71004
Building Community
Resilience to Climate
Change
Testing the Adaptation Coalition
Framework in Latin America
By Maximillian Ashwill, Cornelia Flora and Jan Flora
November, 2011
Building Community
Resilience to
Climate Change
Testing the Adaptation Coalition
Framework in Latin America
By Maximillian Ashwill, Cornelia Flora and Jan Flora
© 2011 The International Bank for Reconstruction and Development/ The World Bank
1818 H Street NW
Washington, DC 20433, USA
www.worldbank.org
Design and layout: The Word Express
Cover photo: Jan Flora, Iowa State University (2010)
The findings, interpretations and conclusions herein are those of the authors and do not necessarily
reflect the views of the International Bank for Reconstruction and Development (World Bank) and its affili-
ated organizations, or its Executive Directors, or the governments they represent.
Maps were produced by the Map Design Unit of The World Bank. The boundaries, colors, denominations
and any other information shown on these maps do not imply, on the part of The World Bank Group, any
judgment on the legal status of any territory, or any endorsement or acceptance of such boundaries.
Readers are encouraged to quote or reproduce material from this publication, as long as the resulting
works are not being sold commercially and that due acknowledgement is given to the authors and the
World Bank.
This work benefited from support from the Trust Fund for Environmentally and Socially Sustainable
Development (TFESSD) made available by the governments of Finland and Norway.
Contents
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Key Concepts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2. Background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
3. Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
4.1. Adaptation Coalitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
4.2. Identifying and Mobilizing Local Assets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
4.3. Bridging and Bonding Social Capital. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4.4. Why is the Adaptation Coalition Framework Different?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4.4.1. Locally led. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4.4.2. Long-term. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4.4.3. Flexibility—Planning with Uncertainty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4.4.4. Focusing on Vulnerability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
4.5. Practical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
5. Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
5.1. Field Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
5.2. Site Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
5.3. Final Products. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
6. Case Study Summaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
6.1. Argentina . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
6.1.1. Salta, Argentina. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
  n  iii
6.1.2. RÃo Negro, Argentina. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
6.2. Bolivia. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
6.2.1. Los Andes and Murillo, Bolivia. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
6.3. Dominican Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
6.3.1. North Santo Domingo, Dominican Republic. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
6.3.2. Lake Enriquillo, Dominican Republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
6.4. Paraguay. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
6.4.1. Ñeembucú, Paraguay. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
6.4.2. Presidente Hayes, Paraguay. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
6.5. Peru . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
6.5.1. Peruvian Altiplano. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
6.5.2. Peruvian Amazon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
6.6. General Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
6.7. Risks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
7. Lessons Learned. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
7.1. Social Impacts of Climate Change are Diverse, Long-term and Uncertain. . . . . . . . . . . . . . . . . 35
7.1.1. Diverse Impacts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
7.1.2. Long-Term Impacts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
7.1.3. Uncertain Impacts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.2. Developing a Practical Vulnerability Framework. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.2.1. Exposure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.2.2. Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.2.3. Adaptive Capacity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.3. The Creation of Perverse Incentives through Climate Interventions . . . . . . . . . . . . . . . . . . . . . . 39
7.4. Inequitable Adaptation Contributes to Vulnerability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
7.5. The Many Faces of Migration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
7.5.1. Migration is a Climate Change Impact and Adaptive Strategy. . . . . . . . . . . . . . . . . . . . . 41
7.5.2. Migration Increases Vulnerability to Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
7.6. The Adaptation Coalition Framework as a Tool of Conflict Prevention . . . . . . . . . . . . . . . . . . . . 42
Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
iv  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Acknowledgements
This report was authored by Maximillian Ashwill of the Social Development Unit in
the Latin America and Caribbean Region of the World Bank, with Cornelia Flora
and Jan Flora of Iowa State University. The five country case studies and all proj-
ect related activities and products were coordinated by Maximillian Ashwill. World
Bank task team leaders for this project were Estanislao Gacitua-Mario, Dorte
Verner, Pilar Larreamendy and Fabio Pittaluga. Peer reviewers for this document
were Niels Holm-Nielsen, Senior Disaster Risk Management Specialist (LCSUW),
Willem Janssen, Lead Agriculturist (LCSAR), and Margaret Arnold, Senior Social
Development Specialist (SDV, and Social Dimension of Climate Change Cluster).
