe latest machines. Traditionalirrigation is being progressivelyforgotten” (Khaliqdad, karezKunghar).

The main advantages of tubewellirrigation listed by the survey

The karez system consists of an

underground channel connected

with maintenance wells where the

mother well operates through

gravity. This technology is

estimated to be 3,000 years old

and similar systems existed in the

Middle East, North Africa, Central

Asia and as far as in Spain, Peru,

Mexico and Japan



respondents were: expansion incultivated area, higher productivity,and social freedom, and its role as atemporary drought copingmechanism that has now becomepermanent.

The use of tubewell irrigation hasoften led to community conflict. Itis more expensive to install and hashigh operation and maintenancecosts as electricity is expensive.There has been a decline in thewater table, water wastage is highand soil erosion higher. It is morerestrictive in use and cash-dependent.

Consequences of tubewelladoptionThere has been a decline in watertables that has led to rural to urbanmigration and greater pauperizationof smaller farmers. Large farmershave become more powerful, andthere is a breakdown of socialcapital. There has been a greaterintegration of rural Balochistan intothe monetary economy of Pakistan.On the other hand, water qualityfor domestic use has improved anddrought coping and sustainingsome livelihoods increased.

Ninety-six percent of therespondents, some of them despitehaving switched to tubewells, preferkarez irrigation. The technique canbe and should be saved.

Groundwater managementoptionsMore research on karez relatedhydrology and engineering alongwith cultural attitudes towardgroundwater management and

modernization needs to beundertaken. The cultural/socialcapital around karez must be usedfor developmental ends. Policydistortions that encourage tubewelldevelopment should be removedwith the primary objective being onresilience to environmental stressinstead of accumulation.

The karez system has sustainedcommunity life, economic well-being, and ecological balance inBalochistan through various naturalclimatic variations for millennia.Therein lies proof of its relevancefor a future with humanly inducedclimate change.

Resource management attitudes andtechnologies of moister regions arebeing uncritically applied in the aridrealm. The society and ecology ofdrylands will be extra vulnerable toclimate change as a consequence.

Analyses of the field study resultsand policy context of groundwatermanagement in Balochistan revealthat the transition from karez totubewell irrigation was neitherinevitable nor necessarily moreadvantageous, but rather theoutcome of deliberate policy choicesby the government. The diffusion oftubewells is weakening the traditionalresilience of the local communities toepisodes of environmental stress,such as droughts.

At the policy level, the differentialpower of the discourse ofmodernization coupled with thepower of the large farmers isfacilitating rapid diffusion oftubewells in Balochistan. The

The use of tubewell irrigation has

often led to community conflict. It is

more expensive to install and has

high operation and maintenance

costs as electricity is expensive.

There has been a decline in the

water table, water wastage is high

and soil erosion higher. It is more

restrictive in use and cash-

dependent



Karez


It is proposed that the climate

change research agenda at its core

is really about adaptation to an

increasingly uncertain future.

Modern groundwater management

techniques, much the same as in

other sectors, are predicated upon

an assumption of past

environmental averages prevailing

into the future


transition from karez to tubewellirrigation has negativeconsequences for social equity andenvironmental quality.

The contemporary water problemof declining water tables because ofover pumping of groundwater withtubewell is illustrative of the typesof stresses that agro-ecologicalsystem in Balochistan is likely toface in the climate change future.Similarly, people’s discursiveengagement with the transitionthrough the lens of the breakdownof traditional values and worldviews is illustrative of the relevanceof engaging with the religio/cultural

With the tubewell I plant new typesof crops. I have given bazgari(tenancy) and jobs to people. Therewas no bazgar on my lands, nowthere are five families settled on it.My interaction with the villageincreased, so did the productivityand the cropped area (Abdul Malik,Soghai Allahdadzai).

For domestic use, karez water wasnot good. It was saltish and had ironin it. The tubewell water is sweetand clean (Khadija, karez Noth).

Tubewell works better for usbecause we can get water in thehouse which lessens our workburden (Amna, karez Kunghar).

Karez was better because wewomen could get together there andshare the gossip, news and advice.It flowed perpetually and we coulduse it anytime (Gohar Khatoon,karez Noth)

political reconstruction of resourceuse by communities.

It is proposed that climate changeresearch agenda at its core is reallyabout adaptation to an increasinglyuncertain future. Moderngroundwater management tech-niques, much the same as in othersectors, are predicated upon anassumption of past environmentalaverages prevailing into the future.Accumulative developmentstrategies based on suchassumptions are likely to render thefuture of fragile drylands likeBalochistan much more perilous inany future climate change scenario.

More voices


In our area there is no governmentrestriction on tubewells. Even if oneof us wants to install a tubewell, hewill have to do it by the villagers’consent. It is not going to happenwithout collective consent (AbdulHakim, Pesha Morezai).

[With tubewells] I would go so far asto say that we are spending awayour future generations’ water todaylet alone [water for] the future ofkarez irrigation! (M. Ayub, karezKunghar).

But a tubewell is owned by anindividual from which two or threepeople are earning their living, but akarez is communally owned fromwhich 500-1,000 people may beearning their living. So you figureout that when a tubewell gives anindividual benefit, how many loseout (M. Ismael, Banghi karez).

Improving adaptation and developinglivelihood resilienceHimanshu Kulkarni, Advanced Centre for Water Resources Development and Management (ACWADAM)

The issue of adaptation of groundwater-dependent livelihoods to theeffects of climate change is very significant to a country like India. Alarge part of water use in India is through groundwater. The responsesto extreme events are targeted at immediate relief. Despite efforts inimproving disaster management systems, the responses still remainone-off events to a particular extremity like a flood or a drought or, morerecently, the tsunami. It is increasingly becoming evident that sustainabledisaster management, especially in case of water shortages inducedby droughts, which themselves fall as imprints on groundwater problemareas, needs to develop further into long-term processes thatcontinuously evolve with experience, information and technology. Theseprocesses ought to, among other things, include a set of intensive actionsthat develop resilience of livelihood and the capacity of suchcommunities to adapt to climatic variability.

ABSTRACT

This has special reference togroundwater-dependentcommunities. The biggest

challenge is coming to terms withvariability and scale. The basicpremise is diversity of geology,common to many parts of India.

The effect of scanty rainfall is oftenlabeled as drought. This, in reality,is scarcity. During these scarcityperiods, people use moregroundwater and the effect isreflected in the falling level ofgroundwater over the next fewyears. This is what “groundwaterdrought” really is. Over abstraction

of groundwater and deterioration inits quality have impacts onlivestock, economy and even humanhealth. Very often, the root of agroundwater drought may actuallybe after an abnormally high rainfallyear, when people are prone toextract more groundwater foraugmenting sources of income,especially through increasedirrigation.

The response to this is immediaterelief to the one-off event ratherthan long-term processes to addressthe problem(s). The commonresponse is to mainly increase the



The effect of scanty rainfall is

often labeled as drought. This, in

reality, is scarcity. During these

scarcity periods, people use

more groundwater and the effect

is reflected in the falling level of

groundwater over the next few

years

supply of water by increasingrecharging and water harvesting,but these are linear and relativelyshort-term solutions.

There is a need for long-termresponses to a changingenvironment and the responseprocesses should evolve usingscientific information, technologyand experience. The process shouldaddress adaptation in the context ofvariability, change and scale alongwith livelihood resilience. To dothis, resource understanding has tobe corrected by understanding thelivelihood requirement of thecommunity and adaptation optionsbeyond the conventional “have to”setup.

A two-way approach is required tomeaningfully address reducingvulnerability. On the resource side,management of groundwaterresources has to be based ondemand and not supply. Until about20 years ago there were buffers thatwere self-regulated. Now aconscious effort for formal/informalregulation is necessary. On thelivelihoods side, there must belivelihood diversification within andoutside agriculture. The answers tomany groundwater-related problemsare usually found in existingadaptation patterns, for which thereis a need to perceive resourcebehavior under these patterns andalso study the options exercised bydifferent sections of one communityas well as by a diverse set ofcommunities.



Droughts impacting groundwater

Copping strategies to access depleted groundwater

Water conservation

Community initiatives in enhancingresilience to cope with climatic variabilityand extreme weather: a case study inMaharashtraSuruchi Bhadwal, The Energy and Resources Institute (TERI)

Supported by the World Bank, this ongoing study seeks to identify issuesand opportunities that enhance coping strategies of communities indealing effectively with extreme weather events including droughts andfloods. Of the 17 villages covered as part of this study, this case studyto be presented discusses the preliminary findings from one of thevillages surveyed in Maharashtra, India. It is an outstanding example ofthe role of community-based initiatives in enhancing resilience to copewith climatic variability and extreme weather conditions. Located inAhmednagar district in the Nagar taluka, “Hiwre Bazaar” is presentedas a model village where specific interventions taken up by thecommunity itself resulted in improved living conditions.

The case study discusses the developments that have taken placein the village over the last 15 years and the resulting observed changes.It highlights how strong leadership at the village level can transform theconditions of a water-scarce village into one that is self-sufficient andsustainable. It highlights that ownership matters at the local level andpromotes effective management of watersheds. Positive developmentson the environmental front have been higher water tables and ecosystemrestoration, and on the socioeconomic front, development of alternativeincome-generating activities and a check on out-migration. The villagehas introduced its own water regulations linked to its crop plans. Theyhave changed their cropping patterns away from the profitable but waterguzzling sugarcane crop. Annual decisions on cropping intensity aremade collectively within the village, ensuring efficient management ofthe resource and equitable distribution of yields. The village thusrepresents a successful example of self-enhancement of resilience incoping effectively with climatic variability and conditions of extremeweather and highlights the role that communities themselves can playin achieving this result. Such examples are, however, very limited; theprocesses that worked need to be understood in order to replicate similarefforts in other drought-prone villages.

ABSTRACT



This ongoing study seeks to

identify issues and opportunities

that enhance coping strategies of

communities in dealing

effectively with extreme weather

events including droughts and

floods

With the support of theWorld Bank, TheEnergy and Resources

Institute (TERI) carried out17 surveys across India. Thepreliminary findings at HiwreBazaar, Maharashtra, highlights thedifference that communityinitiatives can make in enhancingresilience and coping effectivelywith climatic variability and extremeweather conditions. The broadergoals of the study were to assesscoping capacities of communitiesand factors that influence theimplementation of these measures,along with a cost-benefit analysis ofaction versus no-action for certainproposed interventions.

Hiwre Bazaar is located in Nagartaluka of Ahmednagar district. Themajor crop in the village issugarcane. Ahmednagar lies in azone of scarcity and is affected bydrought. It is covered by both theGodavari and Krishna basins andthe Mula and Parvara tributaries.Dams have been constructed in thehigh rainfall zone but they do notsupply water to all talukas(administrative breakdown of adistrict). None of the thousands ofvillages in Nagar and Patharditalukas receive any irrigationintervention programs, althoughtheir primary occupation isagriculture. In a few villages,however, some watersheddevelopment activities have beeninitiated under the government’sDrought Prone Area Programme(DPAP).

About 15 years ago, Hiwre Bazaardid not fall under the DPAP and

was therefore not targeted for anywatershed development. Because ofsuitable soils and easy access tomarkets, water intensive crops likesugarcane were grown. Water tableshave been falling dramatically andwater availability for irrigation aswell as drinking has become a majorproblem. Agriculture is no longerviable, resulting in large-scale out-migration in search of alternativelivelihoods.

Over the last 15 years, the villageheadman introduced soilconservation measures in the higherground, including trenches tocontrol soil erosion and improvefertility. While most villagers wereinitially not supportive of theinitiative, a small number of peoplewho were directly affected by thethreat of water use upstream on thehill affecting its availability to themwere interested. Runoff from thehillock, which bypassed the village,was high and recharge within thewatershed low. People started


Soil conservation measures

Water storage andrecharge


building and restoring large andsmall water tanks for storage andrecharge. The tanks were locateddownhill in series.

These activities reduced runoff,increased recharge rates andincreased water tables – water levelsin open wells rose visibly.Community as well as bilateralinvestments in soil conservation andtank development began. Today, thewater tables are at between 40 and50 feet below ground and water isavailable for irrigation. This helpsstop out-migration and opensavenues for other incomegenerating opportunities. Otherprograms in the village are properlyplanned and implemented. AnNGO has been established, themembers of which are the villagersthemselves. Several villagedevelopment activities are beingpromoted, including education andhealth centers. In some cases,technical expertise has been soughtfrom government bodies, especiallythe rural development department.

The villagers were convinced not togrow sugarcane but grow onionsand maize instead, greatly reducingwater usage. Which crops areplanted each year are based on anannual review of the rainfall.

Lessons learnedStrong leadership in the village hastransformed the resilience of thecommunity to cope throughdrought years. Examples can be

quoted from elsewhere in thecountry where local level initiativesunder strong leadership have beensuccessful. One is Tarun BharatSangh, another are the initiativestaken by Shri Ana Hazare in villageRalegaon Sidhi. There is a strongneed to understand the processesbehind these successes and use themas testimonials for replicationelsewhere.

The role of local institutions inenhancing capacities for communitydevelopment is extremelyimportant. Planned adaptation(government initiatives forproactive adaptation to climatevariability and change) and socially-driven adaptation (local responsesto climate extremes) do worktogether. Empowered panchayats(local village-level governingbodies) have the capacity to developself-sufficient villages.

Strong leadership in the village has

transformed the resilience of the

community to cope through drought

years


Empowered panchayats have the capacities to develop self-sufficient villages,in meeting their needs and in strengthening the country as a whole


1. Breakdown of traditional systems. The introductionof new technologies, such as tubewells, often leads to theextinction of local systems. The advantages andappropriateness of traditional systems, which have workedfor centuries, need to be reflected in education. Inwatershed management programs in Pakistan, communityresources often become private property which leads toinequity. Karez was a system where households and thecommunity were directly involved, as they had to bepresent for drawing water. The system functioned as aninstitution where issues were addressed and disputes wereresolved. Now the karez system has been replaced byNGOs and the state.

2. Impact of breakdown of traditional systems. InBalochistan, the majority of people are dependent on


traditional systems such as karez as they cannot affordtubewells. The breakdown of the traditional karez systemhas led to migration, increased vulnerability and growthof illegal occupations such as smuggling and trafficking.Karez systems could be restored and used in conjunctionwith supplementary supplies from tubewells.

3. Looking beyond hydrology. Solutions to waterscarcity are generally sought through direct interventionsin the hydrologic cycle. Interventions such as watershedmanagement, water harvesting and other watermanagement activities are partial responses. Acomprehensive solution needs to include factors that gobeyond water management. Changes in agriculturepractices and crop diversification can improve conditionsof water demand as well as improved livelihoods.



DAY–2

Session–2

PARALLEL SESSION 4

Policy Level Flood and Drought Issues – From Reconstruction toResilience

CHAIR: S. Janakarajan, Madras Institute of Development Studies (MIDS)

PLAYING WITH DISASTERS: POLITICS OF FLOOD AND DROUGHT IN TAMIL NADU

S. Janakarajan, Madras Institute of Development Studies (MIDS)

HOUSEHOLD AND COMMUNITY RESPONSES TO FLOODS, DROUGHTS AND CLIMATIC

VARIABILITY

Nafisa Barot, UTTHAN

DEVELOPMENT ALTERNATIVE’S EXPERIENCE IN ADDRESSING ADAPTATION TO

CLIMATE CHANGE

Anish Chatterjee, Development Alternatives (DA)

LIVELIHOOD CHALLENGES OF CENTRAL INDIA

Vivek Sharma, Centre for Advanced Research and Development (CARD)


Page No

100

102

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111

115


Adisaster, natural or a man-made, can totally disruptthe normal functioning of

a society. It can cause enormousdamage to property and result inchanges to human settlements,ecosystems and the environment.The more vulnerable sections ofsociety are disproportionatelyaffected, which often leads tomigration and trafficking as peoplestruggle to find new livelihoods.The people of Tamil Nadu sufferedthree disasters in a row – a droughtthat persisted for four years (from2001 to 2005), the tsunami in2004, and the flood of 2005.

The flood damage in Novemberand December of 2005 left at least672 people dead. Over 250,000were rendered homeless, and700,000 trapped in the floods.Over 350,000 hectares ofagricultural land was destroyed,3,000 irrigation tanks and 1,500river banks and canals breached,and 20,000 km of road damaged.

The following questions must beasked in addressing these disasters:� To what extent are the floods anddroughts due to human activities?� What are the lessons learnedfrom past experiences, both at thelocal and state level?

� To what extent has conventionalwisdom of the state, such as thedistribution of relief materials andfunds, helped in mitigating theimpacts of these disasters?� What are the coping strategiesadopted by the most vulnerable?� To what extent does politics playin disasters, and are their impactsbetter mitigated in a democracy?

The political community oftenuses disasters to promote itspolitical agenda. Tamil Nadu’sstate assembly elections are due inMay 2006 and, therefore, thedrought, tsunami and flood havebecome hot political issues. Boththe ruling and opposition partieshave played into these disasters,criticizing the flood managementand relief operations of the otherin their campaigns. Relief materialand funds following the 2005flood, for example, weredistributed to anyone who had aration card, whether they wereaffected or not, whether they werepoor or not, despite the fact thatthe state received only Rs. 10billion (US $225 million) out ofthe unprecedented Rs. 136.85billion (US $3.08 billion) itrequested in relief funds from thecentral government. Theopposition parties demanded an

Playing with disasters: politics of flood anddrought in Tamil NaduS. Janakarajan, Madras Institute of Development Studies (MIDS)

D A Y – 2 : P A R A L L E L S E S S I O N 4POLICY LEVEL FLOOD AND DROUGHT ISSUES – FROM RECONSTRUCTION TO RESILIENCE

The political community often

uses disasters to promote its

political agenda


all-party committee to disburserelief funds, but the ruling partyrefused.

The usual government response todisasters is relief. There is littleproactive, long-term strategydevelopment to mitigate theimpacts of and to cope withdisasters. Risk reduction strategiesare almost non-existent. There hasbeen a failure to understand the linkbetween the long-term drought andthe impacts of flood. Had thedrought been better managed, theflood that came immediatelyafterward might have caused lessdamage and floodwaters could havebeen captured for future use by thewater-starved state. Instead, about15,000 million cubic feet of waterin Chennai (two years’ supply to thecity) and around 200,000 millioncubic feet in the Cauvery Riverwere flushed out to the sea.

The impacts of disasters have beenexacerbated by harmful humanactivities. In the city of Chennai, forexample, 6,000 hectares ofmarshland on the outskirts of the

city have been reduced to 600hectares. There are 150 templetanks in the Chennai metropolitanarea, traditionally used as waterreservoirs, that are now used asdumps or are silted up. All theirrigation canals, rivers and watertanks in the entire state, includingwithin Chennai city, have beenencroached for construction worksand filled with silt. Had these issuesbeen addressed during the droughtyears, the damage caused by theflood would have been greatlyreduced.

Vulnerability to disaster increaseswith decreasing economic and socialstatus and lack of information. Inthe case of drought and flood,however, everyone was aware of thedangers posed by wantonconstruction of buildings over tanksand waterways. Although the stateplanning authorities have no controlover these reckless builders, theystill provide relief and compensationfollowing a disaster in order tocurry their support and vote duringelections.


The usual government response

to disasters is relief. There is

little proactive, long-term

strategy development to mitigate

the impacts of and to cope with

disasters

Gujarat has the largestcoastline in India with asea board of 1,633

kilometers. The coastline is also oneof the richest in terms of itsecological resources, culture andbiodiversity. Recent disasters such asthe earthquake, cyclone, tsunamiand severe floods have highlightedthe extreme vulnerability of coastalcommunities.

UTTHAN’s experience in threedistricts of Gujarat – Ahmedabad,Bhavnagar and Amreli – over twodecades has clearly shown that therapid degradation of naturalresources due to humaninterventions, includingdeforestation, mining of sand fromthe sides of the rivers,indiscriminate water mining,construction of big dams without

appropriate maintenance andregulatory systems, and changingland use patterns, is the major causebehind the severe impacts fromfloods and cyclones. These have

Household and community responses tofloods, droughts and climatic variabilityNafisa Barot, UTTHAN

The recent disasters such as the earthquake, cyclone, tsunami andsevere floods have highlighted the extreme vulnerability of coastalcommunities in Gujarat. The coastline is also one of the richest in termsof its ecological resources, culture and biodiversity. UTTHAN’sexperience over two decades has clearly shown that the rapiddegradation of natural resources due to human interventions is the majorcause of severe impacts. UTTHAN aims at facilitating community-basedscientific action research and plans that will help in advocacy of issues.

ABSTRACT



Recent disasters such as the

earthquake, cyclone, tsunami and

severe floods have highlighted the

extreme vulnerability of coastal

communities

resulted in siltation, land erosion,salinity, loss of property andlivelihoods, increasing drudgery,poor health and the divide overaccess to livelihood resources –especially by vulnerable sectionssuch as women, the poor, dalitsand muslims.

Vast stretches of flat, barren andsaline land near the Dholera coastof Ahmedabad contained lush greenmangrove forests, piloo (salvadorapersica) and many other salt tolerantspecies some 50 years ago. Similarly,certain parts of Amreli andBhavnagar were known for theirrich orchards, and agricultureneeded large-scale labor fromoutside. Now, the large-scaledeforestation of mangroves andother species from the coast pluslimestone mining and irresponsiblechange in land use patterns(especially by the industries in thecoastal region and also from watermining upstream) has resulted inthe formation of wide mud and saltflats where there were once rivers.These allow heavy seawater ingress,spreading salt over vast stretches ofland. Simultaneously, silt from themainland fills up river mouths. As aresult, Dholera port has closeddown and Bhavanagar port reportsheavy and unmanageable siltation.Some of these areas get maroonedduring the rainy season only to facea severe drought in the followingsummer. Now, instead ofimmigration for tending to orchardsand agriculture, there is large-scaleemigration of communities.

With the changing ecologicalsituation, people’s own knowledge

of early warning systems andtraditional strategies to respond tonatural calamities, have been lost.They used to predict heavy or scarcerains and the direction of the flowof water from the behavior of someof the birds and animals.

ImpactThe major impact of extremechanges is on women and the poor,especially with regard to the severescarcity of fresh water for drinkingand other resources for livelihood.Sanitation is getting worse andemerging as a major issue of dignityand safety for women and girls.Taking credit for agricultural inputs,health and basic survival needs hasresulted in major debts due to highinterest rates that can reach 120percent annually. The changingenvironment on the coast has led togreater inequity in resources, withsmall farmers selling land to bigfarmers who have wells and otherresources. This is why a largesection of the community migrates,either with the entire family orleaving behind the old and very


Resource degradation and gender

Women mobilization



young who cannot work. Thesemigrants mainly work in thediamond polishing industry asunskilled labor. A few work asskilled labor, too.

Community responsesThere have been various responsesfrom the communities to adapt tosituations over time, though somehave had drawbacks. For example,the change from rainfed togroundwater irrigated agriculture insome places has yielded moresalinity and crop failure. Also, thecommunity realizes that migrationas an adaptation is neithersustainable nor desirable. Theyknow migration leads to disruptionof children’s education, increasedconflict in the urban areas, andincreased insecurities for women.On the positive side, this perceptionhas led to the younger generationinvesting in rainwater harvesting intheir villages for development ofdegraded water resources, forexample. The groundwater rechargemovement in Saurashtra was largelysupported by the migrantcommunities.

Government responsesThe government has not respondedto these changes in a proactivemanner, which has increased theimpacts of disasters. Manycommunities have been demandingcertain types of structures thatwould give them protection againstheavy or scarce rains, embankmentsthat are pitched, with appropriatedrainage channels, for example, orthe development of mangroveplantations to address salinityissues. However, government

responses are mostly late and reliefwork often begins after a largenumber of people have migratedfrom the areas. Because ofshortsighted planning andcorruption, structures areconstructed that are often of no useand, in the process, people have lostfaith in the system.

InterventionsNGOs including UTTHAN, AgaKhan Rural Support Program –India (AKRSPI), LokbharatiSanosara and Development SupportCentre have received a goodresponse from the communities forimplementation of programs suchas watershed management,recharging of well, development ofgood farming practices, anddiversification of occupations suchas fishing. In this way, thecommunities have been encouragedto adapt to newer practices forimproving soil, water and othernatural resources. UTTHAN’s


The groundwater recharge

movement in Saurashtra was

largely supported by the migrant

communities


major focus has been onempowerment of the communitiesby influencing the mindset of thepeople at different levels based onthe values that will help installgender equity, peace and self-reliance in society. Dialogues withcommunities on the issues ofgender equity and sustainability inthe context of disasters andvulnerability have begun.

UTTHAN has four sets of strategicinterventions. The first is to aim tofacilitate community-based scientificaction research and action plans thatwill help in advocacy of issues,including allocating land to thelandless and women; proactivesupport for development ofinfrastructure as identified by thepeople instead of the government’spresent plans that do not take intoconsideration the needs of thecommunity; and mobilizingresources to support communityinitiatives. The second strategic

intervention is adapting viable earlywarning systems found in otherareas. The third is mainstreaminggender perspectives. The fourthstrategic intervention is buildingand strengthening linkages withscientific and educationalinstitutions, governmentdepartments and other networks, aswell as connecting communitiesacross the region.

Committees are being formed fordisaster preparedness, watershedmanagement, water and sanitation,river basin, health, and youthgroups. A women’s federation hasalso been established. These willnetwork or/and collaborate with:PRAVAH, Water Supply andSanitation Collaborative Council/Water, Sanitation and Hygiene(WSSCC/WASH) in the area ofwater and sanitation; coastal areanetwork; Mahila Swaraj Abhiyan;Sajjata Sangh, Jal Biradari,Groundwater Authority (GWA),


Committees are being formed for

disaster preparedness, watershed

management, water and

sanitation, river basin, health, and

youth groups. A women’s

federation has also been

established


Integrated Water ResourceManagement (IWRM, watershed);and violence against women groups.They will also collaborate withcurrent government programs,including Swajaldhara (WASMO),Watershed (DRDA), Ground WaterResource Development Corporation,Forest and Irrigation Department,and Salinity Ingress Prevention Cell.

ChallengesThe impact of globalization is felt inland allocation and in the influx oflarge industry (port building,cement, chemical, salt, sand andlimestone mining and trawling).This leads to conflict between theindustries and the localcommunities over natural resourcesand the kind of infrastructureneeded. Another threat is rapidurbanization and communalconflict. All these are threats to thelivelihoods and well-being of localcommunities. They give rise toincreasing gender inequities andcommunal insecurity. There is a lackof appropriate policies andlegitimate space for community-based organizations (CBOs) andcivil society. There is no properunderstanding of local knowledge –no scientific, socioeconomic orecological studies; anddocumentation and disseminationof good practices have not yetbeen done.

Future actions include:� establishing area-level gender-sensitive institutional mechanismsfor knowledge and informationexchange and collective actions;� creating awareness through acoastal learning center and various


area-level institutions includingpanchayats;� capacity building andsensitization at various levels fordisaster preparedness and conflicttransformation;� management through CBOs,government, research and resourceinstitutions; and� action research anddocumentation that will� undertake a scientific study on

resources (potential of reviving/modifying existing infrastructure,availability of land, governmentresources, and vulnerability atarea level);

� create a community-based actionplan;

� document major learning, goodviable practices and people’sinitiatives; and

� identify advocacy issues andstrategies.

Large-scale demonstrationof viable alternatives andexperiments beingimplemented by UTTHAN� Promotion of rainwaterharvesting, conservation, sanitation(loans, contributions andgovernment programs)� Sealing the saline aquifers inthe wells� Implementation of goodpractices in agriculture, horticulture,plantation of mangroves, salt-tolerant species, medicinal plants� Promotion of viablediversification through appropriatesupport – fishing, services, off-farmproducts� Establishing and organizinglocal-level livelihood securitysystems/banks – drinking water and

Globalization leads to conflict

between the industries and the

local communities over natural

resources and the kind of

infrastructure needed. Another

threat is rapid urbanization and

communal conflict. All these are

threats to the livelihoods and

well-being of local communities


sanitation, food grains, fuel, fodder,medicines, etc� Operationalizing earlywarning system – linking volunteerswith reliable information source,mobiles, radio and hamoperators� Demanding collective landownership� Ensuring implementation ofright to information through publichearing and access to relevantinformation� Dialogue across the areasupstream, downstream and alongthe coast line in the areas ofcommunity norms and mechanismfor equitable and sustainableresource use.

UTTHAN is currently advocatingthe government to undertake orsupport:

� a review of ongoing projects suchas tidal regulators;� development of degraded sites;� land allocation to vulnerablesections especially women andlandless groups;� resource allocation and proactivesupport for disaster preparedness;� support to communities to builddisaster resistance structures – waterstructures, toilets, schools andhealth facilities;� establishment of regulatorymechanisms – agricultural policies,norms for water use/pricing andmonitoring; institutional reformthrough consultative processes at alllevels; and� convergence between forest,watershed, water and sanitation,and agriculture departments, theGroundwater Board, SalinityIngress Prevention Cell and GenderResource Centre.

One alternative is operationalizing early

warning system – linking volunteers

with reliable information source,

mobiles, radio and ham

operators

Climate change is likely tothreaten India’s foodsecurity, increase water

stress, result in sea level rise andincrease the occurrence of diseases,especially malaria. Lack ofavailability and access totechnological and financial resourcescoupled with a high dependence onclimate sensitive sectors –agriculture, fisheries, forestry – havemade India highly vulnerable toclimate change. Adaptation toclimate change is, therefore, criticalfor India.

Development Alternatives (DA) hasbeen involved in addressingadaptation to climate change atvarious geographic scales. Over thelast 22 years, a range ofinterventions related to adaptationhave been accomplished. Theseinclude vulnerability assessments,development of adaptationstrategies and their implementation,and rehabilitation and resettlementof disaster-affected populations.Successful interventions promotingself-governance, microfinance andinsurance schemes, women’sempowerment, social cohesion andself-help to meet basic needs in asustained way have also been thekey focus areas of the organization.

One area that DA focuses on isRajasthan. The state of Rajasthanexperiences both an arid and semi-arid climate; India’s initial nationalcommunication to the UnitedNations Framework Convention onClimate Change (UNFCCC)projected that 60 percent of the areaof Rajasthan is likely to experienceacute physical water scarcity.

Approach to buildingadaptive capacityDroughts are increasing infrequency and intensity. They nowoccur in successive years and have awider geographical impact,eliminating the option of movingcattle to nearby grazing grounds.Traditional agricultural practicesthat included growing less waterintensive crops such as jowar and

Development Alternative’s experience inaddressing adaptationAnish Chatterjee, Development Alternatives (DA)

Drought Impacts in Rajasthan, 2002-2003

Rainfall deficiency -55%Districts Affected 32Villages Affected 41,000Affected Population (million) 43.2Affected Livestock (million) 54.3Daily wages of manual labor have dropped fromRs. 60-70/day to Rs. 30-40/dayOnly half of the 500,000 jobs expected to be generatedthrough the Food for Work Program were created.

Approach – stakeholder interaction



bajra (millets) had to be revived andcontour bunds built around thefields to help retain available water.Wells had to be de-silted and clothused for filtering drinking waterduring the droughts. New pondsand wells had to be dug andexisting ones deepened.

Drought adaptation measuresinclude constructing anicuts, whichhelp not only store water but alsorecharge groundwater in nearbyaquifers and wells. The use ofvermi-compost as a fertilizerincreased soil moisture and reducedthe water requirements of crops.Non-governmental organizations(NGOs) provided guidance on less-water-intensive fodder and othercrops to cultivate, including sonamukhi (Cassia angustifolia), adrought-tolerant medicinal plant.

Water availability for both drinkingand irrigation improved. Drinkingwater is now available almost

throughout the year, and the waterstorage structures have allowedvillagers to irrigate their fieldsduring the winter as well as thefollowing cropping season.

The increased availability of waterand fodder allowed wastelands tobe reclaimed and used foragriculture and cattle rearing, which

Traditional Practices

Adaptation Measures


D A Y – 2 : P A R A L L E L S E S S I O N 4POLICY LEVEL FLOOD AND DROUGHT ISSUES – FROM RECONSTRUCTION TO RESILIENCED A Y – 2 : P A R A L L E L S E S S I O N 4POLICY LEVEL FLOOD AND DROUGHT ISSUES – FROM RECONSTRUCTION TO RESILIENCE

Drought adaptation measures

include constructing anicuts, which

help not only store water but also

recharge groundwater in nearby

aquifers and wells


contributed to greater incomes.Since there is a very high demandfor medicinal plants, revenue fromthese was high. Growing vegetablesin addition to the staple crops waspossible thanks to improved wateravailability; the vegetables providefood security, better nutrition andrevenue.

In addition to the above activities,NGOs should facilitate theformation of self-help groups(SHGs). These groups can initiatesavings and credit schemes to helptide members through difficulties.

The strong presence of local NGOsin communities helps. These canhelp empower villagers, whichincludes raising their awareness

Adaptation Measures

about water crises and trainingthem in innovative, adaptivetechniques. Simple agricultural riskmitigation schemes are needed toreplace the existing ones that havelimited coverage, are cumbersomeand time consuming. Despiterepeated crop failures, no effectivecrop insurance scheme has yet beenintroduced. The gap that oftenexists between project planning andimplementation is due to a lack ofawareness in communities, delay intapping into government-fundedschemes, complex and cumbersomeprocedures when dealing with thegovernment, and lack ofcoordination among implementingagencies. Communities need to beempowered to take action and takethings into their own hands.

The gap that often exists

between project planning and

implementation is due to a lack

of awareness in communities,

delay in tapping into

government-funded schemes,

complex and cumbersome

procedures when dealing with

the government, and lack of

coordination among

implementing agencies



In India, the tribal populationlargely consists of people whodwell in afforested and hilly

areas that are remote and do nothave good communication facilities.The result is extreme poverty.Development of such rural areasmust, therefore, address issues ofpoverty, illiteracy and ignorance.

Many NGO programs andgovernment interventions exist fornatural resource development andlivelihood improvement, but theirreach into remote areas is limited.The Centre for Advanced Researchand Development (CARD) hasconducted several evaluations ofgovernment programs forwatershed development, and has

been involved in building capacityof various stakeholders in watershedprograms. It also implements manyof its own projects. In MadhyaPradesh, CARD is implementingseveral pilot projects in three fieldareas identified for representingthree distinct regions of the state.

The tribal populations in the statesof Madhya Pradesh and Chhattisgarhmake up 27 percent of the totaltribal population in India. Thesetribes are mainly concentrated in theeastern and western belt of thesetwo states. The eastern region isdominated by the Gond tribe andhas a large, poor population andpoor infrastructure, though it iswell endowed with forest resources.

Livelihood challenges of central IndiaVivek Sharma, Centre for Advanced Research and Development (CARD)

In India, the tribal population largely consists of people who dwell inafforested and hilly areas that are remote and do not have goodcommunication facilities. The result is extreme poverty. Development ofremote, backward areas must address issues of poverty, illiteracy andignorance. Madhya Pradesh has an abundance of natural resourcesbut is one of the most backward regions in terms of socioeconomicprogress. CARD has several livelihoods improvement and naturalresource development projects underway in three remote locations ofMadhya Pradesh, implemented with the involvement of all communitymembers and through self-help groups (SHGs). These projects areproving successful.

ABSTRACT

Many NGO programs and

government interventions exist

for natural resource development

and livelihood improvement, but

their reach into remote areas is

limited


The western belt is dominated bythe Bhil tribe and has bettercommunication facilities but suffersfrom greater depletion of naturalresources. Feudal landlords inhabitthe northern region with a scatteredpopulation of marginalizedcommunities (Scheduled Castes andOther Backward Communities)often pursuing precarious livelihoodopportunities.

Eastern Madhya Pradesh has anabundance of natural resources,mineral as well as forest, but is oneof the most backward regions interms of socioeconomic progress.Tribal groups are subjected tovarious degrees of exploitation andhave limited access to developmentprograms, even those designed forthem. In addition, the remote areasin which they live are poorlyconnected to the rest of the districtor state, which slows thedevelopment process of thedistrict. Tribal groups are unableto reach markets to sell theirproduce. Healthcare is notavailable and students are forcedto drop out of school during therainy season when road access iscut off.

IssuesIn the eastern region, issues to beaddressed include increasing theproductivity of marginal holdings,introducing rainwater harvestingschemes, improving transportation,making livestock rearingeconomically viable, developingforests resources, adding value tosurplus produce, and providinggainful employment during thenon-growing season.

The issues in the north that must beaddressed, include the following:� Reduction in poverty in areasinhabited by Scheduled Castes byincreasing livelihood options andproviding access to irrigation� Scarcity of both surface andgroundwater and the alarming rateof water depletion� Water harvesting and storage inthe upland water courses throughponds, tanks, and stop dams� Increasing the productivecapacity of small farms on slopesthrough application of large-scalefield bunding� Revival of traditionaloccupations of the landless� The low level of selectivedevelopment indicators – sex ratio,literacy, forest area, groundwater� The absence of a strong local


Comparative Demographic Characteristics

Land Use Characteristics

Particular Madhya Pradesh Chhattisgarh

Geographical Area (‘000 ha) 44437 13787Net Sown Area (%) 48.01 34.54Net Irrigated Area (%) 13.34 7.13Area Under Forest (%) 27.81 45.72Waste Lands (%) 20.28 19.58Average Rainfall (annual in mm) 800-1000 1000-1200


Particular Madhya Pradesh Chhattisgarh

Population ( in 000) 60348 20833Rural Population (%) 73.5 79.9Tribal Population (%) 20.3 32.5SC Population (%) 11.4 12.2Literacy (%) 63.7 64.7Gender Ratio 919 989Workers Participation Rate 42.7 46.5Infant Mortality Rate (per 000) 89 78

institution or movement in theregion.

The west is characterized by adegraded natural resource base dueto inappropriate land and watermanagement practices owing todeclining farm productivity andpopulation pressure. Lands,especially common lands, are barrenwith negligible vegetative cover, andthere is an acute shortage of fodder,fuel wood and timber. Livestock areoften undernourished. In addition,a lack of appropriate credit sourcesforce people into debt. Besides, thelow level of literacy and absence ofcivil society at the grassroots levelhave led to large-scale migration.

CARD’s programs in the threeremote locations of MadhyaPradesh are briefly described here.The Livelihood Promotion throughNatural Resource ManagementProgramme in eastern MadhyaPradesh involves value-addition tolocal non-timber forest productsworking through SHGs. Some ofthe value-added products – honey,natural fiber, medicinal plants andfood processing – have drawn

regional and national recognition.Over 250 traditional honey huntershave been trained and 22 SHGsformed. The SHGs are networkedinto a federation and sharetechnology, credit and marketingsupport.

CARD has established aTechnology Resource Centre wheretraining and demonstration in ruraltechnologies are conducted. Thiscentre is a nodal point for theLivelihood Promotion Programme.The Centre also addresses goodgovernance through the PoorestArea Civil Society Programme,supported by the UK Departmentfor International Development(DFID), organizes tribes intogroups and links them with incomegeneration activities, strengthenspanchayats, and enablesparticipation by and empowermentof women by networking with over500 SHGs.

Other organizations are alsopartners to these activities in theseremote areas of eastern MadhyaPradesh – they are Canada Fund forLocal Initiatives, Toyota


Interventionthrough CommonInterest Groups

Poorest Area Civil Society Programme

CARD has established a

Technology Resource Centre

where training and demonstration

in rural technologies are

conducted. This centre is a nodal

point for the Livelihood

Promotion Programme


Foundation, and the UnitedNations Development Programme.

In western Madhya Pradesh, thereare several projects. These includethe Natural Resource Managementthrough Community Initiativesproject which consists of awatershed based natural resourcemanagement project. A modelwatershed project, based on theNational Watershed Guidelines andinvolving the entire community, isbeing implemented in threepanchayats, covering over 1,500hectares. Under the ChildSponsorship Based DevelopmentProgramme, 1,000 households in18 villages receive child-centereddevelopment sponsorship. Theeducational development ofchildren, their healthcare andproper nurturing is monitored inconjunction with developmentinitiatives based on natural resourceregeneration. The LivelihoodPromotion of MarginalizedCommunities Programme includesinitiatives to reduce povertythrough common interest groups,which cover 2,000 households in20 villages with over 500 groupspursuing different livelihoodoptions through over 100infrastructure-based developmentinitiatives. Through communityinitiatives, the project also addresses

unemployment and poverty withscience demonstrations andtechnology applications to promotealternative livelihood options.

Under the Hasthshilp (NaturalFiber) Vikas Yojana, over 100households have been trained andare involved in the production ofquality natural fiber products. Theraw material is produced andprocessed locally by group membersand product marketing linkagesestablished with emporiums,national fairs and through MaikalHills Natural Products.

In Chhattisgarh, where two fieldpilot projects have been initiated,CARD has emerged as the primarysupport organization. Theorganization strengthens all levels ofthe project facilitation team andfacilitation of common interestgroups, its members, leaders andtheir organization. Thestrengthening mechanisms havebeen designed to revolve aroundincome generating activities of thecommunity, with judicious andsystematic development of a field-based portfolio of action steps andempowerment programs for thecommunity in general and tribalwomen in particular.


In Chhattisgarh, where two field

pilot projects have been initiated,

CARD has emerged as the

primary support organization.

The organization strengthens all

levels of the project facilitation

team and facilitation of common

interest groups, its members,

leaders and their organization


1. Is adaptation affected by level of income? The poorare not always the worst affected. In some cases they aremore prepared to adapt. In the recent droughts in Gujarat,poor people often had more experience with regional labormarkets and better job networks than the more wealthy“settled” farmers. As a result, they were able to accessdiverse income sources when drought affected farming.Vulnerability and the exposure to risk can contribute todevelopment of coping strategies. As a result, it is a mistaketo assume that groups are more or less vulnerable basedon socioeconomic status alone.

2. Institutional Linkages. There is the absence ofdialogue between government and NGOs. Linkages haveto be established also between SHGs and Panchayati RajInstitutions. It is important that institutional linkages areestablished among the central and state governments andNGOs, technical institutes, private sector and markets.


3. Developing synergy through coordination: In thecase of Tamil Nadu, after the tsunami, there was extensivecoordination between NGOs and government agencies.The state government received information from the locallevel through the collector, and NGOs were able to deliveraccording to the community’s needs. Standards were laiddown for NGO activities. Establishment of effectivemechanisms for coordination also made it possible to drawon expertise from Anna University and the IndianInstitutes of Technology in Chennai and Kanpur. Withthe help of the panchayats, NGOs were able to establishprojects, select groups, and work with them on a long-term basis.



DAY–2

Session–3

PARALLEL SESSION 5

Coastal Vulnerability and Disaster – From Reconstruction toResilience

CHAIR: Neeraj Mittal, Joint Commissioner, Relief and Rehabilitation, Tamil Nadu

APPROACHES TO ASSESSING DISASTER VULNERABILITY AND BUILDING SUSTAINABLE

LIVELIHOODS: INSIGHTS FROM SRI LANKA ONE YEAR AFTER THE TSUNAMI

Frank Thomalla, Stockholm Environment Institute (SEI)

STRENGTHENING RESILIENCE OF COMMUNITIES TO DISASTERS USING THE DRSLFRAMEWORK: ITDG’S EXPERIENCE IN SOUTH ASIA

Practical Action, [Formerly Intermediate Technology Development Group (ITDG)]

FROM RELIEF AND RESTORATION TO RESILIENCE: STRATEGIC DEVELOPMENT

INITIATIVES WITH DISASTER-AFFECTED COMMUNITIES IN INDIA

Somnath Bandyopadhyay, Aga Khan Foundation (AKF), India


Page No

118

123

125

128

The presentation byStockholm EnvironmentInstitute (SEI) outlined

their approach to assessingvulnerability to disasters andidentifying strategies for buildingmore resilient and sustainablelivelihoods. This approach iscurrently being applied in SEI’sSwedish International DevelopmentAgency (SIDA)-funded post-tsunami program which aims ataddressing the longer-termlivelihood and environmentalimplications of the 2004 tsunami.The approach is based on three keyconcepts – vulnerability, resilience,and sustainable livelihoods. Thefirst major activity of the program is

Approaches to assessing disastervulnerability and building sustainablelivelihoods: insights from Sri Lanka oneyear after the tsunamiFiona Miller, Frank Thomalla and Matthew Chadwick, Stockholm Environment Institute (SEI)

The livelihoods approach to resilience building allows for holistic andintegrated consideration of the institutions, capacities, natural resourcesand assets available to people to improve their quality of life withoutjeopardizing the livelihood options of others. The impacts of the 2004tsunami on livelihoods and resources in Sri Lanka are outlined, withvulnerabilities emerging from the relief and reconstruction processidentified. Vulnerability and capacity assessments are an importantmethod by which social learning on disasters can be facilitated by linkingdirectly with the needs, problems and solutions identified by decisionmakers and affected communities.

ABSTRACT

D A Y – 2 : P A R A L L E L S E S S I O N 5COASTAL VULNERABILITY AND DISASTER – FROM RECONSTRUCTION TO RESILIENCE

a vulnerability and capacityassessment (VCA) designed tosupport both immediate and longer-term sustainable recovery. The


The livelihoods approach to

resilience building allows for holistic

and integrated consideration of the

institutions, capacities, natural

resources and assets available to

people to improve their quality of

life without jeopardizing the

livelihood options of others

assessment involves a detailed studycovering the multitude of factorsthat make livelihoods resilient to theimpacts of change and hazards.

The livelihoods approach toresilience building allows for a moreholistic and integrated considerationof the institutions, capacities andassets of people. Sustainablelivelihoods imply the capability ofpeople to make a living andimprove their quality of life withoutjeopardizing the livelihood optionsof others. This includes the abilityto cope with and recover fromstresses and shocks, includingnatural hazards. Social equity, sociallearning, and the sustainable use ofecosystems are crucial to buildingresilience.

Disasters are often only perceivedand reported in terms of theirhumanitarian costs and physicalimpacts. However, the livelihooddimension is also crucial as disastershave the potential to transformlandscapes and resource profiles.Disasters obviously have differentimpacts on regions, communitiesand households, with the severity ofimpacts and ease of recoveryinfluenced considerably by gender,ethnicity, age, occupation andparticipation in social networks.

Not all aspects of disaster areultimately negative, however, asdisasters can provide opportunitiesfor resource base enhancement andsocial learning.

Key factors in rebuilding resilientlivelihoods after disasters, asidentified by the Intermediate


Livelihoods and Vulnerability

Sustainable recovery and resilience buildingafter the tsunami

Technology Development Group(ITDG) and others, include: (1)establishing a diversified incomebase;(2) securing and strengthening theasset base; (3) developingappropriate structural and non-structural measures that enhanceentitlements and negotiating power;and (4) supporting the


development of community-basedsolutions that allow for flexibilityand adaptation to change.

In Sri Lanka, the tsunami severelyaffected coastal livelihoods,demographic profiles, and health.Total losses in economic assets areestimated at US $1 billion and theGross Domestic Product (GDP)was estimated to decline by 1.5percent in 2005. Livelihoodsdependent on fisheries and tourismwere most severely affected. Therewere 150,000-200,000 immediatejob losses with many of these lostfrom the informal sector. Home-based industries, cottage industries,trade and agriculture were alsoseriously affected, and it isestimated that an additional250,000 people could slip intopoverty.