Additional comments were received from Lorena Trejos, Tiguist Fisseha (LCSUW)
and Rachel Nadelman (LCSSO). The team would like to acknowledge the dedicated
research from the five country teams including Instituto Dominicano de Desarrollo
Integral in the Dominican Republic led by Juan Manuel Diaz, Instituto Desarrollo in
Paraguay led by Victor Vazquez, the Consorcio para el Desarrollo Sostenible de
la Ecorregión Andina (CONDESAN) in Peru led by Edith Fernández-Baca, CARE
Bolivia led by Silvia Aguilar and Roxana Liendo and, last but not least, Monica
Bendini, Maria Ines Garcia, Marta Palomares and Norma Steimbreger in Argentina.
In-country technical support was provided by World Bank staff including Morten
Blomqvist, Andrea Gallina, Raul Tolmos, and Beatriz Nussbaumer. Administrative
support was provided by Maribel Cherres and Ramon Anria. Finally, the team would
like to express gratitude to World Bank management for enabling this initiative,
including Maninder Gill, Franz Dreez-Gross, Christina Malmberg, Ousmane Dione,
Michel Kerf, Rossana Polastri, Roby Senderowitsch and Oscar Avalle. This report
represents the culmination of an idea originally proposed by Estanislao Gacitua-
Mario who passed away in early 2011. This paper is dedicated to his memory.
  n  v
vi  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Overview
Climate change impacts involve three defining features that are not always a part of
other development challenges: they are diverse, long-term and not easily predict-
able. Adapting to these three traits is difficult because they require making context-
specific and forward-looking decisions regarding a variety of local climate impacts
and vulnerabilities when the future is highly uncertain. The 2010 World Development
Report: Development and Climate Change, echoes this by stating that, “Climate
change adds an additional source of unknowns for decision makers to manage�
and planners must accept “uncertainty as inherent to the climate change problem.�
La Descubierta, a town near Lake Enriquillo in the may the community be confronted by? Due to this
Dominican Republic, has a unique mix of commu- uncertainty, it is also important that communities
nity characteristics, which makes climate change stay engaged with the issue of climate change
impacts highly particular to this area. Locals are over the long-term.
exposed to flooding from rising water levels of the
lake, stronger and more frequent hurricanes, and In response to these challenges La Descubierta
longer dry seasons. Because of the types of liveli- formed coalitions (alliances among community
hoods in the area (livestock, agriculture, etc.), and groups and external actors that share a com-
other economic, environmental and social factors, mon desired future) in order to adapt to climate
La Descubierta is vulnerable to climate change in a change. These coalitions formed an alliance with
way that is specific to them and very different from a local NGO, which was able to bring the com-
other communities, even those nearby. For this munity to the attention of their partners at USAID.
reason, it is important that responses are locally led The US development agency is now considering
in order to adapt to these unique local conditions. La Descubierta for a major climate change adapta-
tion project in the region. The goals of this project
Furthermore, the future im- are to foster economic diversity
pacts from climate change in Adaptation Coalitions are and sustainability in the face
this area are still very uncer- community groups that come of climate change. This would
tain. Will the lake continue to together as an internal coalition benefit local communities by
rise? A new species of crab and form alliances with outside providing external resources
has begun populating the lake, groups in order to achieve common to confront a problem they
what other surprises are in desired futures around climate have previously identified. It
store? What other problems change vulnerability and impacts. will also benefit USAID, which
Overview  n  vii
Figure A >
1. Knowledge Exchange 2. Training and 3. Feedback and 4. Strengthening
The Four Information Gathering Planning Coalitions
Basic Steps • Facilitator group gathers
of the ACF as existing data • Training of local • Feedback meeting led • Develop agreements
Outlined in • Facilitator makes research team by community research and governing
presentation to • Gathering information team to share results structures
The Adaptation
community counterparts through interviews and and gain feedback from • Monitor and maintain
Coalition • Community wide focus groups community coalitions
Toolkit. meeting to determine • Processing information • Develop a community
local drivers of action plan
vulnerability to climate
change
would garner active local participation and support responding over the long-term to climate change’s
for their climate change adaptation initiatives. The diverse and uncertain challenges. These steps,
building of adaptation coalitions in this area has led outlined in Figure A, are described in detail in, “The
to the mobilization of local resources, increased so- Adaptation Coalition Toolkit: Building Community
cial cohesion and a greater collective voice around Resilience to Climate Change.� The Toolkit is a
the issue of climate change. It has created a com- companion piece to this report.