Social fragmentation as a result ofthe relief and reconstruction processis a real concern, as communitymembers were distributed betweendifferent temporary housing sitesand communities are now beingpotentially split up within newhousing settlements. Relocation ofcommunities, due to the bufferzone, has also created newchallenges for people as theresources they previously had accessto for their livelihoods are in somecases no longer accessible. Theuncertainty associated withrelocation and biases in the recoveryprocess have in some casesexacerbated psycho-social trauma.The proliferation of actors involvedin relief affected the decision-making space available tocommunities and contributed to

processes of disempowerment.Tensions have also arisen betweenaffected and non-affectedcommunities, as poorercommunities who were not affectedare concerned that socioeconomicdifferences may be exacerbated byassistance only targeting affectedcommunities. Financialconsequences have included a rise in



land prices, collapse of local creditsystems, loss of savings, and a risein the cost of raw materials.

The tsunami has also raised theprofile of important environmentalissues that were of concern prior tothe disaster. These include pressingcoastal zone management issues,such as carrying capacity of thefisheries sector, destruction of coralreefs and mangroves, and waterresource scarcity. Environmentalimpacts have been well documentedin Sri Lanka, and include suchproblems as waste and debrisdisposal, contamination of watersupply, damage to coral reefs,mangroves, and estuaries, and theenvironmental risks ofreconstruction. The connectionbetween such environmentalimpacts and livelihoods has,however, not been so well addressedand needs to be considered in orderthat reconstruction occurs in asustainable way.

VulnerabilityVulnerability is an anticipatoryconcept which entails knowing whomight be vulnerable to a particularstress or threat and why. As aconcept, it goes far beyond theparticular impacts of an event orprocess, to investigating theunderlying causes of why theimpacts occurred or could occur.Increasingly, in vulnerabilityresearch, there has been moreattention given to the agency ofpeople in the face of multiplestresses, their resilience, and theperspectives and experiences ofmarginalized groups. Vulnerabilitycan be evaluated through the use of

participatory or action-orientedresearch methods, such as the VCAmethodology currently employedby the International Federation ofRed Cross (IFRC).

Vulnerability assessmentSEI is working in partnership withthe IFRC and the Sri Lankan RedCross Society to undertake variousVCAs with affected communities inSri Lanka. These are beingundertaken in a capacity buildingframework, to ensure knowledgeand skills in VCA stay with therelevant stakeholders in-country.

VCA’s focus is on detailed place andgroup-specific vulnerability andcapacity to build resilience. Suchassessments broadly coverlivelihoods, stakeholder andinstitutional capacity at local andsub-national scales, and to identifyimportant cross-level processes.They purposely identify problemsand constraints, but also,importantly, generate solutions andstrategies. Typically, VCAs includeevaluation of differences in gender,access to resources, equity, and



Vulnerability is an anticipatory

concept which entails knowing

who might be vulnerable to a

particular stress or threat, and

why


direct and indirect and short- andlonger-term impacts. VCAs alsoevaluate the extent to whichresource use is sustainable, andwhether there are ways thatlivelihood strategies might besupported to become moresustainable. Results of VCAs shouldfeed directly into the formulation oflivelihood and other programactivities. As such, it is importantthat the VCAs also identify keyindicators for baseline datacollection and monitoring andevaluation purposes.

As vulnerability is a dynamic process,particularly in the context of a rapidlychanging post-disaster environment,SEI intends to undertake repeatVCAs in 2007 to analyze changesover time. Factors which havestrongly influenced people’s ability torecover from the impacts of thetsunami will be identified so as tosupport community-level resiliencebuilding and inform future disastermanagement.

As vulnerability is constructed byprocesses operating at multiple scales,a synthesis of regional vulnerability isalso being undertaken. This regionalanalysis focuses on:� key factors contributing tovulnerability and differentialimpacts;� groups that are particularlyvulnerable in the recovery process;and� knowledge about the extent andtype of environmental, economic,and social impacts. This analysis isundertaken to identify specificpolicy lessons on how to reducevulnerability.

Emerging vulnerabilitiesEmerging vulnerabilities from thereconstruction process spanvulnerability to poverty (largely dueto distance from previouslivelihoods base), disempowerment,future environmental risks (waterscarcity, flooding, pollution),conflict, and future coastal hazards.Factors contributing to the creationof these vulnerabilities include theuncertainty and delays associatedwith relocation and housing, socialfragmentation, limited institutionalcapacity, decline in communitydecision-making space with “actorjam,” corruption and use of aid as apolitical tool, inequities in terms ofaccess to relief and inappropriateassistance which does not takeaccount of appropriate localtechnologies or sustainability issues.

The scale of the impacts of thetsunami and the subsequent reliefand reconstruction operations areunprecedented and require newapproaches to research that facilitatesocial learning by linking directlywith the needs, problems andsolutions identified bydecisionmakers and affectedcommunities. For reconstruction tocontribute to the sustainablerecovery of the region, there needsto be a clear understanding of whois most vulnerable to the impacts ofthis event and why. Thisunderstanding needs to informassistance to the region and futurepolicy, to ensure that recovery doesnot recreate vulnerability to poverty,conflict, environmental risks ornatural hazards but rather buildssocial and ecological resilience tofuture shocks and stresses.

The scale of the impacts of the

tsunami and the subsequent relief

and reconstruction operations are

unprecedented and require new

approaches to research that

facilitate social learning by linking

directly with the needs, problems

and solutions identified by

decision-makers and affected

communities



Rural and coastalpopulations in South Asiaare largely dependent on

natural resources for theirlivelihoods. As in most other partsof the developing world, the clashbetween current livelihood needsand longer-term conservation isapparent in the region. Further,when disasters occur and disruptthe environment, communitiesdependent solely on naturalresources are the worst hits.

Communities, however, generallydevelop coping strategies forseasonal climatic variations such as

predictable floods and droughts.For unexpected, longer flash floods,coping strategies are limitedthough. So looking at strategiesthat help communities adapt betteris crucial.

In the aftermath of the tsunami inDecember 2004, manyorganizations entered for relief andreconstruction – as is the case in thewake of disasters. The livelihoodsof people in coastal Sri Lanka, forinstance, were incomparablydevastated and, as a response,organizations started livelihoodrebuilding programs here.

Strengthening resilience of communitiesto disasters using the DRSL framework:ITDG’s experience in South AsiaPractical Action,* [Formerly Intermediate Technology Development Group (ITDG)]

Rural and coastal populations in South Asia depend largely on natural resources

for their livelihoods. As in most other parts of the developing world, the clash

between current livelihood needs and longer-term conservation is as apparent

as ever. Further, when disasters occur and disrupt the environment, communities

dependent solely on natural resources are the worst hit. Communities generally

develop coping strategies for seasonal climatic variations such as predictable

floods and droughts. For unexpected, longer events, coping strategies are

limited. So looking at strategies that help communities adapt better is crucial.

The Disaster-resistant Sustainable Livelihoods framework (DSRL) provides for

a livelihood-centered approach to disaster risk management both in policy and

practice. It is based on the experience in disaster management of ITDG and

partner organizations.

ABSTRACT

Communities generally develop

coping strategies for seasonal

climatic variations such as

predictable floods and droughts.

For unexpected, longer events,

coping strategies are limited

though. So looking at strategies

that help communities adapt better

is crucial


*Represented by Ramona Miranda and Suvira Srivastava


However, while the need wasrecognized, many of theorganizations were notdevelopment-oriented but moreequipped to manage crisis ratherthan rebuild livelihoods. Therefore,most of the current livelihoodrelated programs emphasizestrengthening only physical andfinancial capital. The strengtheningof other capital referred to in thesustainable livelihoods framework ismissing from the programs. Further,most assessments focus on keylivelihoods such as fisheries andagriculture. Many of the smaller andvaried forms of livelihoods were notcaptured by the assessments, and asa result there was no proper plan forappropriate rehabilitation. This hasbeen found to be the case in otherdisasters, too.

Peoples Action’s experience indisaster-prone areas in South Asiahas helped it to develop a disaster-resistant sustainable livelihoodsframework (DRSL). Theapplication of this framework canbe seen with relation tostrengthening the resilience ofcommunities to cope with bothexpected and unexpected disasters.

The DRSL framework provides fora livelihood-centered approach todisaster risk management, both inpolicy and practice. It is based onthe experience in disastermanagement of ITDG and partnerorganizations.

The Duryog Nivaran network is amovement for disaster riskmitigation in South Asia.

Governance must provide anenabling environment, which hasdisaster-resistant physical and socialinfrastructure, responsive policies,and socially responsible markets.Implementation should be donethrough collective interestcommunity institutions. If thelivelihood support resource base isadequate, then people should haveaccess to assets that are functionaland have the potential to generatelivelihood outcomes. These willhelp protect, enhance and diversifylivelihoods. But, if the livelihoodsupport resource base is inadequate,then people should be providedwith the minimum assets forlivelihood options for marginal tosupport subsistence. This will createentitlements, build assets, andpromote entrepreneurship. Theapproach will lead to reduction inpoverty, vulnerability and risk fromdisasters, and therefore is asustainable development approach.

Ongoing researchThe application of the frameworkuses different models in therebuilding context. One of these isthe Rural Business IncubationCenter. Knowledge of the DRSLframework enables developmentagencies at the grassroots level toimprove sustainable livelihoods.One has to arrive at the rightcombinations and mix ofcommunication channels thatensure a better knowledge uptakeprocess and the factors thatcontribute to or hinder the effectivetransfer of knowledge. Communitymembers must be trained in skillsfor livelihood generation as well asfor awareness about resources.


Governance must provide an

enabling environment, which has

disaster-resistant physical and

social infrastructure, responsive

policies, and socially responsible

markets


Over the past few decadesthere has been an increasein the occurrence of

disasters due to natural oranthropogenic causes withassociated increasing economiccosts. Meanwhile, in severaldeveloping countries, considerableresources are spent on developmentprograms for the poor, aimed atimproving socioeconomic conditionsand quality of life through access toeducation, health services, safedrinking water and sanitation, andimproved livelihoods.

A cross-sectoral approach wasadopted by the Aga KhanDevelopment Network (AKDN) to

support earthquake-affectedcommunities in Gujarat andtsunami-affected communities inAndhra Pradesh. In Gujarat, amulti-sector rehabilitation andreconstruction program wasinitiated while in Andhra Pradesh, itwas a post-tsunami coastallivelihoods improvement program.

Disasters bring in disorder anddisharmony, subjecting the poor toaggravating factors including thedisruption of social capital, oftenthrough death of kin, physicalinjury and psychosocial disharmony.This is more so in the case ofwomen. There is disruption oflivelihoods through loss of

From relief and restoration to resilience:strategic development initiatives withdisaster-affected communities in IndiaSomnath Bandyopadhyay, Aga Khan Foundation (AKF), India

Over the past few decades, there has been an increase in the occurrence of

disasters due to natural or anthropogenic causes with associated increasing

economic costs. Meanwhile, in several developing countries, considerable

resources are spent on development programs for the poor, aimed at improving

socioeconomic conditions and quality of life through access to education, health

services, safe drinking water and sanitation, and improved livelihoods. A cross-

sectoral approach was adopted by the Aga Khan Development Network (AKDN)

to support earthquake-affected communities in Gujarat and tsunami-affected

communities in Andhra Pradesh. Secure livelihoods will focus on involving

community institutions/self-help groups for disaster preparedness, water and

sanitation facilities (roof-top rainwater harvesting system, traditional tanks),

health systems, and quality of education.

ABSTRACT

COASTAL VULNERABILITY AND DISASTER – FROM RECONSTRUCTION TO RESILIENCED A Y – 2 : P A R A L L E L S E S S I O N 5

Disasters bring in disorder and

disharmony, subjecting the poor

to aggravating factors including

the disruption of social capital,

often through death of kin,

physical injury and psychosocial

disharmony

productive assets, erosion of theresource base and economicstagnation. Essential services,including physical infrastructure,education and health, financial insti-tutions, and such others are alsodislocated.

These impact the poor most, andensure that the poor remain poorand trapped in a vicious cycle ofpoverty from where it becomesdifficult for them to escape. After adisaster, these communities end upeven lower on the socioeconomicladder, finding it next to impossibleto reach even their previoussocioeconomic “status.”

Disaster preparedness must,therefore, be integrated intodevelopment programs. This hasbeen stated in the Tenth Five-yearPlan of the Government of Indiaand the United NationsInternational Strategy for DisasterReduction (UNISDR). Attemptsto integrate development intopost-disaster reconstructionprograms must recognize thestrong links between poverty anddisaster-proneness. Sustaining thegains of reconstruction will beachieved only by providing a morecomprehensive package.

After the earthquake in Gujarat in2001, a three-year Multi-sectorRehabilitation and ReconstructionProject (MSRRP) was launchedfrom 2002 to 2005. The projectwas implemented in three villages,with 9,000 people in Anjar taluka.Specialized agencies of the AKDNcontributed to a multi-sectorprogram conceptualized and

coordinated by the Aga KhanFoundation (AKF).

The development outlook and“whole village” approach led to thebuilding of strong villageorganizations, and provision ofbasic healthcare, day-care centers forchildren, drinking water supplysystems, sanitation facilities, naturalresources management, agricultureenhancement, and drip irrigationand horticulture. Training andtechnologies for disasterpreparedness were adopted coupledwith life insurance.

After the tsunami, relief measureswere provided to 13 villages withabout 11,000 people inMachilipatnam and Nagayalankamandals of the Krishna district inAndhra Pradesh.

Focus Humanitarian Assistance(India), an affiliate of the AKDN,provided food, non-food items andpsychosocial care. A post-tsunamidevelopment program, converginglong-term development interests indistinct areas, was initiated and clearmechanisms for collaborationestablished with the cooperation ofthe district administration.

During phase one of the CoastalLivelihoods Improvement Program(June 2005–May 2006), theobjective was to rebuild livelihoods;the core of the strategy was toprovide assets. These included 30Fiberglass Reinforced Plastic (FRP)boats to groups of 5 beneficiaries,200 wooden boats (nava) toindividuals, accessories such as nets,iceboxes, and community assets,

Attempts to integrate development

into post-disaster reconstruction

programs must recognize the

strong links between poverty and

disaster-proneness



drying platforms, boat shelters,roads, freshwater storage, etc.

Communities were central to thedecision-making processes, such asin identifying beneficiaries,determining cost and laborcontributions, laying down normsand processes for procurement,operations and maintenance ofassets, etc. Close coordination wasmaintained with the governmentand local administration. Villageadoption and record utilization andupdate complemented governmentresources and strengthened localvillage organizations.

The objectives of the phase two ofthe program (2006-2008) includestrengthening, diversifying andsecuring livelihoods. A two-wayapproach will be used to strengthenlivelihoods by introducing optionsfor marketing and value-addition.Marketing options includeproviding market information,facilitating group selling,encouraging sale at source, anddeveloping links with investors.Value-addition was both asset-based(e.g., iceboxes, solar dryers, fish-drying platforms) and enterprise-based (smoking units, small-scaleunits, improved standards, andbranding/packaging).

Diversifying livelihoods will focuson creating and developing skills,and pilots and experiments. These

will be farm-based and non-farmbased. Farm-based livelihoods relateto aquaculture, horticulture,integrated farming, and nicheproduct development. Non-farmbased livelihoods relate to fisheries(mechanics to repair engines, boats,nets), agriculture, and indigenousskills (carpentry, shell-crafts).

Secure livelihoods will focus oninvolving community institutions/SHGs for disaster preparedness,water and sanitation facilities (roof-top rainwater harvesting system,traditional tanks), health systems,and quality of education. Links willbe established with insurancemarkets and government schemes/programs.

Key lessons learnedThere is a need to factor in disastersinto development frameworks;disasters offer a chance to makestrategic interventions with affectedcommunities. There is a need for along-term strategic approach thathelps to address more fundamentalissues of enhancing livelihoods,ensuring access (to markets,essential services, basicinformation), and preparingindividuals and institutionsadequately to deal with disasters.

A participatory learning approachthat will provide opportunities toinnovate, assess and learn fromrestoration of assets; enhance the


resource-base and new livelihoodsoptions; new institutionalarrangements; collaborations andsystems of management; shareexperiences; critically assess workdone; and generate new ideas.

A collaborative approach that willprovide opportunities to link andbenefit from specializations inproviding services such as health,education, financial and others;linking markets; creating systems ofgovernance and administration; anddelivering appropriate training andother necessary inputs for inducingchange.

A livelihoods approach that willprovide a realistic framework forachieving resilience throughtransparent systems of rebuildingassets by introducing basic elementsof marketing and value-addition tostrengthen livelihoods; investing inskills development and allowing forexperiments to diversify livelihoods;and securing livelihoods throughimproved human capacities andexternal linkages for sharing of risks.

The project has not only achievedthe short-term objective of foodsecurity but also the long-termobjective of drought proofing. Thevillage panchayat’s initiative andinvolvement in resourcemobilization, utilization andregeneration was an effective tooltoward this end.


1. Adaptation is not about rebuilding but about doingsomething new. In the case of fishing, livelihoodsdestroyed by the tsunami, for example FAO reports thatthe number of people dependent on fishing is more thanwhat the water resources can sustain and this leads tovulnerability. Long-term environmental degradation leadsto decreasing income generation of the poor. Followingthe tsunami, boats which were destroyed were replacedby unsuitable boats. The right kind of boats have to begiven to the right kind of people. Furthermore, this maybe a key time to move away from earlier unsustainablelivelihoods, whatever the approach, solutions must bebased on community needs.

2. The poor remain poor due to poor humandevelopment. This means that the entire society will haveto cope. The state must receive inputs from the scientificcommunity along with from NGOs who understandcommunity needs.

3. The government has enacted legislation to integratedevelopment with disaster response. There are risks inall occupations, but empowerment is enabling the peopleand community to make choices. After the tsunami, theGovernment of Tamil Nadu began providing choices, andit is expected that within three years the communities inall 13 districts covered by the Disaster PreparednessProgram will be equipped to cope with disasters. InAndhra Pradesh, the government was unable to act andso people collaborated with each other. The governmentprovided the fishing community with boats, which neededrepairs. The community established an association andstarted repairing the boats. This activity now includesconstruction of boats. After Hurricane Katrina, workinitiated by the community has been rapid as comparedto that of the governments.

4. All major disasters are generally not handled well.The rich are able to reconstruct better, but not the poor.

This happened after the hurricane in 1992. After floodsin 1994, the disaster response was handled well. However,governments do not work well and NGOs do not worktogether. There needs to be a systemic effort to involvethe scientific community and donors to understand thecomplex linkages between environmental degradation,climate change and the social factors, and to mainstreamthis into the system.

5. Events in prior years have led to the initiation ofpreparedness planning. The UNDP has started districtlevel planning. After the tsunami, there was considerableimprovement in the response effort. Coastal planning isdifficult. The government has not mapped buffer zonesand people tend to make informal choices and build inthese zones. There has to be a balance between immediaterecovery and long-term development. Different systemsare in place in different parts of the country. Financialinstruments like insurance were introduced, where thefirst installment was paid for by the NGO. There is alsogroup insurance. Tamil Nadu is building 5,300 houses inthe Non-coastal Regulatory Zone. These houses have beeninsured for 10 years. Registration of boats is beingencouraged, even though boat insurance costs are high.A policy-level change includes provision of healthinsurance from the Prime Minister’s Fund for survivorsliving below the poverty line. People have realized thevalue of such initiatives.

The following lessons have been drawn from the tsunami:� Natural disasters affect the poor, who are leastequipped to handle the situation, disproportionately� Disasters affect multiple sectors with some problemscutting across all sectors� Disasters can create an opportunity for changes thatimprove living conditions� The link between impacts and development processesare sustainable livelihoods




DAY–2

Session–3

PARALLEL SESSION 6

Disaster and Vulnerability – From Reconstruction to Resilience

CHAIR: Kalipada Chatterjee, Winrock International India (WII)

DISASTER AND VULNERABILITY: RECONSTRUCTION TO RESILIENCE

Kalipada Chatterjee, Winrock International India (WII)

WATER AND SANITARY INTERVENTIONS IN POST-TSUNAMI REHABILITATION WORK

IN SOUTHERN INDIA

R. Srikanth, WaterAid India

ENABLING ADAPTATION: THE ROLE OF TECHNOLOGY, INFRASTRUCTURE AND

INSTITUTIONS

Prabodh Mohanty, i-Concept Initiative

RISK REDUCTION AND LIVELIHOODS PROMOTION: A COMMUNITY INITIATIVE

Pradeep Mohapatra, Udyama

Page No

130

132

134

137


Disasters, particularlyclimate related, such assevere droughts, flash

floods, cyclones, storm surges andextreme events continue to imposesubstantial human, economic,biodiversity losses to developingcountries every year. India isconsidered to be the second-mostdisaster-prone country in the world.A large and growing population,densely populated and a low-lyingcoastline, and an economy closelytied to its natural resource base,makes India highly vulnerable toclimate change. In this context,devastation caused by the OrissaSuper Cyclone of October 1999 isbriefly discussed.

The Orissa Super Cyclone was thesecond most severe in the recorded

history of Indian cyclones since1885 with a wind speed of morethan 260 kilometer per hour. Thestate was battered for more thantwo days by fierce winds, a largestorm surge between 5 and 6 meter,and catastrophic floods and flashfloods. The cyclone affected areasexperienced unprecedented rain for36 hours causing devastatingfloods. The reasons cited includedan open and flat coastal belt;mangroves which are a protectionfrom high winds and storm surges;and the cyclone remained practicallystationary, an unusual feature.

More than 10,000 human lives werelost and 300,000 cattle died. (Thefishing sector contributes 3.5percent of the state GDPamounting to Rs 700 crore.) About

Disaster and vulnerability – reconstructionto resilienceKalipada Chatterjee, Winrock International India (WII)

Disasters, particularly climate related, such as severe droughts, flash floods,

cyclones, storm surges and extreme events continue to impose substantial

human, economic, biodiversity losses to developing countries every year. The

Orissa Super Cyclone was the second most severe in the recorded history of

Indian cyclones. Sustainable development and adaptation to climate change

need policies that reduce pressure on resources, improve management of

environmental risks, and increase the well-being of the poorest members of

the society. They can simultaneously advance sustainable development and

equity, enhance adaptive capacity, reduce vulnerability, and increase resilience

and coping capacity of the vulnerable community to climate change and

other stresses.

ABSTRACT

DISASTER AND VULNERABILITY – FROM RECONSTRUCTION TO RESILIENCED A Y – 2 : P A R A L L E L S E S S I O N 6

India is considered to be the

second-most disaster-prone

country in the world. A large and

growing population, densely

populated and a low-lying

coastline, and an economy

closely tied to its natural resource

base, makes India highly

vulnerable to climate change


67,000 fishermen families in13 districts were affected. About30,000 fishing boats and 60,000nets were damaged. More than22,000 weavers were affected and14,000 looms and accessories weredamaged. More than 9 million treesalong the coasts were destroyed andit also affected some of the reserveforests in the vicinity.

There is a need for nationally andinternationally coordinated researchto develop a simple but robust earlywarning system to alert thecommunities and the stategovernment to enable evacuation ofpeople to safe areas advance ofdisasters.

After such disasters, agriculturalfields fill up with sea water and,thereafter, are unsuitable foragriculture. Research needs to lookinto possible agricultural and otherlivelihood activities that can betaken up by the communities as analternate. Some of the successfulproven interventions in suchdisaster-prone areas should also beexamined and introduced whereverpossible.

There is a need for well-organizedawareness generation programsamong vulnerable communities insuch disaster-prone areas.Innovative awareness generationcan be achieved through villagetheatres, for instance; pictorialdepiction developed and widelydisseminated will also help.

All these will increase the adaptivecapacities and resilience of thevulnerable communities, but suchadaptations will cost the society andthe country. There should be aninternational mechanism fortransfer of large funds to addressthese adaptation measures andprograms in developing countrieslike India.

Interventions must be technology-driven and innovative for providinglivelihood security. Financialinterventions should includemicrofinance interventions. At theMunich Climate InsuranceInitiative, insurance related optionsfor adaptation to climate changewere discussed.

All these interventions are likely toincrease the economic well-beingand fulfill social needs of vulnerablecommunities.

Sustainable development andadaptation to climate change needpolicies that reduce pressure onresources, improve management ofenvironmental risks and increasewell-being of the poorest membersof the society. They cansimultaneously advance sustainabledevelopment, equity, enhanceadaptive capacity, reducevulnerability, and increase resilienceand coping capacity of thevulnerable community to climatechange and other stresses.

There is a need for nationally and

internationally coordinated research

to develop a simple but robust early

warning system to alert the

communities and the state

government to enable evacuation of

people to safe areas advance of

disasters



The damage caused bytsunami and climatechange puts the Millennium

Development Goals (MDGs) atrisk. There is strong evidence of theimpact of climate change on vector-borne diseases (i.e., malaria,dengue, leishmaniasis, etc.) andglobal warming, which is leading tolower yields of some crops andsalinization of coastal areas.

Vulnerabilities in the IndiancontextGroundwater levels and quality arelikely to be under greater stress.Frequency of high intensity rainfallshave increased, resulting in soilerosion, flash floods, and stormsewer overflow and consequentlywater contamination. The rise in sealevel, combined with more winterstorms, poses major flood anderosion risks in coastal areasincluding salt water intrusion andloss of cultivable land. This leads toloss of livelihood among fishing andagricultural communities. There isalso an increase in outbreak andprevalence of vector-borne diseasessuch as malaria and dengue in newgeographical areas.

General adaptation needs totackle disasters such asthose linked to tsunami andclimate changeThere is a need to integrate climateand hydrological science(techniques and experience) intoIntegrated Water ResourceManagement (IWRM). Greateremphasis on planning andpreparedness for droughts andsevere floods with special emphasison coastal regions and expandedefforts are needed at protectingwater quality from agricultural,industrial and human wastes.Sanitation must be improved toprevent outbreak of vector-bornediseases such as dengue and malariato epidemic proportions. Integratedplanning through local,participatory multi-stakeholderdialogues can help create enablingenvironments and build copingcapacity in developing countries,which will reduce flood risks bydeveloping capacity to monitortheir magnitude, duration, timingand location.

Impact of the Asian TsunamiIn WaterAid projects that areunderway in the state of TamilNadu (Pondicherry), it has beennoted that much of the existingsanitation facilities and drinking

Water and sanitary interventions inpost-tsunami rehabilitation work insouthern IndiaR. Srikanth, WaterAid India

Integrated planning through local,

participatory multi-stakeholder

dialogues can help create enabling

environments and build coping

capacity in developing countries,

which will reduce flood risks by

developing capacity to monitor their

magnitude, duration, timing and

location

D A Y – 2 : P A R A L L E L S E S S I O N 6DISASTER AND VULNERABILITY – FROM RECONSTRUCTION TO RESILIENCE


water has been irreversibly affectedalong with a loss of livelihoods inthe fishing and agriculturecommunities.

Reconstruction planThe project’s aim is regeneration ofcommunities affected by thetsunami through capacity buildingand the revival of the damaged waterand sanitation infrastructure. Inaddition, alternative livelihoodopportunities related to constructionactivities in the area of water andsanitation will be promoted. Fundingwill be provided by the Union Bankof Switzerland.

The reconstruction process willinclude the following measures:� Facilitating the improvement ofwater and sanitation infrastructurethrough Community Led TotalSanitation (CLTS) in tsunamiaffected areas through financial andtechnical assistance and bydeveloping appropriate technologyto complement the existing watersources. Sanitation facilities willinclude an appropriate number ofstructures that are user-friendly fordisabled people.� Regenerating the human andinstitutional capacity through theestablishment of a regional resourcecenter to train trainers and enhancethe communities’ knowledge andskills in water and sanitation.� Redefining livelihood options byintroducing alternativeopportunities linked to water,sanitation and hygiene education.Livelihood opportunities, includingpaid jobs and training in relation toproject activities, will be prioritizedfor women, disabled people and

SHGs who are the poorest sectionsof the community.� Replicating and scaling up andpromoting best practice models forimplementing water and sanitationprojects, which are more cost-effective,sustainable, and have greater impactthan approaches currently beingused will be developed.� The project will promotestrategic alliances and cooperationof water agencies with leadingscientific organizations that canfacilitate the exchange ofinformation on the state-of-the-artthinking about climate change andimpact on water resources. There isa need to facilitate water managersto work with climate experts toreview national policy and programson the water sector in India.� Issues related to the impact ofclimate change have been largelyaddressed by experts and there isvery little awareness amonggrassroots NGOs working in thewater sector regarding the impactslikely to occur. Therefore, there is aneed to create a network fordissemination of informationrelated to climate change amongcivil society and vulnerablecommunities for future action.� Development of cheaperdesalination technology shouldbecome a priority in coastal regionssince drinking water is beingincreasingly threatened along thecoast. A study should be undertakenfor identifying geographicallyvulnerable areas and communitieslikely to be threatened by climatevariability and change. This wouldhelp in launching programs andpolicies to combat the threats fromclimate variability and change.

Issues related to the impact of

climate change have been largely

addressed by experts and there is

very little awareness among

grassroots NGOs working in the

water sector regarding the impacts

likely to occur

D A Y – 2 : P A R A L L E L S E S S I O N 6DISASTER AND VULNERABILITY – FROM RECONSTRUCTION TO RESILIENCE


India is the second-mostdisaster-prone country and hasa history of high recurrence of

disasters in the last 50 years. Theseinclude cyclones, earthquakes,environmental extremes and floods.A significant amount of time andmoney is spent combating thesenatural calamities.

Orissa, situated in the east coast,has a plethora of natural resourcesbut is still one of the poorest states.The high frequency of disasters insome form is the main cause ofpoverty and backwardness. Thecause and effects of disasters aremultidimensional by nature. Itranges from natural to man-madeand from coast to the arid zones.Floods, droughts, heat waves andvillage fires are the worst among alldisasters that the state suffers fromevery year. These have affected theecosystem and economy rendering

thousands of people homeless andwithout livelihoods. The aftermathof the last Super Cyclone in Orissacoast is still evident all around. Thestate of Orissa has a coastline of480 kilometers. During last 100years, Orissa has faced 90 years ofdisasters – floods 49 years, drought30 and cyclones 11. The povertyindex of 47.15 is the highest andthe state per capita income ofRs. 6,767 is the lowest in thecountry. Poverty is on the rise dueto regular floods, cyclones,droughts, heat waves, and forestfires apart from air and waterpollution.

Despite aid from around the world,the marginalized and impoverishedremain in the same condition asthey have lost their traditionallivelihoods. The frequency and riskof disasters is increasing and futuresocieties will probably witness new

Enabling adaptation: the role oftechnology, infrastructure and institutionsPrabodh Mohanty, i-Concept Initiative

India is the second-most disaster-prone country and has a history of high

recurrence of disasters in the last 50 years. A significant amount of time and

money is spent combating these natural calamities. Global climate change will

result in new socio-natural hazards in the context of financial, economic, social,

environmental and capital resources. The Government of India’s commitment

toward the Millennium Development Goals (MDGs) is the eradication of poverty

by 2015. This will need the participation of people at all levels.

ABSTRACT


Collective action for risk mitigation

Orissa, situated in the east coast,

has a plethora of natural resources

but is still one of the poorest

states. The high frequency of

disasters in some form is the main

cause of poverty and

backwardness


and more complex disasters. Globalclimate change will result in newsocio-natural hazards in the contextof financial, economic, social,environmental and capital resources.The Government of India’scommitment towards the MDGs iseradication of poverty by 2015.This will need the participation ofpeople at all levels.

During the last few years, there hasbeen a shift in approach andstrategy in the area of disastermanagement and the role assignedto the state, the private sector andcivil society. It is now widelyaccepted that updated training andcapacity building is essential forproactive involvement in a disastermanagement program. Therefore,there is a need to build the capacityof all stakeholders and enhance theirskills to address disastermanagement.

Role of Information andCommunicationTechnology in disastermanagementDisaster management in Indiawould possibly have managedfloods and droughts better if spaceapplications were used moreeffectively. Mapping the earth’ssurface and early risk warningspertaining to storms and floods arenow more accurate. These advances,however, have yet to be translatedinto large-scale use in India.

The growth of Information andCommunication Technology (ICT)and its varied use has enriched thesphere of knowledge of many fieldsin social science. However, the

advantages of ICT have not beenproperly harnessed in risk andvulnerability analysis at the microlevel and disaster management. Allthree – institutions, technology andinfrastructure – need to operatetogether for vulnerability reduction.Each one will have limited chancesof success by operating alone.

Technologically, the advances inearly warning capabilities and otherdisaster management tools can helpin reducing losses and promotinglivelihoods among vulnerablesections. However, in the absence ofinformation, technology,infrastructure and institutions riskreduction has not had significantsuccess.

Information is the key for managingcyclones, floods and droughts.Timely and appropriate informationprovides tangible benefits in termsof minimizing losses and reducingvulnerability; serving as acommodity for public good,especially weather information;providing the backbone forcontextual knowledge and wisdom;and creating a tangible environmentthat fosters growth by reducingexpenditure otherwise meant fordisaster rehabilitation.

The application of ICT in disastermanagement involves more thancollecting information throughremote sensing satellites and GlobalPositioning System (GPS)equipment. It involves an enablingenvironment wherein theinformation obtained from thesesources can be used. Thisinformation needs to be matched

During the last few years, there has

been a shift in approach and

strategy in the area of disaster

management and the role assigned

to the state, the private sector and

civil society. It is now widely

accepted that updated training and

capacity building is essential for

proactive involvement in a disaster

management program


with traditional perceptions andindigenous practices and a synergybuilt between different componentsof society. The initial step beginswith creating a platform for sharingof technical information anddeveloping tools that address therequirements of people in the areawith a user-friendly approach.

The growth of ICT in disastermanagement highlights theparadigm shift from post-disasterrelief and rehabilitation to pre-disaster preparedness.

Role of institutionsInstitutions play a major role indisaster management. Governmentinstitutions are the key players indisaster management. The strengthand role of other institutions at alllevels vary according to theiractivities – raising advocacy levels,relief and rescue, and operationmonitoring.

Key organizations such aspanchayats, non-governmentalorganizations (NGOs) andCommunity Village Organizations

(CVOs) disseminate availableinformation to people at thegrassroots level. Institutions at thenational level try to create newstrategies for managing disastersand coordinate operations withingovernment and betweengovernment and other institutions.

At the state level, preventivemeasures and initiatives forstrengthening communitycapacities, to withstand naturalhazards, are apparently still limited,especially in implementation. Mostgovernment departments andNGOs face financial shortages tobuild capacities at various levels.These institutions and organizationsrestrict themselves to implementingprojects or activities. Hence,disaster risk management continuesto be a secondary priority and is notintegrated into the government’sdevelopment plans or programs. Aholistic approach to capacitybuilding is required, which needs toprioritize capacity building ofNGOs, PRIs or the most vulnerable– the poor who get affected by thedisasters.


Building partnerships


Most government departments

and NGOs face financial

shortages to build capacities at

various levels. These institutions

and organizations restrict

themselves to implementing

projects or activities

Tikrapada is a drought-pronevillage where agriculture,the only source of

livelihood, depends on themonsoon. Most people belong tothe Scheduled Castes (SCs),Scheduled Tribes (STs) and otherbackward communities (OBCs).People meet their water needs fromfour ponds, five tubewells, and anumber of private dug-wells.During the summer months, thewater table recedes, drying theponds and dug-wells. The villagelacks irrigation systems and adequatehealth facilities, including educationaland communication facilities.

The skewed land distribution,erratic and heavy rainfall, poor soiland water conservation, moreunbounded uplands, and lowproduction lead to distress sales,credit/debt traps and distressmigration. Natural disasters andclimatic and man-made factors have

made hunger, starvation, sellingchildren and trafficking in womencommon occurrences. Risk andvulnerability is getting compoundedowing to the devastations in thenatural, social, physical, economicaland environmental capital.

During the drought of 2002, therewas food scarcity, diseases anddistress migration from loss ofexisting livelihoods. Drinking waterbecame scarce due to recedinggroundwater levels and dryingrivers. Women traveled to thenearby river to dig chuan (smallwells) on the riverbed and wait forhours for seepage water to collectin them.

Risk reduction and livelihoods promotion:a community initiativePradeep Mohapatra, Udyama

Year Frequencyof drought

1950-60 Twice1960-70 Twice1970-80 Five times1980-90 Six times1990-2001 Thrice2002-2003 Statewide


Deforested barren lands



A program was implemented invillage Tikrapada in collaborationwith grassroots level organizationsand active involvement of thevillage panchayat. The panchayatwas responsible for problemidentification, resourcemobilization, site and beneficiaryselection; the program wasimplemented by Sramika SaktiSangha (SSS), a community-basedorganization based there for thepast three decades.

PRI initiatives in livelihooddiversification through the villagemicroplan in the first step includedthe following:� The village panchayat prepared avillage microplan involving theentire population. After extensivedeliberations, the villagers identifiedproblems and the means to addressthese. During the exercise, thepeople came up with their ownideas for water conservation, designof structures and implementation.� While fulfilling the immediateobjective of ensuring food as ashort-term benefit, the villagepanchayat converted theopportunity into long-term benefits

for drought proofing. The challengewas to create the maximum numberof man days possible and utilizehuman labor in an innovativemanner. Additional waterharvesting structures were createdutilizing the villagers and throughlivelihoods diversification throughfarm and non-farm activities.

Land and watermanagementThe community decided to constructwater-harvesting structures to meetlivelihood needs and address waterproblems in the long term. Underthe program, five water-harvestingstructures were constructed. Stonebunding, gully plugging, nala andcanal treatment and upland bundingwere done to prevent soil erosionfrom the nearby mountain. Grasspatching over 18,000 sq ft of theembankment helped prevent soilerosion and silting.

Forest managementThe villagers knew that there wasdepletion of forest wealth, whichprovides livelihoods through minorforest produce. Regeneration offorest cover through extensive


After extensive deliberations, the

villagers identified problems and

the means to address these.

During the exercise, the people

came up with their own ideas for

water conservation, design of

structures and implementation


plantation was supervised bypanchayat representatives in theperiphery of the water harvestingstructures. The village appointed awatchman and contributed for hislabor in the form of paddy duringharvesting time.

Agro-horticultural practiceSince paddy cultivation is non-remunerative and water-intensive,vegetable cultivation andhorticultural activity provide betteroptions. An attempt was made bythe panchayat and SSS to providethe people with saplings ofhorticultural trees. Now mango,lemon, guava, drumstick andpapaya have been planted both inprivate and public lands. In order toencourage vegetable farming, SSSdistributed seeds of black gram andonion and vegetable kits to over250 families for backyardplantation.

Adoption of new technologyPanchayat representatives used agro-horticultural practices for betterproductivity, and these were lateradopted by others. Practices like potirrigation, orchards, organicfarming, and vermi-culture wereintroduced. Udyama, a voluntaryagency specializing in suchinnovations, was the resourceagency and they built similarcapacities in SSS. Post training, SSSdeveloped a nursery in the village tomeet the need for seedlings.

Training and capacity-buildingAn effort was made to train thewomen, youth and village leaderson various aspects of community

development. The village panchayatselected beneficiaries who weretrained in modern methods ofagricultural practice, judicious useof water, and land-water and naturalresources management. Thesetraining programs were aimed atlong-term sustainability. Thepanchayat monitored the trainingprogram and its replication onground.

Women empowermentThe responsibility of fetchingdrinking water, fuel and fodder isborne by women. An SHG modelwas used to train and educate thewomen on facing droughts in aprepared manner. Three SHGs arenow operating in the village. Theyprovide training on thrift andcredit. All three groups havebecome self-sufficient and now havesurplus money to help the needy,who are not members of the SHGs.The three SHGs also inter-lendamong themselves. The SHGleaders have also attended trainingprograms outside the district. Manyof the SHG members have started

As the entire project was planned,

implemented and monitored by the

community, there is a sense of

ownership reflected in the care

they take in guarding the forest

and horticultural plantations


Women mobilization

small businesses such as poultryfarming, rice processing, pettybusinesses, goat rearing, etc, whichgives them additional income. Oneof the groups has taken the villagepond on lease and startedpisciculture. They have releasedaround 3,000 fish hatchlings intothe pond and hope to get a richharvest. The village panchayat hasasked SHG women to undertakevillage development work contractsthrough the local block office.

Impact of the programThe change in the people is not justphysical but social, economic,structural and environmental.

Social changesThere is renewed confidence amongthe villagers. Women are not afraidto voice their opinion anymore. Asthe entire project was planned,implemented and monitored by thecommunity, there is a sense ofownership reflected in the care theytake in guarding the forest andhorticultural plantations.

Economic changesThe people no longer fear adrought, since timely and effectiveproject implementation can providea short-term food supply to sustainthemselves in times of crisis. Avisible economic impact was thecheck on distress migration. Theprogram generated 50,000 man-days, which was enough to providework to anybody in the villagewilling to do so. The project wasable to ensure at least one kharifcrop. It also helped in producing arabi crop owing to increasedavailability of water. The SHG

members have formed a grain-bankoperated on revolving principles.

Structural changesThere are many water harvestingstructures with clear water in them.Some of those whose land liesunder the structures have alreadystarted rabi cultivation with theseepage water. Others are planningwells in the hope that the watertable has increased.

Environmental changesEarlier, the entire hillock was barrenand the forest cover destroyed.Now, people are aware of theconsequences of destroying theforest cover and are thereforecontributing to its protection.

SustainabilityThe project has an in-builtmechanism for self-sustenance. Thepeople have planned to interconnectthe two large water harvestingstructures to avoid wastage andensure availability throughout theyear. Once water is available in allthree water harvesting structures, atleast one crop will be insured andanother 100 acres of land irrigatedfor a rabi crop. More agriculturalproduction will create additional


man-days for local wage laborersand discourage migration duringscarcity. Capacity has been built toprotect the forest cover and morepeople will diversify into vegetableand horticultural farming.

Project interventionprocessApart from the five waterharvesting structures built throughthis initiative, there are two morebuilt by the government. But thesestructures failed to yield the desiredobjectives. This is because thepeople were not involved in theprocess of planning, imple-mentation and monitoring. As therewas no sense of ownership amongthe people regarding the project, thepeople did not care for theirmaintenance.

ConclusionThe project has not only achievedthe short-term objective of foodsecurity but also the long-termobjective of drought proofing. Thevillage panchayat’s initiative andinvolvement in resourcemobilization, utilization andregeneration was an effective tooltoward this end.

Income generation activities


DAY–3

Session–1

Climate Information, Communications and Early Warning – TheRole of Technology, Infrastructure and Institutions

CHAIR: Darryl D’Monte, Media Consultant

THE MEDIA’S ROLE IN 26/7 IN MUMBAI

Darryl D’Monte, Media Consultant

COMMUNICATIONS AND EARLY WARNING: BUILDING “ALIVE” SYSTEMS

Vijay Pratap Singh Aditya, Ekgaon Technologies


Page No

142

146

149


The media’s role in 26/7 in MumbaiDarryl D’Monte, Media Consultant

Due to the increasing preoccupation with lifestyle issues, environmentis rarely reported in the Indian media. Natural disasters are beingportrayed as one-off events, rather than being seen often as theculmination of processes where human intervention, if not actuallycausing such occurrences, have accentuated and intensified theirimpact. A typical case in point is the Asian Tsunami, the first anniversaryof which took place last week. On July 26, 2005, Mumbai, India, received944 mm of rain. Had newspapers been more diligent, monsoon afterevery monsoon, finding out why certain areas were perennially floodedand what could be done to avoid these occurrences, they would havebeen able to cope with the aftermath of 26/7 more effectively. The media– TV news channels in particular – wrongly identified locations whichhad been severely flooded. Subsequently, reporters fanned out acrossthe suburbs and informed people which areas were to be avoided andwhich could be accessed. There was considerable discussion andanalysis on television, which brought Mumbai’s plight to the attentionof the rest of the country.

Data assembled by US academics show that with climate change,the chances of cities being deluged in this manner are getting higherand higher. If these once-in-a-hundred-year downpours had occurredin New York, another coastal city, its century-old subway system wouldhave been flooded and the commercial capital of the US would haveground to a halt, as Mumbai did.

ABSTRACT

D A Y – 3 : S E S S I O N – 1CLIMATE INFORMATION, COMMUNICATIONS AND EARLY WARNING – THE ROLE OF TECHNOLOGY, INFRASTRUCTURE AND INSTITUTIONS

Data assembled by US academics

show that with climate change, the

chances of cities being deluged in this

manner are getting higher and higher


Due to the increasingpreoccupation withlifestyle issues,

environment is rarely reported inthe Indian media. Natural disastersare being portrayed as one-offevents, rather than being seen oftenas the culmination of processeswhere human intervention, if notactually causing such occurrences,have accentuated and intensifiedtheir impact.

A typical case in point is the AsianTsunami, the first anniversary ofwhich took place last week. While itcan be nobody’s case that humanfactors were responsible fortriggering off the tectonicmovement which in turn unleashedcatastrophic tidal waves thousandsof miles away, the recklessconstruction of houses and resortsalong the coasts of many island andlarger countries compounded theproblem. This is in contrast totraditional tribal wisdom, whichprompted, for example, Andamanislanders to build homes on heightsaway from the beach.

Droughts and floods have also beenseen in India as unrelatedphenomena, even though they areinextricably linked. The media isbecoming increasingly metro-centric, to the exclusion of concernfor issues in the countryside. Whilepower blackouts in cities are staplenews items, the chronic andvirtually perennial shortage ofpower and water in rural areas arerarely raised. Against this backdrop,it has almost become fashionablefor many in the metropolitan dailiesto ignore climate change. After the

Kyoto Protocol and COP-11 inMontreal, India’s leading dailycarried an article on the editorialpage which began with theastounding statement that GHGsdid not cause global warming.While the writer may have made agenuine mistake, the editors wereeither unaware or unconcerned.

Newspapers in Mumbai have beennegligent in reporting the weatherduring the monsoon, as well asrelated phenomena like the levels inthe lakes that provide the city’swater. This was standard fare earlier,because the well-being of so manymillions depend on whether thetwo major lakes in the city, and afew further away, filled during therains so that citizens were assured ofa regular supply of this mostprecious resource till after thefollowing summer.

On July 26, 2005, Mumbai received944 mm of rain. The weatherbureau had only reported “veryheavy to heavy” rain for thepreceding – and subsequent – days.Had newspapers been morediligent, monsoon after everymonsoon, finding out why certainareas were perennially flooded andwhat could be done to avoid theseoccurrences, they would have beenable to cope with the aftermath of26/7 more effectively.

The media – TV news channels inparticular – wrongly identifiedlocations that had been severelyflooded. Subsequently, reportersfanned out across the suburbs andinformed people which areas wereto be avoided and which could be


The media is becoming

increasingly metro-centric, to the

exclusion of concern for issues in

the countryside. While power

blackouts in cities are staple news

items, the chronic and virtually

perennial shortage of power and

water in rural areas are rarely

raised

accessed. There was considerablediscussion and analysis ontelevision, which brought Mumbai’splight to the attention of the rest ofthe country.

Due to the central government’scontinuing and inexplicable ban onFM radio stations carrying news,this vital potential source ofinformation, which was functioningthroughout the deluge, was not putinto operation. The simpleexpedient of telling people not toleave their offices on July 26, orchildren to stay in school or go totheir friends’ nearby homes ratherthan risk returning home, wouldhave saved enormous anxiety,hardship and, in some cases, lives.

Ironically, Mumbai’s ham radiooperators, who have volunteered toprovide information in the Laturearthquake and several internationaldisasters, were not contacted. Norwere the contemporary tribe ofbloggers: one, living in Mumbai’swestern suburbs, actually helpedtsunami victims throughout Asiaand, more recently, helped putvictims of Hurricane Katrina incontact with those who wereproviding relief in Louisiana.Ironically, Mumbai’s MunicipalCommissioner helped formulate theDisaster Management Plan for thewhole of Maharashtra, which wasput in place after the Laturearthquake, where he was the pointperson for relief and rehabilitation.

Many in the media suddenlydiscovered how the country’s mostpopulous metropolis had turned itsback on nature. For instance, not

too many journalists were evenaware of the Mithi river, believing itto be a drain or gutter, rather than awater course which relieved thenorthern suburbs of excess rainfall.And as for the wetlands andmangroves which fringed the river,these were treated as wastelands, theonly option for which wasreclamation and construction. Whatother explanation is there for thefact that the Mumbai MetropolitanRegion Development Authority(MMRDA), which was the city’ssupreme planning body, was itselflocated on these natural sponges.

Had the media been moreproactive, it would have taken morenotice of the report of the IndianPeople’s Tribunal on Human Rightsa few years previously whichwarned that the sewerage and roadschemes that blocked the mouth ofthe Mithi in the Mahim Bay couldone day prove disastrous. The factthat in the Sanjay Gandhi NationalPark, stretching over 104 sq km –almost a quarter of Greater Mumbai– nature had provided one of thecity’s best sponges and regulators ofwater, was completely ignored bythe media. Indeed, the “north-south” divide in the media wasaccentuated after 26/7, when manyeditors became conscious of areas ofdarkness like Jari-Mari for the veryfirst time. It also showed how theslum population was mostvulnerable to these climate events.

It took some soul-searching by thewell-known editor of the HindustanTimes to begin a Sunday column atthe time with the observation thatthere was nothing that cleared the

D A Y – 3 : S E S S I O N – 1

Due to the Central government’s

continuing and inexplicable ban on

FM radio stations carrying news,

this vital potential source of

information, which was functioning

throughout the deluge, was not put

into operation

CLIMATE INFORMATION, COMMUNICATIONS AND EARLY WARNING – THE ROLE OF TECHNOLOGY, INFRASTRUCTURE AND INSTITUTIONS


mind more effectively than havingto wade through waist-deep waterin the Mumbai floods, whichcaught rich and poor alike for once.While only 9 percent of thecommuting traffic uses private,motorized transport the mediamissed the anomaly of how the stateconstructs flyovers, freeways and sealinks, even though this mode oftransport generates 60 percent ofthe air pollution, not to mentionthe noise and traffic hazards.

However, the media did carrydetailed analysis of the causes andconsequences of the downpour. Itreported, for instance, how theIndian Institute of TropicalMeteorology in Pune described theevent as a “supercell,” one of therarest and worst kinds ofthunderstorms.

“Scientists have found a name forwhat happened on July 26, 2005,when a record-breaking 94 cm ofrain submerged Mumbai in a day.The deluge was not a cloudburst, assome thought, or divine retribution,as others feared, but somethingmore improbable: a supercell.

“Supercells are the rarest, worstkind of thunderstorms, invariablywreaking disaster in the form ofhail, torrential rain, floods and eventornadoes. Hidden in the heart ofthe supercell – which looks like atall, dense cloud with a rim at thetop – lies a vertical column of airspinning at speeds of over 50 milesper hour to keep the storm alive.

“It is this hyper-efficient wind-and-rain machine that was squattingover Mumbai’s suburbs for thebetter part of 26/7, claim scientistsfrom Pune’s Indian Institute ofTropical Meteorology (IITM) in areport to be submitted shortly tothe state government. A supercell,say scientists at the institute, is thebest explanation for why so muchwater poured down in such a shortspan of time over such a small area.”(Times of India.)

A few days after, there was ameeting on the urbanization ofMumbai. An academic from NewSchool of Architecture, New York,talked about data in Buenos Airesthat showed that the frequency ofsupercells will increase. The mediashould take note of that.

While no one could have predictedthis kind of downpour, thelikelihood of it happening was veryreal – and there is no reason why itcannot happen again. Dataassembled by US academics showthat with climate change, thechances of cities being deluged inthis manner are getting higher andhigher. If these once-in-a-hundred-year downpours had occurred inNew York, another coastal city, itscentury-old subway system wouldhave been flooded and thecommercial capital of the US wouldhave ground to a halt, as Mumbaidid.

Scientists have found a name for

what happened on July 26, 2005,

when a record-breaking 94 cm of

rain submerged Mumbai in a day.

The deluge was not a cloudburst,

as some thought, or divine

retribution, as others feared, but

something more improbable: a

supercell



Communications and early warningsystems: building Alive systemsVijay Pratap Singh Aditya, Ekgaon Technologies

Effective communication tends to inform audiences of available choices.

However, communication for “early warning” requires defining the choices to

trigger stimuli for an effective and timely response. It has been observed and is

common knowledge that culturally embedded information systems tend to be

more “alive” than modern “information communication technology” (ICT) tools.

For effective preparedness, the challenge is to build communication systems,

which, while they may have modern ICTs in the back end, have simplified,

culturally appropriate and adaptive interfaces in the front end.

ABSTRACT

Communities must firstunderstand adaptationbefore any kind of

response mechanism can bedeveloped for them. The challengelies in making communitiesunderstand the concept of an earlywarning system in the context ofcommunication. Over a periodvarious kinds of response andsystemic responses keep happeningand keep being proposed.Information technology (IT) isdeveloping faster and is now able toreach remote areas, and this couldlead to its application in adaptationto climate change. Considerableefforts have been made to ensureinformation delivery in the contextof immediate situation change. Forthis purpose, it is necessary todefine the kind of information to be

communicated, the context inwhich it is delivered, what thecommunity needs to understandfrom that information, and theirresponse to it.

Over a period, EkgaonTechnologies has worked on thesystem side of IT and the variouskinds of information technologieswhich can be developed or shouldbe developed, to furtherdevelopment processes, particularlyin rural areas. These developmentprocesses, specifically, encompass allareas of development, and do notfocus on just one aspect. Theprimary work entails looking intowhat kind of informationprocessing is required and the kindof interaction betweencommunities, or people, and the

D A Y – 3 : S E S S I O N – 1

The challenge lies in making

communities understand the

concept of an early warning

system in the context of

communication

CLIMATE INFORMATION, COMMUNICATIONS AND EARLY WARNING – THE ROLE OF TECHNOLOGY, INFRASTRUCTURE AND INSTITUTIONS


system or how adaptivetechnologies can be used for peopleto respond. The technologies usedfor this process include datainterface gadgets, mobile phonesand even paper. Response to each ofthese depends on what type ofinformation is being given andwhether the information and thesystem are able to provide value tothe community.

Microfinance and credit delivery isone of the areas where financialmanagement could be enabled atthe primary level. India has a fewunique and successful models inmicrofinance or microcredit deliverythrough institutions like SHGs,which work at the community level.This is particularly important as theconcept of a co-guarantor of a loanmade to groups is difficult to

understand in the case of groupmanagement of finance, unlikeindividual management of loans. Inthe case of group management offinances, there are issues which ariseas the community institution isinteracting with externalinstitutions. External institutionsuse formal processes whilecommunity institutions useinformal processes and systems forfinancial management. It is difficultto use formal processes incommunity institutions.

Therefore, an attempt was made tobring in change in the context ofhow people understand themeaning of managing finance andinteracting with financialinstitutions. This was achieved bychanging the way money wasmanaged using simple key



Microfinance and credit delivery

is one of the areas where

financial management could be

enabled at the primary level

Members of a women’s self-help group in the Ranga Reddy district of Andhra Pradesh,feel empowered by maintaining account books on their own


processes, by using color-codedpaper, for instance. This was doneby reducing management accountkeeping, which uses ledgers atmultiple levels to one single paperformat which was color coded, tointerface with the community. Forexample, red represented loans andgreen represented savings. Thecolor choices were designed to givevarious layers of information. Dataon red paper and red forms weretransferred to red note books, andthe same applied to data on greenpaper. Thus the same data wasbeing replicated into various forms,simplifying understanding. Theunderstanding of colors was aspowerful as the understanding ofthe language itself, which issignificant considering the literacylevels. Paper is one form of aninterface, others include computers,peripheral devices like radio or TVwhich receive and conveyinformation, and sometimes processit. All these need to be understoodin the context in which they areused. If the mobile phone has moreadaptive capacity to a rural ratherthan to an urban consumer, it isbecause the interface provides valueand therefore the person adapts tothe mobile phone since the mobilephone companies do not provide anurban or a rural interface but asingle interface. There are variations

in models. The utility beingtransferred is the ability tocommunicate, and this is the keytoward adaptation of a device.

If communication is the key, thecommunication system needs to bedefined. It is necessary tounderstand what is communicatedand its value to know how soon it isadapted or used by the people. Thismeans that to make adaptationpossible, understanding informationconveyed, whether from earlywarning systems or preparednessinformation, by the entirecommunity is required. This,because, in the rural society,communal and collective decision-making plays a prominent role andresponse to critical situations isalways collective.

Adaptation of information needs tobe based on both individual-centricas well as collective group-centricinformation delivery. There is alsothe need to define how under-standing of a communicationsystem is ensured and how it can beassimilated within local contexts. Todo this, it needs to be understood ina specific context, and requires aninformation technology base wherespecific data being conveyed istranslated into a message, an alarmor an understanding generated.


Adaptation of information needs to

be based on both individual-centric

as well as collective group-centric

information delivery

1. Poor Urban planning exacerbates floods. Floodsoften occur due to bad town planning andmismanagement of water bodies. Construction on riverbanks leads to reductions in the width of rivers. Floodsoccur every year. The reasons for these floods are known,solutions exist, infrastructure and a governance systemare in place and yet these continue to occur annually.

2. Innovative Strategies exist to cope with floods. Invillages people have marked flood levels in their houses,and built shelves at a high level to safeguard valuables.Additional floors are also constructed. People are usingthese simple coping mechanisms. To be more effectivesupport from the government is vital for adaptation.

3. Traditional Knowledge can play a role in advancewarning. For centuries, there has been no recordedevidence of Tsunami in South Asia. Yet, one tribe, whichlived near the coast of Andaman and Nicobar Islands knew‘when the earth shakes, the big wave comes’ and theywarned others before moving to higher levels. This tribelives in houses built on stilts that are about 2 metres highyet, they knew the Tsunami wave would destroy thesehouses. These people had the same amount of time torespond as others who did not survive. Traditionalknowledge of tsunamis saved them.

4. Gaps in Communication systems. Early warningsystems need to provide information in a structured waythat can be understood by many different users. Effectivecommunication depends on the interface between ‘theinformation’ and the user so that they can effectivelyinterpret and understand it. The media channels wereoperational as there were functioning systems like FMtransmissions and yet, during the Mumbai floods, bettercommunication could have saved lives. There are noformal systems to enable the flow of early warninginformation from official sources to communicationcompanies. The Mumbai floods illustrates, on a small scale,how rapid information flow is lacking in an emergency



situation and how governmental procedures, sometimes,prevent vital communications.

5. Just early warning is not enough. An early warningsystem provides information but it also needs to becommunicated effectively. Forecasts for Hurricane Katrinaexisted and the information was available yet responsewas lacking. In developing countries, in spite of thenumerous organized interventions and cooperationbetween government departments, early warnings systemsoften do not work. Simple systems can work. The mediareaches people but the large volume of informationconveyed often hides the core information people need.Where TV is concerned, for example, different satellitechannels have different interpretations of the samesituation. Coordination between them could help peoplereceive relevant information in a manner that can be actedupon.

6. Reliable Forecasting. Forecasting future climateimpacts is currently impossible. Data from the recent pastcan, however, help develop reasonable scenarios for thepresent and the present can be a guide for the immediatefuture.

7. Preparedness is key. The Mumbai Floods may nothave been predictable and preparedness may not have beenpossible but they contain numerous lessons for riskassessment, vulnerability and resilience. Some extremeevents can be prepared for. Hurricane Katrina waspredicted, warnings existed and models were projected,and yet coping mechanisms were not in place, when ithappened. Vulnerable areas such as this can be identifiedand effective response strategies can be developed.

8. Impact of Media reporting. The media is beginningto report on climate change and its impact. This haspolitical implications. In the United Kingdom, climatechange is being covered extensively in the media, partlydue to floods that have affected some areas during the


D A Y – 3 : S E S S I O N – 1CLIMATE INFORMATION, COMMUNICATIONS & EARLY WARNING – THE ROLE OF TECHNOLOGY, INFRASTRUCTURE AND INSTITUTIONS

past three years. This has an impact on the middle classand the economy. As a result, the issue of climate changeis on the political agenda of the government. Until recentlythe Indian Meteorological Department refused to divulgemeteorological information. This situation is nowchanging. In Sri Lanka, there has been an increase inreporting disasters though preparedness is not talked aboutmuch.

9. Environment and Climate change reporting inIndia. In India, the media has played a limited role inincreasing awareness of climate change and the impactsof environmental degradation. Reporting on theenvironment and climate change, especially in India, isdifficult as climate change is an obtuse subject. Many


freelance reporters and staff of newspapers say editors arenot interested in climate change. This is also true withother environmental issues. During an internationalconference on the disappearance of tigers in India, forexample, there were only one or two journalists fromDelhi. Journalists, editors, and more important ownersof newspapers have to be sensitized about climate change.

10. Role of Civil society in media reporting. Civilsociety needs to provide input to the media. In Pakistan,experiences show that building links between NGOs andmedia works. The media must be provided informationto refer and quote from. If information is more readilyavailable, reporting will be increased.

DAY–3

Session–2

Institutional Issues – The Role of Technology, Infrastructure andInstitutions

CHAIR: Dipak Gyawali, Institute for Social and Environmental Transition (ISET)

RISK RESILIENCE, ADAPTATION TO DISASTERS AND DATA DEMOCRATIZATION

Dipak Gyawali, Institute for Social and Environmental Transition (ISET)

DEVELOPMENT ALTERNATIVE’S INITIATIVE IN TSUNAMI AFFECTED REGIONS

Ashish Bahal, Development Alternatives

MAPPING AND “MANAGING” FLOODS IN INDIA: PERCEPTIONS, POLICIES AND

REALITIES

Sanjay Chaturvedi, Punjab University

POST-TSUNAMI INTERVENTIONS BY UNDP GEF SMALL GRANTS PROGRAM

(SGP) – INDIA

P.S. Sodhi, UNDP GEF Small Grants Program (SGP)–India

MITIGATING NATURAL DISASTERS THROUGH PREPAREDNESS MEASURES

Aditi Kapoor, Oxfam (India) Trust


MODERATED PANEL DISCUSSION

KEY POINTS RAISED IN THE OPEN DIALOGUE

Page No

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163

166

169

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178

Risk resilience, adaptation todisasters and data democratizationDipak Gyawali, Institute for Social and Environmental Transition (ISET)

Institutions are defined as“working rules for goingconcerns.” Often they are

confused with organizations,especially government-run ones thatare but a subset of the largerpicture. Kinship systems, forinstance, where people reciprocatefavors through unwritten rules, areinstitutions. Indeed, much ofHimalayan irrigation is managed bysuch informal outfits.

Decision-making, one way or theother, is what institutions have tomanage within the everydaypressures, including very heavypolitical ones. This really means thatthe average decision-maker does nothave all the time he or she wouldwish for, and furthermore, has to doso within an uncertain context.Governments change and thereforedecision-makers change; but anylong-term vision or goal requires acommensurate institution capable ofmaintaining the required level ofactivities during the durationrequired to reach that goal. Whilefrequent changes of government (ashappened in Nepal since 1995) dohamper implementing long-termplans such as those related tomitigating climate change impacts,more fundamental is the part played

by different social solidarities in theoverall dynamical inter-relationsbetween them.

To most decision-makers, whetherin government or business, climatechange is a fairly long-termproposition, while floods anddroughts are yearly occurrences.They find it easier to justifyattention to the latter rather thanthe former, which is why they haveto be constantly reminded byenvironmental activists not toignore long-term climate changeissues. Social solidarities – threeactive and one passive, as ouranalysis further below will indicate– have varying risk perceptions thatgive rise to different time horizons,as well as different problemdefinitions and proposed solutions.

To explain these “contradictorycertitudes” of different institutionalsettings, as they are called, let us firstlook at the different social solidaritiesand then examine their socialresponse to groundwater overdraft aswell as climate change. If one onlyconsidered conventional “policy-makers,” who are the governmentbureaucracy or even ministers, onewould be missing other forces thatinfluence policymaking.


To most decision-makers, whether

in government or business, climate

change is a fairly long-term

proposition, while floods and

droughts are yearly occurrences


The sole policymaker is notnecessarily the government. Ifpolicy be defined as the “formulafor the use of power,” then differentsocial solidarities have differentpower and hence different styles oftheir deployment. While there maybe government policies, there arealso policies that the market forcesdeploy and the socio-environmentalactivists counter-deploy. There willbe a serious impasse if thegovernment in its hubris ignores anyone of these two forces. It must beremembered that the marketdeploys its individualist powerthrough networks, the governmentthrough laws and sanctionedprocedures, and the activiststhrough critique.

A policy impasse will also bereached if one goes by theassumption that facts are there to beknown. This is incorrect, as factsgenerated by the different pressuregroups for different purposes andwith different objectives. Facts areoften in dispute because of valuedisputes, which are embedded insocial contestation so deeply thatsolutions cannot be found based onone solidarity’s marshalling of data.A different approach needs to betaken, that can be calledconstructive engagement wheredisputed facts can be engaged withand a way found for integrationthrough the very process ofengagement rather than throughprocedural means alone as mostbureaucracies are wont to do.

The aim cannot be finding a singleneat solution because they wouldsuffer from rigidity and be prone to

cracking under unexpected surprisesthat the world is fond of throwingupon the best plans of men andmice. Rigid solutions collapse whenall pressure groups bring forth theirown agendas. The aim has to be fora solution which may be clumsy andmessy, found through a democraticprocess of constructive engagement.This is the framework that theInstitute for Social andEnvironmental Transition (ISET)has been working with, and thisinvolves generalizing out of theknowledge derived from many yearsof social sciences done in exoticlands and climes.

In this generalization (calledCultural Theory), two parametersare considered: the X-axis depictswhether there is fettered orunfettered competition and theY-axis whether transactions aresymmetrical or asymmetricalbetween members of the solidarity.



The sole policymaker is not

necessarily the government. If

policy be defined as the “formula

for the use of power,” then different

social solidarities have different

power and hence different styles of

their deployment


The possible permutations generatefour different styles of organization.Fettered competition andasymmetrical transactions give riseto bureaucratic hierarchismdominated by proceduralrationalism of “who has the right todo what to whom.” Unfetteredcompetition and symmetricaltransactions lead to marketindividualism. Social scientists areoften stuck between the twodualistic extremes of free marketsand bureaucratic socialism, missingthe dynamism imparted by theother two permutations.

Fettered competition andsymmetrical transactions give rise toegalitarian enclavism, the stuff ofmost social and environmentalactivist movements that are guidedby a critical rationality. (Theserationalities arise from the way thesolidarities are organized:egalitarian, by lacking hierarchiccommand structure but stronggroup boundary, need to be criticalof the outside to maintain groupcohesion.) The fourth permutation– unfettered competition andasymmetrical transaction –generates the fatalism of theconscripts. All four solidarities arepresent in social disputes be theylocal, national or global.

The risk perception and strategicproclivities of these solidarities alsodiffer dramatically. Fatalistenclavism is a passive solidarity thatis strategized upon by the otherthree active solidarities; but, beingrisk absorbers, they can withholdconsent and hence defeat thesolidarity propounding the

particular strategy they dislikehaving imposed upon them.Markets are risk takers andinnovators, while the enclavists arerisk evaders critical of the actions ofmarkets and governments.Hierarchic bureaucracies are riskmanagers, doing the managingthrough procedures and lawsdefined through properlysanctioned expertise.

How social solidarities areorganized also determines thelength of their vision and their viewof nature. Markets have anotoriously short-term vision wherenature is seen as robust (that onecan do anything to it and it will takecare of itself). Egalitarian activists,on the other hand, have a long-termmillennia vision. Their risk-aversenature forces them to view nature asfragile and the action ofgovernments and markets (such asbuilding highways and high dams)as unacceptably dangerous.Hierarchic bureaucracies try tobalance the two by maintaining thatnature is robust but within limits –limits that are set by their expertsthrough environmental guidelinesand procedures.

The social response to groundwateroverdraft illustrates the behavior ofdifferent social solidarities. Theindividualist does not care how lowthe groundwater table falls as long ashe is able to get more powerfulpumps. The activist is concerned thatthe poor are suffering and railsagainst the government for notenacting laws. Governments try toenforce procedures for groundwaterutilization, ineffective though they

The social response to

groundwater overdraft illustrates

the behavior of different social

solidarities. The individualist does

not care how low the groundwater

table falls as long as he is able to

get more powerful pumps. The

activist is concerned that the poor

are suffering and rails against the

government for not enacting laws.

Governments try to enforce

procedures for groundwater

utilization, ineffective though they

may be



may be; and the fatalist farmerscope as best they canbefore succumbing to fate andmigrating out.

Climate change presents a similarpicture. Hierarchy defines theproblem as too many people withpopulation control being thepreferred solution. To the market,more people means moreconsumers and hence far frombeing a problem. Wrong pricingand market-distorting subsidies,etc., are for these networkingindividualists the real problem thatneed correcting. To the egalitarian,however, profligacy and humangreed are the problem withvoluntary frugality being theanswer. Hence, one can see that asingle problem (climate change) hasthree different definitions of whatthe issue is and what needs to bedone to solve it. It must beremembered that no solidarity iswholly right or wholly wrong: allthree need each other to definethemselves against.

For policy-making, all the threeactive social solidarities –

governments, markets and civilactivists – need information thatthey will construct from data theycollect and interpret. Policy failureresults when space is not providedto any single solidarity, when thethree-legged policy terrain stool islame by one or two legs.Constructive engagement andcontestation (unlike destructiveimpasse) between the three willresult in a policy that may not be allthat each group wishes but whichhas something for everyone,certainly more than the nothingthey would have if there was animpasse. The Ozone Treaty and theMontreal Protocol are good

Policy failure results when space

is not provided to any single

solidarity, when the three-legged

policy terrain stool is lame by one

or two legs

Three legs for stable Nepal science



examples of constructiveengagement, as is the Nepaliresponse to the report of the WorldCommission on Dams.

Many of the countries in South Asiatreat their hydrometeorological datawith extreme secrecy. This factcontributes to its nonuse by thedisaster mitigation communities,especially at the local level. InNepal, the egalitarian activists havebegun working with local flood-affected communities to generatetheir own data on rainfall andtemperature. It is not very expensiveto install rain gauges in schools andwith farmer groups managing theirirrigation systems; and linking thesegroups and their collected data withFM radio stations has made thesystem “live” and of everyday use.Now, with access to alternative data,they can challenge government ormarket conclusions based onsecret data.

An aggressive way to forcegovernments into divulging climaterelated data (collected by usingpublic funds and which is neededby a slew of professions) is to takethe position that unpublished datathat has in addition not been peerreviewed, is not science but merelymodern witchcraft that is not reallycredible. Without plural sources ofdata and their interpretation, inessence “data democratization,”robust policy will not emerge:instead one may be visited by policythat is prone to unpleasantsurprises. Since climate change isdefined in a plural way, thesolutions are also bound to beplural, with different solidarities

The risk resilience of communities

to extreme event stress is

enhanced if they have a better grip

on the science and a better

confidence in its conclusions. This

would allow them to base their

development decisions on

scientific conclusions rather than

on traditional “old wives’ tales”

collecting and interpreting dataaccording to their risk perceptions.

The risk resilience of communitiesto extreme event stress is enhancedif they have a better grip on thescience and a better confidence in itsconclusions. This would allow themto base their development decisionson scientific conclusions rather thanon traditional “old wives’ tales.”That can be achieved throughmaking science less esoteric andmore of a “people’s science.”Adaptation is about coping (by thefatalists), commoditizing (by themarket), tabooing (by theegalitarian), or managing (by thehierarchs). Managing withgrandiose master-plans alone is notthe answer because it is a solutionamenable only to control-orientedhierarchs and not the other threewho also plan and deploy theirstrengths as per their own riskperception proclivities and powerendowment (critique for egalitarian,networking for profit forindividualists, and withholdingconsent for the fatalists).

Overall system resilience comes fromhaving all the three legs of the policystool in place; but moving to a pluralsystem of constructive engagementfrom that of closed hegemonyrequires vision and statesmanship inthe government bureaucracies andthe activist community, while marketshave to look at the long term whenlooking for innovations. The policyterrain cannot be “integrated”: it hasto be democratized, with climaterelated data democratization a goodplace to start.



Development Alternative’s initiativein tsunami-affected regionsAshish Bahal, Development Alternatives (DA)

The project “SustainableReconstruction Initiative inTsunami Affected Villages

of Karaikal, Pondicherry” is beingimplemented to provide anappropriate response to thereconstruction and rehabilitationneeds of 1,175 families in threepredominantly tribal villages in theKaraikal region that were severelyaffected by the tsunami. TheKaraikal region is approximately300 km south of Chennai on thesoutheastern coast of India.

The guiding principle for thisproject is that vulnerability todisaster is not purely inherent, butis amplified by individual andcommunity decisions. This isespecially true in the choices ofhousing construction. Inappropriatebuilding construction makes peoplemore vulnerable, while strong andsustainable housing builds moreresilience. DevelopmentAlternative’s (DA’s) approach in thisproject, therefore, is to adopt anintegrated adaptive managementstrategy that incorporates disastermitigation through reconstructionand rehabilitation. The strategicapproach for the project is todevelop the villages in a sustainablemanner with all basic amenities

such as domestic energy, water andsanitation, and physicalinfrastructure in place. Given theinadequacy of access to potablewater and sanitation facilities inthese villages before the tsunami,the project also aims to upgradethese settlements and derive relatedhealth impacts.

Through this project, DA intends tointroduce alternative livelihoodsespecially to women, thusimproving/influencing the overalleconomic condition. It also opensthe possibilities of strengthening thelocal village institutionalframework, thus facilitating a long-term sustainable developmentprocess in the villages, which shouldsimultaneously reduce thecommunity’s vulnerability todisasters and strengthen itsresilience to future shocks – naturalor man-made.

Empowerment of and participationby the local population is anothercentral part of this project. A villagereconstruction committee has beenformed which has enabled familiesto be involved in planning, in thedesign of physical reconstruction,and in the selection of technologicalprocesses in an interactive manner.

The guiding principle for this

project is that vulnerability to

disaster is not purely inherent, but

is amplified by individual and

community decisions. This is

especially true in the choices of

housing construction.

Inappropriate building construction

makes people more vulnerable,

while strong and sustainable

housing builds more resilience



Beyond that, the project has alsodeveloped “indicators ofeffectiveness and sustainability”through a stakeholder basedinteractive process.

Other aspects of the strategy are toprovide direct employment, toenable entrepreneurial initiativesand to provide training related tothese activities to the localpopulation. Direct employment isprovided through constructionactivities: houses are being built foreach family, and schools and otherinfrastructure are also being built, asthey are seen as an essential basis forthe development of alternativelivelihoods. Entrepreneurial, incomegenerating initiatives are beingdeveloped. Specifically, assessmentsof building materials have beenmade in conjunction with thecommunities, and it has beendecided to use cost-effective, precastblocks that can be manufacturedlocally. Model houses have beenconstructed to demonstrate suchlocal technologies, and participatoryexercises concerning the design andconstruction of the settlement arebeing completed. SHGs are being

encouraged to set up enterprises forthe production of suchprefabricated building elementsrequired for construction. Likewise,local institutions, such as SHGs ofthe fishing community are beingencouraged to involve members inthe non-fishing season to createsuch alternative livelihoods. In thisway, the village economy willbenefit and local knowledge will bestrengthened. Efforts will be madeto develop new markets, so thatafter the project period, thesealternative livelihoods will besustainable.

Large-scale training and capacitybuilding of masons and otherartisans beyond the three identifiedvillages is being undertaken tosupport safe and sustainablereconstruction activities and growthin the housing and infrastructuresectors in the long term. Besidestechnical capacities, managementcapacities are also being developed.In all these ways the project will beable to contribute to livelihood(re)development and safe(re)construction processes in thewhole region.

...the project has also developed

“indicators of effectiveness and

sustainability” through a

stakeholder based interactive

process



Mapping and “managing” floods in India:perceptions, policies and realitiesSanjay Chaturvedi, Punjab University

The current dominant trend in interstate relations is to manage natural calamities

in ways that fundamentally challenge neither current asymmetries in national

or regional geopolitical economy nor the ecologically destructive practices.

One of the key assumptions underlying this is that technological maneuvering

and social engineering combined could possibly address difficulties posed by

gradual climate change and natural calamities. The acknowledgment of a

possibility that vulnerability of livelihood and ecosystems might be reduced,

through engagement with variability and change rather than attempting to master

and regulate these systemic processes, is absent. The key overarching question

relates to the extent to which the “official” perceptions and policies of government

agencies in India are both able and willing to move beyond the structural

approach and respond to the dynamic and changing nature of both society

and ecosystems.

ABSTRACT

Mapping is the intellectualprocess of constructing,conveying, accepting

and resisting intellectualconceptions of places, people,climatic variability and change,hazards, disasters and calamities.The movement from perceptions toreality is illustrated by theimpression that those who areengaged in making policy are drivenby perceptions, in addition todifferent solidarities, in terms ofcritical and cultural theory withtheir own perceptions. This leads tothe conclusion that managingperceptions, to reach or identify

points of convergence is a verychallenging task.

The key questionWho adapts (or does not adapt) towhat (climate variability, change,calamity, and disaster (natural?Social?), why, when, where andhow?

For most people, disasters occur ona day-to-day basis and whether theyare called disasters or not is a matterof perception. A vast majority ofpeople are simply unable to adaptand for them it is not adaptationbut survival. The dominant

For most people, disasters occur on

a day-to-day basis and whether they

are called disasters or not is a

matter of perception



developmental growth paradigmwill result in disasters increasing infrequency and magnitude. In thecultural theory, there is not onerationality but competingrationalities. In South Asia andmaybe beyond, there is a paradigmconflict – one is a dominant state-centric paradigm of geopolitics; thesecond is of ecological sustainability.Over the years, ecological securityhas been increasingly co-opted bythe dominant state-centric paradigmof geopolitics.

In critical cultural theory, there arefour solidarities represented by acircular form because they arebound by an inward lookingexclusivist circular rationality, and inbetween is the hermit, which iscritical solidarity.

“Floods being natural phenomena,total elimination or control offloods is neither practically possiblenor economically viable. Hence,flood management aims atproviding a reasonable degree ofprotection against flood damage ateconomic costs,” says the “Reporton Achievement in FloodManagement, 2000” of the Ministryof Water Resources, Government ofIndia.

The rationality of hierarchy showshow the bureaucratic top-down andreductionist approach to floodmanagement tends to divorcenature from development. There isduality between development anddisaster and development managerscannot be disaster managers – sincepart of the problem cannot be a partof the solution. The vulnerability of

livelihood and ecosystems can bereduced to engagement withvariability and change rather thanattempting to master and regulatethese systemic processes.

Rather than looking atsocioeconomic transformation inboth urban and rural landscapes,variability, human mobility andadaptability as the starting point,conventional wisdom rules outentirely the scope for innovationand adaptation. A key question is“to what extent are the official‘perceptions’ and policies ofgovernment agencies in India ableto move beyond the structuralapproach and respond to thedynamic and changing nature ofboth society and water resourceconditions?” The Ninth Five-yearPlan saw the beginning of a gradualshift away from purely structuralmeasures toward other forms ofnon-structural mitigation. In theNinth Plan (1997-2001), it wasobserved that in addition to the

The rationality of hierarchy

shows how the bureaucratic top-

down and reductionist approach

to flood management tends to

divorce nature from development



progress made in implementingstructural flood protectionmeasures, flood forecasting andwarning systems had played a greatrole in mitigating the loss of life andenabling the protection of movableproperty. Flood and DroughtResponse Synthesis – the responseof governments to floods anddroughts – are remarkably alike.While Nepal’s plans remaindominantly on paper, they arebroadly similar to those in India. Inboth cases, investment strategiesfocus on structures and otherphysical interventions designed toincrease control over wateravailability and flow. In the case ofdroughts this investmentemphasizes water harvesting and,to a lesser extent, improvingvegetative cover in watersheds.These investments are intendedprimarily to increase the physicalavailability of water during dryperiods. In the case of floods, mostinvestments are directed toward theconstruction and maintenance ofembankments and other floodcontrol structures. Both floods anddroughts, at least in the practicalsense of investment, are seen asexternal events that can becontrolled through the constructionof physical structures.

Concepts of flood and drought-proofing exist and do include therecognition of wide measuresrelated to the vulnerability oflivelihoods. Translating suchconcepts into governmentalprograms that actually directsignificant investment intosomething other than theconstruction of water control

structures has not, however,occurred on a widespread basis. Asearly insights from colonial effortstoward flood control indicate,conventional courses of action oftenincrease long-term vulnerability.1

There has been a gradual shift frompurely structural measures to non-structural measures for floodmitigation. This is reflected in theTenth Five-year Plan of theGovernment of India, althoughmuch of the shift still remains onpaper.

Key findingsThe broader and deeper geopoliticaldynamics of center-state relationscontinue to influence both officialperceptions and policies towardflood management. In many, if notmost, cases the allocation ofresponsibility among key agencieswithin each state and between statesand the Central government, is bothhighly politicized and far from clear.The shift toward a non-structuralapproach has been both slow andhesitant. The state government ofBihar continues to frame solutionsto the problem of floods largely interms of viability and vitality ofstructural measures.

When each solidarity is bound byterms of its own rationality, who isor can be the hermit and what is therole? The hermit is a value,criticality, a practice and anoutcome. The hermit is the fifthsolidarity who does get theattention it deserves in cultural

1 See Adaptive Capacity and Livelihood Resilience: Adaptive Strategies for Responding to Floods

and Droughts in South Asia. Edited by Marcus Moench and Ajaya Dixit (2004)

There has been a gradual shift

from purely structural measures

to non-structural measures for

flood mitigation. This is reflected

in the Tenth Five-year Plan of the

Government of India, although

much of the shift still remains

on paper



theory, though the role played bythe hermit is both important andcentral. Neither of the foursolidarities with exclusive-circularrationalities and perceptionsbecome the hermit.

The challenge, therefore, is to makethe paradigm shift from a“dialectical dialogue” (thesis versusantithesis) to a “dialogic dialogue.”

Hierarchy solidarityThere is no one rationality inhierarchical solidarity in theinstitutional landscape of India,Nepal or any other country in SouthAsia. Even within the hierarchicalrational solidarity, there are diverse,parallel, competing, converging,diverging hierarchical rationalities,and these are important.

And only dialogic dialogue canengage with the challenge of climatechange and variability. Asinstitutions grow and specialize,they become rigid and are not in aposition to adapt to climatevariability because their reasoningof variability is simply absent.

The hermit is a dialogic dialogue.Hermit is criticality.

Concluding observationsThe conventional “command-and-control” management, undertakenby “specialized” and rigidinstitutions, dictated and driven bygovern-mentality, is full of pitfalls.

It seriously lacks the capacity torespond to climate variability andchange with wisdom and persistence.There is a clash of paradigms whichis natural resource into a geopoliticalresource. The nationalization andterritorialization of nature andnatural resources for reasons of thestate lead to economic growth andexploitation of nature and naturalresources. There is a need to returnto pre-colonial geographies that willalso mean a return to human andcultural geographies.

Tasks/challenges beforethe “Argumentative” hermit� Ensure that no no-claim toknowledge (or for that matter noindividual perception of threat/risk/hazard/variability, change, calamity,disaster) becomes a regime of truth.When information comes from theperspective of only one solidarity, itis often presented as the only truth.� Question relentlessly thetendencies and the trends that aimat transforming pluralism andargumentative traditions that aretolerant of criticisms into criticism-allergic/resistant binaries of adialectical dialogue.� Broaden and deepen the natureand scope of on-going dialogues toencompass the entire subcontinent.There is no such thing as “our oryour climate/environment.”� Search for a common will.Common ways (grounds) are likelyto follow.

There is no one rationality in

hierarchical solidarity in the

institutional landscape of India,

Nepal or any other country in

South Asia



Post-tsunami interventions by UNDP GEFSmall Grants Program-IndiaP.S. Sodhi, UNDP GEF Small Grants Program (SGP)-India

The tsunami of December2004 devastated andisolated the coastal

communities near Pichavaran insoutheastern Tamil Nadu. Manylives were lost, livelihoods weredestroyed and, with water comingtwo kilometers inland, importantmangrove swamps were wiped out.After coordinating with three orfour partners to evaluate anappropriate post-disaster response,the UNDP GEF Small GrantsProgram (SGP-India) undertookfour projects, addressing the needsof 2,374 beneficiaries in this area.The program strategy involvedpost-disaster rehabilitation with afocus on generating sustainablelivelihoods. Relief was just a smallcomponent of the grant. Activitiesincluded networking with thegovernment and other agencies,transparent planning throughparticipatory processes andfacilitating networking betweeninstitutions. The program processwas replicated by different agenciesin another village in the Tsunamiaffected area.

To aid community participation andpriority identification throughparticipatory techniques, a problemmatrix was developed in advance of

meeting with the affectedpopulations. Then, within a monthof the tsunami, five days ofmeetings were held in the fourvillages. These were held separatelywith each affected group involved,including agriculturists, the fishingcommunity, small farmers, thelandless, women and leaders. Theparticipatory planning process tooka successful consensus approach;apparently this was the first timethis sort of consensus had beenbuilt.1

With the help of this process,participatory and joint rehabilitationplans were developed for eachvillage, involving all socioeconomicgroups, focusing on rehabilitationand relief issues. This led tobuilding confidence with thegovernment and non-governmentalorganizations as the planningprocess was open and transparent.

Meetings with the districtauthorities and stakeholdersidentified the required resources,actions and responses. Afternegotiations, it was estimated that

1 It was notable that the prime focus of each of these groups was on the development oflivelihood options. The authorities were trying to develop an immediate strategy for risk reductionand found the matrix to be a very useful tool.

Community based planning throughParticipatory Rural Appraisal



the resources required would beabout US $200,000 for eachvillage, over three years, based onthe threat scale that was planned for.Initially, the identified fundingneeds were a significant constraint,but ultimately funding camethrough. The UNDP GEF SGPprovided US $83,575 and anadditional US $760,067 was raisedin a co-financing effort from thecommunity, local and stategovernments, NGOs and otherdonors. Co-financing by othergroups was a strong focus of theUNDP GEF SGP.

Among other things, small SHGswere formed based on kinship andcommon interest and beneficiarieswere required to select livelihoodskills and trades to be taken up thescale. This was difficult as there wasconflict between affected groups.The fishing community blamed theagricultural communities, who felt

most affected as they had lostlivestock, their wells were ruineddue to salt water, and they had loansthey were unable to repay.

In conjunction with successes at theinitial community meetings otherconstraints had also been revealed:there was division and competitionamong the stakeholder groups, theproblem matrix showed that thenumber of needs were more thancould be met and, simultaneously,there was a rapid ballooning ofunrealistic expectations.

Actions taken for achievingproject objectives� Identification of:1) actual project stakeholders(affected fishermen, non-fishermen,landless);2) needs assessment throughTsunami Responsive PRA(participatory rural appraisal);3) identification of common land

Participatory community need assessment Among other things, small SHGs were

formed based on kinship and common

interest and beneficiaries were required

to select livelihood skills and trades to

be taken up the scale



for trees and nurseries; and4) identification and demarcationof land for tree cover� Orientation of communityteams, preparation of trainingmodules, and conducting trainingincluding training on alternativeemployment and value additions� Installation of a PV (solarpowered) fish drier unit� Building linkages with otherstakeholders through KnowledgeNetworking� Documenting traditional healingsystems in operation� Environmental curriculumbuilding and school awarenesscampaigns� Internal planning and reviewmeetings with SHGs� Monitoring, evaluation anddocumentation

Lessons� Networking with thegovernment and other agencies bySGP and partners helped inconverging resources, increasing thespread of activities, and avoidingreplication� Open and transparent planningthrough participatory processesraised the confidence of thecommunity� Facilitating networking betweenNGOs and the districtadministration through sharing ofwork plans built the credibility ofthe NGOs in government and thecommunity as deliveryorganizations� The process built the consensus

approach and the other donors alsonetworked into the operations� SGP funded environment relatedissues: fish drying units,establishment of the systemsapproach in nursery raising forplantations� Establishing certain incomegenerating actions through theSHGs led to confidence in thedelivery system

Perspectives, problems andconstraints� There was a disjuncture betweenraised expectations and the ability todeliver� Conflicts were widespread inequity and resource sharing� With gender down-streaming,women and children were worstaffected� There were disparities in socialand economic standards� Expressions of sympathy led tointernalization and counter-dependency� There was a lack of dataavailability� There were management andfunctional deficiencies in micro-planning with the possibility ofduplication� There was evidence of gaps (and“stop-gaps”) between initial reliefmeasures and measures for interimand long-term reconstructionprocesses

Facilitating networking between

NGOs and the district

administration through sharing of

work plans built the credibility of

the NGOs in government and the

community as delivery

organizations


Mitigating natural disasters throughpreparedness measuresAditi Kapoor, Oxfam (India) Trust

More than sudden disasters, it is recurring natural disasters that havethe most direct link with climatic changes and the ecology of the placewhere these disasters strike. Oxfam’s experience with humanitarian workacross the globe has shown that socially and economically it is morecost-effective to prepare well for such disasters than only to respond tothe crisis. A major lesson has been that livelihoods protection has to beintegral to disaster mitigation strategies. It is better to learn to live withfloods, droughts and cyclones than to cope with the aftermath. In theflood-prone areas of Bangladesh, Assam, Bihar and Orissa, for example,poor women and men have enhanced their incomes and saved theirfamilies by undertaking practical measures to reduce the risk. This isbecause of high levels of awareness and motivation among thecommunities to gain from the benefits of preparedness when this isintroduced to them. Insurance of houses, assets and lives of poor peopleliving in perpetual threat of cyclones in eastern Andhra Pradesh andfloods in Orissa has been another successful instrument to help peoplelive with recurring disasters and even sudden ones.

ABSTRACT

More than suddendisasters, like anearthquake or a volcanic

eruption, it is the recurring naturaldisasters such as floods, droughtsand cyclones that have the mostdirect link with climatic changes andthe ecology of the place where thesedisasters strike. These disasters alsoaffect poor people the most as theirasset base keeps getting eroded andthey are so busy coping withnature’s fury year after year that

they are unable to build a better lifefor themselves. Addressing theexposure of people to naturaldisasters and supporting theirability to adapt requires effectivecoping mechanisms andmanagement plans. South Asia isthe hub of recurring disasters and isalso where a lot of the poor live.

Oxfam works with communities,the government and otherinstitutions to be prepared for

It is better to learn to live with floods,

droughts and cyclones than to cope

with the aftermath



disasters, both to cope with themand to respond to them. Its workinvolves innovation and creativity.Traditional and modern knowledge,techniques and technologies areused in these interventions withpeople themselves integrating theseinterventions into existingknowledge, processes andinstitutions to meet the needs onthe ground. Oxfam’s work focuseson the key issue of livelihoods ofthe poor by integrating safe andsustainable livelihoods into disasterpreparedness.

Oxfam began by responding tonatural disasters (and “man-made”conflicts) but soon found thatrepeated response was limiting; ithad to be combined withpreparedness. Now, Oxfam’shumanitarian program revolvesaround both preparedness andresponse. Preparedness helps peoplerespond better and actually increasestheir income and social security asthey are ready to deal with naturalupheavals. There have beennumerous successes inimplementing preparednessmeasures on the ground throughexisting institutions. A fewexamples illustrate this.

In the flood-prone areas of Assam,for example, flood shelters built onraised land have proven to be highlyeffective. Oxfam and its localpartner organization, RuralVolunteers Centre (RVC), alsosucceeded in getting this adoptedby the local administration to buildsimilar flood shelters as part of thedistrict development work throughthe District Rural Development

Agency (DRDA). Oxfam and RVCare now actively advocating theintegration of flood shelters into thegovernment’s poverty alleviationprogram so that employment willbe generated in their construction.

Another example comes fromBangladesh. In village Khonchaparain district Gaibandha in NorthBangladesh, Oxfam and its localpartner organization, Samaj KallyanSangsthan (SKS) introduced a newvariety of bean and papaya seeds,

Raised drinking water forsafety during floods

Raised earth-work flood shelter



each set costing 40 Taka so thatfarmers could harvest the produceafter floods, in the “Moga” season.“Moga” comes just after the floodseason when all paddy crop isdestroyed. It is called the crisisperiod for food and employmentfor flood-affected people. The cropgrown with the 40 Taka worth ofseeds was sold for worth 2,900 Takain the Moga season by Dalimon, apoor woman farmer. This newagricultural crop helped diversifylivelihoods and created a newsource of income during a criticalperiod of the year.

In cyclone preparedness work incoastal Andhra Pradesh and coastalOrissa, men and women in villagesnow know who to approach forwhat relief and for what purpose.District officials have begunaddressing cyclones by planningcyclone shelters. Flood-proof houseshave also been built. Villagers nowcope with cyclones and even floodsin the flood-prone areas in Orissa. In2003, for example, no lives werelost due to floods in the villageswhere flood preparedness work hadbeen done, unlike in the villageswhere Oxfam had not worked onpreparedness. In Bangladesh, amulti-risk mitigation standard forhousing is being advocated.

In the area of preparedness, people’sinstitutions need to work withgovernment. There is a view thatgovernments are ineffective but thegovernment is the only institutionthat has the machinery andinfrastructure that can addresspreparedness everywhere. Arelatively new area of activity for

Oxfam involves insurance as adisaster preparedness measure.Insurance has had some success incyclone-prone Andhra PradeshEven poor people are willing to paya premium to safeguard their assetssuch as boats, fishing nets andhouses. National insurancecompanies are now gettinginterested in expanding their base indisaster-prone areas. The case ofLakshmamma of Thane Lankavillage in coastal East Godavaridistrict of Andhra Pradeshillustrates the way insurance cansupport the local poor.Lakshmamma claimed Rs 45,000when a fire engulfed her hut, herfishing boat and all her householdgoods in 2002. The availability ofinsurance has enabled her to rebuildher livelihood.

There are examples from outsideOxfam where preparedness cansafeguard livelihoods. In Gujarat,for example, the Self-EmployedWomen’s Association (SEWA)successfully used the government’sdrought relief fund as a revolvingfund for investing in womenartisans who could make embroiderduring the drought season and sellthe product, again through SEWAcooperatives. The fund grew aswomen repaid the loan from theirearnings and used it as an availablecapital resource. Simultaneously,several drought-proofing initiativeswere taken in their villages throughwatershed development. Thanks tothe watershed activities, their desertvillages have become green againand birds are flocking to therejuvenated ponds as ground tableshave risen.

In the area of preparedness,

people’s institutions need to work

with government. There is a view

that governments are ineffective

but the government is the only

institution that has the machinery

and infrastructure that can address

preparedness everywhere



1. Models from Cultural Theory can provide criticalinsights on perceptions and approaches from differentgroups within society or “solidarities.” While a bettermodel will eventually evolve, the existing one has a largenumber of uses. Risk-makers have to be seen in terms ofthe risk absorbed. Once fatalists refuse to accept risk, theybecome one of the other solidarities, but risk-makersbelong to all three. The risk taken by an individualist forhis benefit creates risk for others. The ones who avoidrisk the most are egalitarian movements. They do notwant to build a dam, for example, because it is a risk tosomeone else.

2. Intellectual models, such as the Cultural Theorymodel presented in this session, play an importantrole in determining response strategies. They enablebetter understanding and have some merit as explanatoryand, in some cases, predictive tools. However, they alsolend legitimacy to concepts of how society works. Thesediscourses create a social reality and get a life of their own,leading to profound political implications of how policyis constructed. This may legitimize a concept that has beenused all along, altering reality to the detriment of many.

3. Different social solidarities operate in their ownways. The perspectives of bureaucracies, market actorsand NGOs tend to be different for a variety of inherentsocial reasons. As a result, the approaches and solutionsthey advocate to climate change and disasters are generallydifferent.

4. Concerns with the use of cultural theory. Concernswere expressed with regard to the use of Cultural Theory,particularly with regard to the assumption that differentgroups are homogeneous, the absence of agency, and whatuse of theoretical frameworks may mean for developmentof a practical agenda and going forward.

5. Data issues are central to social action and areheavily influenced by the nature of the solidarity

generating and using the data. Governments and formalprocesses rarely use data from informal sources – but theseare often the most effective in enabling communities totake action. When we think of data or information it isgenerally through a very formal structured set, which weessentially see in governments, such as in India and Nepal,or universities for that matter. One reason that CulturalTheory is useful is that it highlights the logic and incentivesunderlying different sources of data. Market actors collectdata for specific reasons, NGOs for other reasons, andgovernments for yet other reasons. If we wish to informand support adaptation, we need to recognize where dataare generated and the interests or world views that informthat collection. Institutional contexts generate certainproclivities. Many problems relate to the ownership ofdata and the tendency to structure the data. Each solidarityhas its own in-built filters, which provide differentperspectives and values. The government filters out somedata if it shows them in a bad light, so do activists andmarkets. However, all data rejected by one solidarity isdata required by another. Causes must be studied,especially those not conventionally seen at internationalor national levels.

6. Many debates over disaster response andadaptation strategies come down to a war of attituderather than technology, resources or know-how. Thisis a major point of conflict between governments andNGOs.

7. Recognition of the need for adaptation andimproved disaster response is increasing but has yetto lead to effective action. Recognition is yet to betranslated into a more effective and more convincing policyand collaboration. One reason for this reluctance stillpersists is because each solidarity looks at problems fromits own rationality. To resolve this, reasons and perceptionsneed to be brought together in a dialogue mode. Fromthe government point of view, the preparation of a recentpaper on flood risk involved the departments of space,




information and broadcasting, communications andinformation, meteorology, urban development, finance,relief, the state government of West Bengal and theInstitutions of Engineers. NGO and social actors werenot involved. This shows as to how a particular solidarityor a particular hierarchy decides as to what kind ofinformation would constitute knowledge and who shouldbe asked to provide the strategy. It is very important tonot be dependent on a theory because theories are alwaysevolving.

8. Advocacy is essential. Because recognition ofproblems has yet to translate into action, advocacy isessential. Advocacy is a very slow process. To increaseawareness of the need for disaster risk reduction,professionals need to advocate with government, mediaand other institutions. Information is power that movesnot only the hierarchies, not just people in thegovernment, but it creates the abilities for activities suchas Oxfam’s to become models. This is the basis of advocacy.We need to learn to talk in a language that the other personunderstands. Advocacy marrying development withdisaster mitigation is a language the governmentunderstands, if you push enough.

9. Investments in preparedness have proven to bevery useful. There are two primary ways of increasingpreparedness. One is preparing for disaster mitigation (riskreduction) and the other is long-term – starting withprediction and the development of institutional andinfrastructural platforms for response. Small-scale localinterventions, such as construction of raised platformsand other facilities in flood-prone areas, can be effective.In the projects of the Red Cross Society during 2001 and2002, raised platforms helped keep people and livestocksafe for two weeks. Raised wells and raised sanitationfacilities have proved to be important, especially forwomen, in a community-based cyclone preparednessprogram in Bangladesh, where in 1970 a cyclone killedabout half a million people. Community-based programsof building shelters through social mobilization helpedreduce deaths to a few hundreds when a similar cyclonehit Bangladesh in 1997. This investment had a visibleimpact and has proven that preparedness works.

10. NGOs can play a vital role in disaster relief. Duringthe Orissa floods, not a single life was lost in the villageswhere Oxfam was working. In comparison, in other areas,lives were lost.



Moderated panel discussionThis session was structured as a moderated question–answer session withdisaster response experts from UNDP, OXFAM and governmentrepresentatives directly involved in the types of disasters likely to occur asa consequence of climate change

ModeratorWhat are the practical links between disaster risk reductionand adaptation to climate change and, after the practicallinks, what are the key operational and policy issues youface in effecting them? Finally, as a way forward, what doyou see as the critical unknowns, areas for experimentationor research that we all need to be thinking about?

G. Padmanabhan (UNDP)The UNDP Disaster Risk Management Program is beingimplemented in India. It covers 169 most vulnerabledistricts in 17 states. It consists of activities that supportextensive community capacity building on disaster riskmanagement. It also involves activities to build capacityat various levels within the government system. TheDisaster Risk Management Program was designed jointlyby UNDP and the Government of India and is beingimplemented by state governments. When seniorbureaucrats at the state level are convinced of the needfor disaster preparedness and mitigation then the projectis implemented well. Without this support, in spite ofgenuine interest of the people involved, there will besetbacks. Implementation is done through a steeringcommittee, with the chief secretary heading it; anddepartmental heads are involved in establishing linkagesto address mitigation plans at various levels. In areas wherethere is no experience of any major disaster, interest willbe lacking. Large-scale awareness promotion has to beconducted showcasing disaster concepts and theimportance of disaster prevention and mitigation.

It is difficult to change the mindset of people who havenot really experienced disasters. When the earthquakeoccurred in Gujarat, people in Maharashtra wereuninterested in preparedness or mitigation activities.Whereas, in Gujarat, policies have been formed andcapacity building done. In Delhi, there was little interest,earlier, but now there is a disaster response committee.

One of the challenges is to shift from disaster response toproactive preparedness, and mitigation is one of thechallenges. There is a need to examine legal instrumentsthat exist. In Delhi, earthquake-resistant houses arerequired, but there are no regular legal instruments toimplement building standards.

Aditi Kapoor (Oxfam)Some of the practical links between risk reduction, disasterresponse and adaptation have shown that the poor areaffected more and the poor are more responsive. Womenare affected more and the women are more responsive. Itis an effect and an opportunity. South Asia is the mostaffected by natural disasters of all kinds. More than80 percent of India’s landmass is subject to disaster,whether floods, cyclones, droughts, earthquakes orlandslides. The practical links between risk reduction,disaster response and climate adaptation seem to lendthemselves better to some disasters. In the case of drought,reducing the risk, initiating available responses, andadaptive strategies are easier than in the case of cyclonesor floods, where the causes need to be studied. Cyclones,which are more natural, are easier to cope with. It is moredifficult to cope with recurring floods or droughts.

Different actors come into play for risk reduction, disasterresponse and adaptation. This poses a practical problem.There is very little information available in a form thatcan be articulated and communicated across the spectrumof relevant actors. It is essential to collect the informationthat is available on risk reduction, disaster response andadaptation and to put it together in a way it can bearticulated to different sectors of society. Differentcommunication tools should be used for policymakers,donors, communities and the media. Preparedness is onetool, which is good for linking all three and should be thefocus for government and all those working in this area.

D A Y – 3 : S E S S I O N – 3STRUCTURED DIALOGUE: POLICY, IMPLEMENTATION AND RESEARCH ISSUES IN ADAPTATION


Neeraj Mittal (Joint Commissioner, Relief andRehabilitation, Government of Tamil Nadu)Institutional memory and capturing experiences from pastdisasters to understand what happened and why is veryimportant. This is true for small and medium as well aslarge disasters. Because the combined effects of small andmedium disasters exceed the major events, small andmedium disasters are telling you stories of risk.

Kamal Kishore (UNDP)It is essential to enhance dialogue between differentdisciplines because disaster risk reduction issues (whetherthey involve floods and climate effects or earthquakes)cut across disciplines and institutions. When you look atdifferent institutions, people have different parts of thepuzzle and very few attempts have been made to put themtogether toward problem solving. Interdisciplinaryactivities are talked about in a very superficial way. Fiveyears ago, I was at an interdisciplinary conference amongcynoptic meteorologists, meteorologists, hydro-meteorologists, hydrologists and climatologists, and intra-seasonal oscillation experts. A lot can come out of adialogue, but even in this relatively narrow group ofspecialists, most discussion was intra-disciplinary. InBangladesh, at a meeting that we had organized, werealized that for the first time the director general of theagricultural department was seated next to the person whogives out the annual forecast. The director general didnot even know that the forecast was available in a particularformat. Therefore, a lot of the problem can be solvedthrough dialogue.

In terms of practical linkages, I do not think we understandthe different time and temporal scale effects that influencevulnerability well enough. Take the recent Kashmirearthquake. We did not understand how the recoverywould happen there. Because local people are often at thelead in recovery activities, one of the key questions thatcame to my mind was what are the people doing forthemselves? The answer – very little. Why? Because ofconflicts, the economy has been subsidized. People areaccustomed to being given assistance. Food prices are thelowest in the country. As a result, over the years a certainkind of vulnerability has been built. Social vulnerabilityhas reduced the initiative that is otherwise found in suchsituations. There are a lot of factors that are very hard tograpple with that contribute to people’s vulnerability.Many of these are independent of the kind of hazardsbeing talked about.

Finally, when we talk about documenting past disasters itis also important to see what we did to recover from thatdisaster; what we did to build back better; and, if we didnot build back better, why not. There are complex socio-political reasons, vested interests and even cases of plainnegligence. What can we do to successively reducerisk after disaster, what works and what does not.Understanding of this needs to be increased. There aremany examples where small interventions have actuallyled to major changes in the long term. Take the case ofwhat happened after the Maharashtra earthquake. Afterthe quake, the title deeds of all houses were issued in thename of the couple instead of the traditional way. Thatcreated a precedent for Gujarat and Orissa and it is a stepforward.

Finally, I am growing wary of pilots. If you look atearthquake risk reduction in this country and all relatedto, whether in climate, a lot of things that need to bedone are actually quite simple and straight forward. So Iurge us to move from piloting to benchmarking. Simplebenchmarking, knowing a good practice, means it shouldbe done as a part of the general way of doing things.

ModeratorThe discussion over the past few days focused on the linkbetween pulse change and the type of thing that is goingto happen over the long term in climate and the types ofquestions that are very practical in the disaster context.The point has been made that if there is no disasterexperience, there is no interest. That is the central challengefor the climate community – there is no experience soclimate issues are very hard to sell. We are getting someof the experience with events such as Katrina but is itrelated to climate change or is it not? Can information becommunicated to people? That has been a centralchallenge in this meeting. Different dialogues are on. Totalk beyond this meeting, we have to talk to a much widergroup. Furthermore, discussions have to be maintainedbecause there is very little institutional memory.

In terms of operational issues, what do you see a mostpractical way of supporting forms of disaster riskprotection that might respond to the long-run impacts ofclimate change while also recognizing that some forms ofclimate changes can be very fast? What are the keyoperational issues that you face in getting some of theideas you talked about in relation to disaster risk reductionimplemented?



G. Padmanabhan (UNDP)One of the practical difficulties we face is how to explainto people that a particular phenomenon is or is nothappening mainly because of climate change or globalwarming. Mumbai and other cities have experienced asubstantial growth in urban flooding. It is difficult todetermine how much of this might be due to climatechange. Is an event such as the Mumbai floods this year astray incident? Planning for urban floods may look at therecord of the past 30 or 40 years and use that to developpreparedness measures. You do not see cities looking atevents that have not occurred in the last 150 years anddeveloping response plans to be prepared for that. Thisis, I think, a critical constraint in planning for the types ofevents that may occur as a consequence of climate change.How do we know that, for example, in Delhi the rainsduring the next monsoon may be something we have notseen in 200 years and is happening because of climatechange? How do you convince the bureaucracy and otherpeople that this is going to happen? How do you predict it?You need to be prepared for it. So communities one afteranother face it and then realize it was because of climatechange. This slowly creates the demand for preparedness.

Aditi Kapoor (Oxfam)Trying to convince people that certain events are occurringbecause of climate change is complicated by the questionof institutional memory that you spoke of. Winters havebecome less severe but the meteorological department saysso many degrees Celsius above normal or below. Howdo you encapsulate such observations and get a scientificbasis for relating them to climate change and then go tothe media and convince them it is an important“newsworthy” topic? That is a challenge that allinstitutions need to address and find answers to. We alsoneed to start thinking about multi-risk reduction. InAndaman, the fact that the earth shifted has made peopleaware that earthquakes are a possibility. The potential forvolcanic destruction is also being recognized in Andamanand Nicobar because the earth moved. When we talkabout risk reduction and disaster response and adaptationwe need to take a multi-risk perspective. We cannot talkabout one single risk. The practical difficulty when one istrying to implement is when different actors are involved.For implementing a program, we need to work with a lotof people and this also means behavioral change which issomething which must be worked on – changingperceptions and the differential impacts on men andwomen. Behavioral change and attitudinal change will

become key in trying to reduce risks in times to come. Allthese pilot cases that are being conducted should be pooledtogether and the learnings shared to support this type ofattitudinal change. Information sharing on viable modelsand seeing how we can adapt, not only to climatic change,but to a variety of risks. One practical solution, whenworking across sectors is to find a common denominatorand everyone comes together when there is a commonissue and then they separate again. If there are enoughcommon denominators and if the language we talktogether can be changed, it might work better. We needpractical tools – more acts, codes, guidelines, morepractical research rather than statistics. There is an urgentneed for research that can be translated into practical action.

Neeraj Mittal (Joint Commissioner, Relief andRehabilitation, Government of Tamil Nadu)People are aware of disasters but they do not know thekind of risks they take. This makes informationdissemination issues critical. It also makes questions of riskzoning equally critical. The government of India is planningto do a risk zoning of the entire country. That is a keyoperational issue as far as strategies to deal with disastersare concerned. We cannot train everybody in everything.With limited resources we need to train people to deal withspecific kinds of disasters that they are susceptible to.

Kamal Kishore (UNDP)In terms of operational issues, at the cutting edge level ofthe administration, we maintain disaster managementplans. There is an imperative need to update them andthat leads to the question of institutional memory. Wheresuch a plan exists, updating it with details of past disastersgives administrators a good handle to work on from thatpoint onward. Zoning maps also link to building bylawsand those need to be changed as experience is gained. InDelhi, this has not happened in spite of the recentearthquake. The use of IT is also critical for maintainingdatabases of people having baseline information on manythings relevant to disaster management, including thesocioeconomic status of people. We have no unifieddatabase. Government departments have differentdatabases for different purposes. There is no cost benefitbetween one database and the other. Each database isindependent of the other. There is no correlation. Whena disaster strikes, another survey is done and anotherdatabase is generated. Unification is needed. A very severedrawback exists when you do not have accurateinformation in a disaster situation.



One of the practical issues in linking adaptation to climatechange that stands out is institutional. If you start listinginstitutions that are responsible for dealing with differentaspects of risk, you will find the necessity for linking suchas within India the three states of Gujarat, Orissa andUttaranchal have three different agencies for disastermanagement. Other states have other ways of dealing withdisaster management issues. And when it comes to dealingwith climate change, there are separate institutions, somein the Ministry of Agriculture, some in the Home Ministry,some in the Ministry of Environment. I do not have asolution and do not know how it can be harmonized.Those of us who play a catalytic role tend to go toinstitutions we are comfortable with. When it comes todisaster management, I go to the National Institute ofDisaster Management (NIDM) and talk to them – butthey may not be the best people to talk to. There are manylayers to setting up new institutions and designing theirmandates. As a result, mistakes will be repeated. Withoutlearning from our own mistakes and other countries’mistakes, it is difficult to make progress. The positioningof the meteorology department in different countriesillustrates this. If you look around Asia, in some countries,meteorology is part of defense, in some it is part oftransportation, in some communications, and in othersenvironment. In some countries there are twometeorology departments – one with agriculture and onewith science and technology. Differences are also presentwith respect to how these are placed and how they arealigned. How influential they are, what is the kind ofresources they get, and how accountable they are alsodifferent. In India, Gujarat State Disaster ManagementAuthority (GSDMA), Orissa State Disaster ManagementAuthority (OSDMA) and the ministries working ondisaster management are working in three different waysin three different states. There are reasons for that, butthey have not focused on these issues.

ModeratorIn many ways, the question of institutions and institutionalduplication was the central theme of the last session. Thereare a number of organizations – particularly when weadded climate change – and a lot of understanding indifferent areas. The complexity is evident from thisdiversity. In the post-disaster context, we are talking aboutrisk reduction. This is very similar to the need for riskreduction as part of adaptation to climate change.

What are the policy issues that become central when you

are trying to reduce risks either before a disaster or whenyou are in the process of post-disaster recovery andrebuilding? What should we do that is different from whatis already being done? And what are the policy issues thatemerge in that context?

G. Padmanabhan (UNDP)After the tsunami, the Tamil Nadu government spent alot of time thinking about the kind of reconstructionstrategy it should adopt. It did not want to do somethingand realize later that it was not the right thing to do. As aresult, it undertook an extensive evaluation of alternativesbefore developing a strategy.

If we know the risk profile of an area, we can reduce risksin advance. Suppose a major cyclone happened and therewas major devastation in the coastal areas. Can we thinkin advance about the kind of damage such an event wouldcause? If we do, we can develop construction and otherpolicies to reduce the risk. In Jammu and Kashmir (J&K),following the recent earthquake, the government initiallydecided to go ahead rapidly with the construction ofpermanent earthquake-resistant houses. It attempted topromote appropriate earthquake-resilient reconstructionusing local materials and respecting the local tradition.Unfortunately, after a substantial time was spent it realizedthat the masons who construct houses in J&K mainly comefrom Bihar and go back in November for the festival Chat.So there was no way to train the local masons in earthquake-resilient construction. As a result, it ended up relying ontemporary constructions. Substantial money could havebeen saved it they had been able to focus on permanentconstruction – but without advance planning the ability tobring in new techniques is often limited after disasters. InTamil Nadu, discussions on resettlement issues are tryingto develop mechanisms to consider all this in theirresettlement strategies to avoid wasting time and resources.

Aditi Kapoor (Oxfam)I agree that risk mapping is required to understand theimplications of climate change for vulnerability to differentdisasters. That is, however, not something the governmentshould do alone. It should be a collaborative exercise andone that accounts for other risks in addition to climatechange alone. Our programs on quake-proof or cyclone-proof houses have met with great success in communitieswith respect to both employment and the building of newskills. The point here is that risk reduction activities canhave more benefits than one.



At the policy level, disasters can present opportunities forchanging policies in ways that respond to the differentialimpacts on men and women and can empowercommunities. In Kerala and Tamil Nadu, for example,policies were changed to issue of joint title deeds forhouses after the tsunami. This gave many women a levelof ownership they lacked before. Another change wouldbe to make the panchayat more responsible for filinginsurance claims for the poor who are unfamiliar withthe mechanics of bureaucracies. Such changes are needed.

On a theoretical level, substantial learning is required toeffectively link disaster risk reduction into development.Risk and disaster considerations need to guidedevelopment policy-making but there are practical issuesin how you link the two. We all need to be in a constantlearning mode. Climate change with all its unknowns willrequire this. In addition, we need to influence policy fromthe outside and at the same time we want to win overfriends from inside the government. They need to beinfluenced from within and without.

Neeraj Mittal (Joint Commissioner, Relief andRehabilitation, Government of Tamil Nadu)From the government perspective, there should becontinuity in terms of an institutional setup to deal withdisasters. This capacity is not just needed when a disasterstrikes. There should be a permanent setup with expertsinvolved in a state of readiness at all times. In Tamil Nadu,disasters have occurred one after another. When there areno disasters, everything tends to rust. Response systems,reserves and information bases are not current. Whendisaster strikes, we respond for a year or two and thenforget. Public memory is very short.

At the policy level, the government can do a lot bypromoting planned development. The ability to do thisis evident in recent court decisions that have resulted in alot of encroachments being removed in Delhi andChennai. If this can be done continuously, we reducehuman loss in the case of any disaster. Whether or notclimate change occurs is a moot point.

Kamal Kishore (UNDP)The first book on disaster and development entitledDisaster and Development was published 23 years ago. Theentire book is relevant today. We understand linkages butdelivery is ultimately all about accountability. We knowwhat needs to be done. Let us do it. Take the earthquake

in Bam. For eight hours after the earthquake nothing wasdone. There was no response. Then the government ofIran airlifted 11,000 people within 18 hours and put themin hospitals outside the affected area. It was a spectacularresponse. But the need for this response in some waysillustrated the lack of advance planning. The area was wellknown to have a high risk of earthquakes and there were91 hospitals in the affected area. None of these hospitalssurvived the quake. Thousands of people could have beensaved if even half of the hospitals had survived. This is inan area where we know there is a risk. It is in the zoneand no one is asking why these hospitals fell down.Assessments after disasters are not done well and there isno accountability for the lack of advance planning evenwhere risks are well known. Building models and rhetoricon disasters and development will not be of any use.Accountability has to be improved in a tangible way notin a conceptual way.

ModeratorThe climate change community is coming from a verytechnical perspective. It has focused on modeling globalchanges. For the members, the topic of adaptation is verynew. There is, however, a huge amount of existingknowledge regarding what can be done for disastermanagement. Since extreme events, and consequentlydisasters, are likely to increase as a consequence of climatechange this knowledge is directly relevant for adaptation.

We know coastal areas are vulnerable to Tsunami. If sealevels are going to rise as a result of climate change, coastalareas vulnerable to storm surges and even non-climaterelated events (such as tsunamis) will increase. We canmap this out now. As the last speaker emphasized, basicknowledge on disaster risk reduction was written 30 yearsago. This throws the issue back to convincing people andinstitutional memory. We need to recognize memory isshort. We also need to recognize that new informationon the specific sources of vulnerability created by climatechange must be generated. As a result, a final questionrelates to the major unknowns or areas for experimentationor research that the panelists still see as important.

If, as the previous speaker emphasized, we already knoweffective response strategies, why were not theseimplemented? What questions must be answered toeffectively link climate adaptation with disaster riskreduction and resolve the kinds of accountability issuesthat were just raised?



G. Padmanabham (UNDP)Some hazards such as cyclones and floods are common inspecific areas such as Assam and Bihar. They have, in effect,become a way of life. People have developed local copingmechanisms. Many traditional coping mechanisms aredying as people move into market crops such as paddy.We need to document these traditional mechanismsand see if their effectiveness can be scientificallyimproved. If we do not understand existing copingmechanisms we might promote forms of disaster reliefor development that increase vulnerability. This is a keyunknown area.

Aditi Kapoor (Oxfam)In the forests of Uttaranchal, the World Bank carried outa study and concluded that the forest dwellers shouldactually lop branches in rotation. Villagers have been doingthis for generations but it became the World Bank’sconclusion to save the forests. A lot of these traditionalcoping measures need research. An additional criticalunknown is the effect climate change will have onlivelihoods in a practical way – “what can I do to savemyself, my family and my livelihood.” When weunderstand these practical issues, we will have crossed alot of the hurdles discussed here.

Neeraj Mittal (Joint Commissioner, Relief andRehabilitation, Government of Tamil Nadu)Zoning in vulnerable areas is important. At present thereis a regulatory zone of 200 m from the ocean but as far asI understand it has little to do with disaster risk reduction.The zoning requirement basically arose from the need toprotect sensitive coastal areas. If one looks at the effect ofthe tsunami flooding in coastal areas, in some places itwent inland by 500 m in other places by 1 km. This wasbecause the slope in the area is different. Slope is a criticalpart in modeling tsunami impact or developing an effectivetsunami impact prediction model. This is an area where alot of research needs to be done. We need effectiveprediction to help administrators respond to coastal events.A second area where research is needed has to do withbehavioral changes in people. We need to know whatalternative technologies are available and how people canalter their behavior to reduce the impact of climate change.Third, some amount of research is required to see if somecurriculum changes can be made in the education systemto make kids aware from the very beginning regardingthe disasters that plague them and what can be done. Wejust need some simple rules of thumb even though the

curriculum is already burdened. Finally, some research isrequired to separate myth from reality, particularly withresponse to early warning from non-conventionalanecdotes. We hear a lot of stories about animals and howthey move in advance of disasters in response to somesixth sense. Scientific study of animal behavior and itspotential use for predicting disasters is needed. The truthneeds to be known.

Kamal Kishore (UNDP)There are many critical unknowns. Climate changemanifests itself at both local level and sectoral levels butnobody is able to predict precisely how. We need tostrengthen what we already know about the current stateof the climate on different time scales and how we canmake the most of this understanding in decision making.In India, the April monsoon forecast has been used forthe last 15 years as the basis on which many decisions aremade. Understanding of the Indian monsoon has greatlyimproved over this period. There are huge variations intime and space. We know from studies of normal yearsthat 2002 was a dry year. The reduction in the all Indiarainfall index was, however, not that huge. Most risk isemanating from fluctuations within seasons. There is aneed to know about the current status of the climate on adaily timescale – on 5-day timescale, a 20-day timescale,and a seasonal timescale.

The Disaster Management Bill has recently come into forcein India. This fills a major gap in recognition of theproblem. Since institutional memory of disasters is verylow, formal recognition of problems in managing disastersand the role of government in risk reduction is essential.A pilot project to document disasters and identify riskfactors has recently been completed in Orissa and isbeing initiated in Tamil Nadu. This project involvesdocumenting all kinds of disasters and studying therisk factors in areas that are prone to extreme events.It is not being done using a specific scientific method,but instead involves a deductive way of using historicaldata related to disasters. A practical way must be found toincrease the memory of institutions with regard to each kindof disaster – chemical, man-made or natural. Institutionalmemory and capturing past disasters – big, small and medium– and their understanding is very important. The combinedeffects of small and medium disasters exceed the majorevents, therefore small and medium disasters are goodindicators of risk.



Key points raised in the open dialogueDay–3

Following the main moderated panel question–answersession, the final portion of the conference shifted to anopen dialogue format. The points below highlight thekey issues and questions raised in this discussion.

1. Costs of adaptation. Understanding what adaptationmeans to different partners and knowing how much itwould cost is essential. While substantial understandingexists regarding the way livelihoods are affected by climatevariability, very little is known about how much it will cost toadapt.

2. Institutional memory. Several participantsemphasized this as a critical issue for responding to climatechange and other forms of disaster. As Dinesh K. Mishracommented, “Institutional memory and capturing pastdisasters – big, small and medium – and theirunderstanding is very important. The combined effectsof small and medium disasters exceed that of majorevents, therefore small and medium disasters are goodindicators of risk.”

3. Interdisciplinary dialogue. Dialogue betweendifferent disciplines must be increased because disasterrisk reduction issues, whether floods or earthquakes, areviewed from different perspectives by different institutionsand different people.

4. Vulnerability and timescales. The causes ofvulnerabilities over short and longer timescales are oftendifferent. Many factors contribute to the vulnerability ofdifferent groups that are independent of the type of hazard.

5. The effectiveness of recovery. As one commentatormentioned, “When we talk about documenting pastdisasters, it is important to see what we did to recoverfrom that disaster and what we did to build back better –and if we did not build back better, then why not?

6. The need for communication. The lack of experiencewith the impacts of climate change reduces societal interestin devoting resources to response. When changes are bothpulsed and gradual, it is difficult to bring them togetherand communicate both response needs and uncertaintiesin a way that catalyzes action. In addition, tremendouscommunication challenges arise because of the difficultyin attributing specific events to climate change. As a result,there is a need for more effective mechanisms tocommunicate the links between responding to climatechange and responses to disaster events whether or notthey are specifically climate related. Most dialogue nowoccurs in narrow circles of specialists; a much wider groupneeds to be addressed.

7. The need for multi-risk perspectives. Because climateand other risk responses are closely related, developmentof effective strategies for responding to multiple risks –rather than trying to isolate them by their causal source –is essential.

8. The need for practical tools that supportinformation dissemination and capacity building. Riskzone maps are being prepared for the entire country bythe Government of India. This kind of mapping, thoughessential, is difficult to do.

9. Vulnerability mapping. Understanding ofvulnerability has to be improved. In order to capture thecapacity to cope and adapt, or resilience, there is a need,not for risk maps, but vulnerability maps. This goesbeyond mapping the exposure zone where there is actuallydirect impact from climate change or other causes ofdisaster. There is a need to know the kind of structuresthat are available in the areas, the kind of people who livethere, and their capacities to cope.

10. Capacity building. Everyone cannot be trained torespond to all kinds of disasters. With limited resources,



there is a need to train people to deal with the specifickinds of disasters that are most relevant to them.

11. Databases. Databases need to be coordinated.Different government departments have differentdatabases for different purposes. Each database isindependent of the other and there is no correlation. It isessential to have baseline information for effective disasterresponse. Effective use of information technology is centralto this.

12. Institutional coordination. There are multipleinstitutions dealing with different aspects of risk. Somestates have different agencies with different operatingprocedures. This has to be harmonized. Those who playa catalytic role tend to go to institutions they arecomfortable with even though the institution they workwith may not be the best one. The situation is the same inother Asian countries. It is difficult to understand whichministries, departments or agencies are involved, the areas

where they work, how they are aligned, and their resourcesand accountability.

13. Data democratization. To change behavior,information has to have meaning and legitimacy amongusers. This needs to be addressed by exploring alternativemechanisms for data generation (such as through schools)and by improving access to data sources.

14. Impact of disasters on the poor and the benefitsof risk reduction. Oxfam studies show the maximumimpact of disasters generally fall on the poor, and theeconomic and social cost declines dramatically ifpreparedness works well. Disaster risk reduction is, as aresult, essential for poverty alleviation.

15. Mainstreaming adaptation to climate change. Asignificant challenge is trying to mainstream responses toclimate change in development and other activities.



ACHARYA, AMITANGSHUProgram Associate, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India

Email:[email protected]: +91 11 26693868Fax: +91 11 26693881www.winrockindia.org

AHMED, SARAIndependent ResearcherT-19, IIM (A) CampusAhmedabad – 380015, GujaratIndia

Email: [email protected]: +91 79 26325019

ALAM, MOZAHARULResearch FellowBangladesh Centre forAdvanced StudiesHouse No: 10, Road 16-AGulshan-1, Dhaka-1212Bangladesh

Email: [email protected]: +880 2 8857237Fax: +880 2 8851417www.bcas.net

ALLAN, TONYProfessorSOAS/King’s College, LondonThornhaugh StreetLondon WCIH OXGUK

Email: [email protected]: +44 20 7898 4058www.soas.ac.uk/waterissues.ac.uk

ANDRESSEN, JEFFMichigan State UniversityRoom 236,Geography BuildingMichigan State UniversityEast Lansing, MU 48824USA

Email: [email protected]: +1 517 4324756/5174321076

BABIKDER, MOHAMEDDistrict Management DelegateInternational Federation (IFRC)9 Red Cross RoadNew Delhi-110001India

Email:[email protected]: +91 11 23324235

BADIGER, SHRINIVASResearch FellowCentre for Interdisciplinary Studiesin Environment & DevelopmentISEC Campus, NagarabhaviBangalore – 560072, KarnatakaIndia

Email: [email protected]: +91 80 23217013www.cised.org

BAHAL, ASHISHArchitectDevelopment AlternativesB-32, TARA CrescentQutab Institutional AreaNew Delhi – 110016India

Email: [email protected]: +91 11 26801521Fax: +91 11 26801452www.devalt.org

BANDYOPADHYAY, JAYANTAProfessorIndian Institute of ManagementD.H. Road, JokaKolkata – 700104India

Email: [email protected]: +033 24678300-04Fax: +033 24678062

BANDYOPADHYAY,SOMNATHSr. Programme OfficerAga Khan FoundationSarojini House (IInd Floor)6, Bhagwan Dass RoadNew DelhiIndia

Email:[email protected]: +91 11 23782173 Ext. 22Fax: +91 11 23782174www.akdn.org/India

BAROT, NAFISAExecutive DirectorUTTHAN36, Chitrakut VastrapurAhmedabad, GujaratIndia


BENNETT-VASSEUX, SONAMResearch AssociateInstitute for Social andEnvironmental Transition (ISET)948 North Street, Suite 7Boulder, CO 80304USA

Email: [email protected]: +1 720 564-0650Fax: +1 720 564 0653www.i-s-e-t.org

List of Participants


A N N E X U R E


A N N E X U R ELIST OF PARTICIPANTS

BHADWAL, SURUCHIArea Convenor, Centre for GlobalEnvironment ResearchThe Energy and Resources Institute(TERI), Darbari Seth Block,IHC Complex, Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 24682100/ 24682144www.terin.org

BHANDARI, PREETYDirector, Policy Analysis DivisionThe Energy and Resources InstituteDarbari Seth Block, IHC Complex,Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 24682100Fax: +91 11 24682144www.teriin.org

BOSE, SHARMISTHAProgram Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


CASTILLO, GINA E.Livelihoods AdviserOxfam NetherlandsMauritskade 9, HagueThe Netherlands

Email: [email protected]: +31 70 3421777Fax: +31 70 3614461www.novib.nl

CHATTERJEE, ANISHEnvironmental ScientistDevelopment AlternativesB-32, TARA CrescentQutab Institutional AreaNew Delhi – 110016India

Email: [email protected]: +91 11 26134103/ 26890380Fax: +91 11 26130817www.devalt.org

CHATTERJEE, KALIPADASenior Adviser, Climate ChangeWinrock International India1, Navjeevan ViharNew Delhi – 110017India

Email: [email protected]: +91 11 26693868Fax: +91 11 26693881www.winrockindia.org

CHATURVEDI, SANJAYReader, Political ScienceCentre for the Study of GeopoliticsArts Block VIPunjab University, PunjabIndia


CHOPDE, SHASHIKANTSr. Program Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


D’MONTE, DARRYLChair, Forum of EnvironmentalJournalists of IndiaKinara, 29-BN Carter RoadBandra (W), Mumbai – 400 050India

Email: [email protected]: +91 22 26427088Fax: +91 22 26458870www.ifej.org

DASS, ADITISenior Program OfficerClimate ChangeWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


DATTA, SUMANAProgram Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


DIXIT, AJAYADirectorISET NepalPatan Dhoka, KathmanduNepal


DWIVEDI, PUNEETProgram Associate, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


FAJBER, LIZSenior Program OfficerIDRC208 Jor Bagh, New Delhi – 110003India

Email: [email protected]: +91 11 24619411Fax: +91 11 24622707www.idrc.ca

FURLOW, JOHNUSEPA1200 Pennsylvania Ave. NWWashington, DC 20430USA

Email:[email protected]: +1 202 564 2014



GALAZ, VICTORResearcher/ Project CoordinatorCentre for TransdisciplinaryEnvironmental Research (CTM)Stockholm UniversitySE 106 91 StockholmSweden

Email:[email protected]: +46 8 1625 25 18www.swedishwaterhouse.se

GHOSH, PRODIPTOSecretaryMinistry of Environment andForests, Government of IndiaParyavaran Bhavan, CGO ComplexLodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 24361147, 24360605www.envfor.nic.in

GLANTZ, MICHAEL H.National Center for AtmosphericResearch (NCAR)P.O. Box 3000, BoulderCO 80307-3000USA

Email: [email protected]: +1 303 497 8119Fax: +1 303 497 8125www.ccb.ucar.edu

GYAWALI, DIPAKResearch DirectorISET NepalGPO Box 3971, Patan DhokaKathmanduNepal

Email: [email protected]: +977 1 5528111/5542354Fax: +977 1 5524816

HANDA, VINEETAdvisor, The Energy and ResourcesInstitute (TERI)Darbari Seth Block, IHC Complex,Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 2463400Fax: +91 11 24682144/ 45www.teriin.org

JANAKARAJAN, S.Professor, MIDS79, II Main Road, Gandhi NagarAdyar, Chennai – 600020India


KAPOOR, ADITIRegional Media CoordinatorSouth Asia Regional OfficeOXFAM (India) TrustC-28-29, Qutab Institutional AreaNew Delhi – 110016India

Email: [email protected]: +91 11 42396000/ 42396099www.oxfam.org.uk

KATIYAR, SUDHIR KUMARResearch CoordinatorAajeevika Bureau283 Fatehpura, UdaipurRajasthanIndia


KISHORE, KAMALRegional Disaster ReductionAdvisor, Bureau for CrisisPrevention and RecoveryUnited Nations DevelopmentProgramme (UNDP)55, Lodhi EstateNew Delhi – 110003India

Email: [email protected]: +91-11-2462 8877,Extn. 452www.undp.org.in

KULKARNI, HIMANSHUExecutive Director & HonorarySecretaryACWADAM(Advanced Center forWater Resources Development &Management)Plot 4, Lenyadri SocietySus Road, PashanPune – 411021India

Email: [email protected] .No: +91 20 25899 539www.acwadam.org

KUMAR, ANANDEnvironment ScientistDevelopment AlternativesB-32, TARA CrescentQutab Institutional AreaNew Delhi – 110016India

Email: [email protected]/[email protected]: +91 11 26890380Fax: +91 11 26130817www.devalt.org

KUMAR, SANTOSHProfessor, Policy & PlanningNational Institute of DisasterManagementMinistry of Home AffairsGovernment of IndiaIIPA Campus, Ring RoadIP Estate, New Delhi – 110002India

Email: [email protected]: +91 11 23702433www.nidm.net

LAL, PANKAJProgram Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110017India


LOF, ANNETTECentre for TransdisciplinaryEnvironmental ResearchMurarv 15 III, 168 33 BrommaSweden


MAHAPATRA, PRADEEPTeam LeaderUdyama, NayagarhP.O. Box-9, Dist. NayagarhOrissa – 752069India

Email: [email protected]/[email protected]: +91 9437110892Fax: +91 674 2475656www.udyama.org



MAHAPATRA, SUBODHKUMARLivelihoods SpecialistPSU-WORLPOrissa Watershed DevelopmentMission, Siripur, BhubaneswarOrissaIndia

Email: [email protected]: +91 674 2394179-81www.worlp.com

MIRANDA, RAMONACommunication Team LeaderPractical Action (ITDG)Lional Edirisinghe MawathaColombo – 5Sri Lanka

Email: [email protected] /[email protected]: +94 1 2829412www.practicalaction.org

MISHRA, DINESH KUMARConvenor, Barh Mukti AbhiyanC-7 Vatka Green CityDimna Road, MGMCJamshedpur – 831018, JharkhandIndia


MISHRA, SUJIT K.Associate FellowThe Energy and Resources Institute(TERI), Darbari Seth BlockIHC Complex, Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 24682100 (2304)www.teriin.org

MITRA, KINSUKPresidentWinrock International India1, Navjeevan ViharNew Delhi – 110017India


MITTAL, NEERAJJoint Commissioner, Relief andRehabilitationGovt. of Tamil NaduFirst Floor ErtilagamSC & CRA ChepankChennai, Tamil NaduIndia


MOENCH, MARCUSPresidentInstitute for Social andEnvironmental Transition (ISET)948 North Street, Suite 7Boulder, CO 80304USA

Email: [email protected]: +1 720 564-0650Fax: +1 720 564 0653www.i-s-e-t.org

MOHANTY, PRABODHManaging Directori-Concept Initiative212, Sastry NagarBhubaneswar – 751001, OrissaIndia

Email: [email protected]: +91 9437053413/674-2421005

MUDRAKARTHA, SRINIVASDirector, VIKSATThaltej TekraAhmedabad-380054, GujaratIndia

Email: [email protected] /[email protected]: +91 79 26856220/ 26852360

MUKHERJEE, PRODYUTProgram OfficerEnergy and EnvironmentWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


MUSTAFA, DAANISHAssistant ProfessorUniversity of South Florida36 82nd Avenue, Treasure IslandFL, 33706USA

Email: [email protected]: +1 727 363 3752www.stpt.usf.edu/Mustafa.usf.edu

NAIR, SREEJARA TraineeThe Energy and Resources Institute(TERI), Darbari Seth BlockIHC Complex, Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 9810293262www.teriin.org

PACHAURI, R.K.Chairman (IPCC) andDirector-GeneralThe Energy and Resources InstituteDarbari Seth Block,IHC Complex, Lodhi RoadNew Delhi – 110 003India

Email: [email protected]: +91 11 24682121Fax: +91 11 24682144www.teriin.org

PADMANABHAN, G.Emergency AnalystUnited Nations DevelopmentProgramme (UNDP)55, Lodi EstateNew Delhi – 110003India

Email: [email protected]: +91 9810402937Fax: +91 11 249627612www.undp.org.in



PARK, JEONGRegional DM CoordinatorInternational Federation of RedCross and Red Crescent Societies(IFRC)C-79 Anand NiketanNew Delhi – 110021India

Email: [email protected]: +91 11 2411 1125/26/27Fax: +91 11 24111128

PETERS, NEERAJProgram Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


PRUSTY, N.M.Chairman, Sphere IndiaNational Secretariat28-29 Qutab Institutional AreaNew Delhi – 110016India

Email: [email protected]: +91 9811310841

PURKEY, DAVID R.DirectorWater Resources Modeling andAnalysis UnitNatural Heritage Institute717 St. Suite 424Sacramento, CA 95814USA

Email: [email protected]: +1 916 325 0960Fax: +1 916 3250965www.n-h-i.org

RADCLIFFE, DAVIDAdviser, Rural Livelihoods/Environment, DFIDB-28 Tara CrescentQutab Institutional AreaNew Delhi – 110016India


RAO, USHAProgram AnalystUnited Nations DevelopmentProgramme (UNDP)55, Lodhi EstateNew Delhi – 110003India

Email: [email protected]: +91 11 24628877Fax: +91 11 24627612www.undp.org.in

RATHORE, M.S.Professor, Institute of DevelopmentStudies (IDS)Jhalana Institutional AreaPost Box 636Jaipur – 302004India

Email: [email protected]:+91 141 2705726Fax: +91 141 2705348

RAVAL, KAUSHIKChief Programme CoordinatorUTTHAN36, Chitrakut Twins,Ahmedabad, GujaratIndia


SARKER, JOHNY M.Livelihoods AdviserDFID BangladeshBritish Commission10 Gulshan AvenueGulshan 1, DhakaBangladesh

Email: [email protected]: +880 2 8822589/8820204Fax: +880 2 8823187www.dfid.gov.uk

SAROCH, EVAResearch ScholarIndian Ocean Research GroupCentre for the Study of GeopoliticsArts Block VI, Punjab UniversityChandigarh – 160014India

Email: [email protected]: 9316120766

SCHAIK, HENK VANProgramme Coordinator, CPWCP.O Box 3015, 2601 DA DelftThe Netherlands

Email:[email protected]: +31 15 2151882www.waterandclimate.org

SHARMA, RAVISHTraining OfficerIRG-USAID (IDMSP)2, Poorvi Marg, Vasant ViharNew Delhi – 110057India

Email: [email protected]: +91 921518898

SHARMA, VIRINDERAdviser, DFID IndiaB-28, Qutab Institutional AreaNew Delhi – 110016India


SHARMA, VIVEKChief FunctionaryCentre for Advance Research andDevelopment (CARD)E-7/803, Arera Colony, BhopalIndia

Email: [email protected]: +91 755 5295149Fax: +91 755 2426250

SINGH, C. BALAJIProject Management Specialist(Disaster Mgt.), USAIDU.S. Embassy, ChanakyapuriNew Delhi – 110021India


SINGH, RAJINDERTarun Bharat SanghAlwar, RajasthanIndia

Email: [email protected]: +91 141 239 3178



SINGH ADITYA, VIJAYPRATAPCEOEkgaon TechnoloiesC-2/6, First FloorSafdarjung Development AreaNew Delhi – 110016India

Email: [email protected]: +91 11 41657166/ 41657167

SODHI, P.Centre for Environment EducationB-73, Soami Nagar, New DelhiIndia

Email:[email protected]: +91 9811811996

SRIKANTH, R.R. SrikanthTechnical ManagerWaterAid India25, Navjeevan ViharMalviya NagarNew Delhi – 110 017

Email: [email protected]: +91 11 26692206Fax: +91 11 26691468www.wateraid.org

SRIVASTAV, SUVIRACommunication ConsultantITDG-Practical Action, South AsiaEdirisinghe Mawatha, ColomboSri Lanka

Email: [email protected] /[email protected]

SRIVASTAVA, J.K.Secretary, GEAG932, Savitri Saclas, NiyamadGorakhpur – 273 001India

Email:[email protected]: +91 551 2338-9

TANUSHREEProject OfficerUNDP GEF SGP, CEEB-73, 2nd Floor, Soami Dagar (n)New Delhi – 110017India

Email:[email protected]: +91 11 26497051

THOMALLA, FRANKResearch FellowStockholm Environment InstituteLilla Nygatan 1, Box 2142S-103 14 StockholmSweden

Email: [email protected]: +46-8-412 1424Fax: +46-8-723 0348www.sei.se

TIWARI, SUNANDANProgram Officer, NaturalResources ManagementWinrock International India1, Navjeevan ViharNew Delhi – 110 017India


TRONI, JESSICADFID1 Palace St.London SWIE 5HEUK

Email: [email protected]: +44 020 7023 0219Fax: +44 207 023 1719

WAJIB, SHIRAZPresident, GEAGMG College RoadGorakhpur 273 001Uttar PradeshIndia

Email: [email protected] /[email protected]: +91 551-3092769

Adaptation toClimate Variabilityand Change

PROCEEDINGS OF THE INTERNATIONAL CONFERENCE ONADAPTATION TO CLIMATE VARIABILITY AND CHANGE

January 5-7, 2006, New Delhi

Organized byInstitute for Social and Environmental Transition, and

Winrock International India

Supported byU.S. Environmental Protection Agency


1 Navjeevan Vihar

New Delhi 110017

Tel: 91-11-26693868

Fax: 91-11-26693881


Web site: www.winrockindia.org

948 North Street, Suite 7

Boulder, Colorado 80304 U.S.A.

Tel: 720 564 0650

Fax: 720 564 0653


Web site: www.i-s-e-t.org

ADAPTATION TO CLIMATE VARIABILITY AND CHANGE

CONFERENCE PROCEEDINGS2006

ISBN No. 81-89470-05-1

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