munity institution with the mandate of increasing
resilience to climate change over the long-term. Task team leaders or project managers of national
or sub-national projects can use this strategy as a
Keeping this example in mind, the Adaptation means to foster wider local participation in their re-
Coalition Framework (ACF) aims to train local spective initiatives. This approach can be a means
communities in the knowledge, organizational to raise participation levels of even the most
tools and alliance forming strategies needed to marginalized and conflict-sensitive communities.
identify the long-term drivers of social vulnerabil- It is a way to link top-down planned adaptation
ity to climate change and mobilize the essential with bottom-up autonomous adaptation so that
internal and external resources to adapt to them. projects do not have to search for local partners,
The basis of this approach is to build Bonding and but local partners will search for them. In this way,
Bridging Social Capital. Bonding Social Capital the local and non-local are meeting halfway and
is the strengthening of internal organization and building a sense of ownership over the process at
capacity to take collective action. Bridging Social multiple levels for greater outcomes.
Capital links these local groups to resources and
external partners with similar goals to adapt to This method was tested and refined in over
climate change. To do this, the ACF follows four twenty communities in five Latin American
steps. First, it exchanges knowledge between local countries—Argentina, Bolivia, the Dominican
and non-local actors on climate change, second, Republic, Paraguay and Peru—with encouraging
it trains local adaptation teams to gather informa- results. Short-term outcomes from this process
tion on vulnerability and external alliances, third, it demonstrate successes in the building of Bridging
feeds this information back to the community and and Bonding Social Capital, mobilizing of inter-
helps them begin adaptation planning, and fourth, nal resources and increasing access to external
it builds coalitions between the community and ex- resources, including knowledge. Results include
ternal partners and resources which can assist in the following:
viii  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
â– â– The majority of communities were able to change. Nevertheless, it is limited in certain
identify and form coalitions with the stated aim respects. Specifically, the definition of “ex-
of reducing vulnerability to climate change. posure� is misleading to community groups,
The formation of these groups created long- traditional definitions of “sensitivity� are in-
term, local champions for building climate complete and should be expanded to include
resilience. social sensitivities like conflict, and the defini-
■■In all five case study countries, communi- tions of “adaptive capacity� are theoretical
ties increased their levels of communication and vague and need to be developed further.
with nonlocal actors and raised their internal The ACF has expanded these definitions.
awareness of climate change and its dangers. â– â– Some interventions designed to respond to
â– â– In all five countries, the building of coalitions impacts exacerbated by climate change can
led to some form of agreement between actually increase community vulnerability.
community groups and external institutions. This can happen when policy decisions lead
As a result, local-nonlocal alliances were to perverse incentives to continue the very
strengthened. activities that made people vulnerable in the
â– â– In about 75% of the communities tested, local first place.
assets, or community capitals, were mobi- â– â– Inequitable adaptation can increase vulner-
lized in order to adapt to climate change. ability to climate change. This was dem-
â– â– In three out of five countries, communities onstrated in examples where economic
were able to gain access to financial or mate- diversification, usually a positive outcome,
rial resources to adapt to climate change, when combined with social fragmentation
despite having only a few months for the and inequality, led to social conflict, land deg-
coalitions to form and strengthen. It would radation and decreased motivation to build
usually be expected that financial or material resilience to climate change.
investment into local communities would be â– â– Migration is not only a climate change impact
more of a long-term outcome, but evidence and adaptive strategy, but also a source of
suggests that this support can happen vulnerability. This is because the exodus of
quickly too. community leaders creates a “leadership
drain� and increases the workload of women
In addition, the case studies produced many inter- and other groups who are forced to take over
esting and policy-relevant findings. These include the responsibilities of those that emigrated.
the following: â– â– One of the major successes of this work was
to identify the applicability of the ACF in situ-
â– â– Climate change vulnerabilities and impacts ations of conflict. In the case study regions
are highly diverse and locally specific, long- where communities were experiencing
term, and difficult to predict. The ACF has natural resource conflict, Tartagal in northern
been shown to be effective in responding to Argentina and the Bolivian altiplano, the ACF
these unique challenges. was used as a conflict mediation tool. In the
â– â– The IPCC vulnerability framework of expo- latter region, the process of building coali-
sure, sensitivity and adaptive capacity is tions broke stalemates and brought adversar-
practical as a general guide to identifying the ies together to negotiate towards developing
problems and risks associated with climate agreements.
Overview  n  ix
x  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Key Concepts
Definitions Climate Change: a statistically significant varia-
tion in either the mean state of the climate or in its
Adaptation Coalition Framework: Derived from variability, persisting for an extended period (typi-
the Advocacy Coalition Framework, is a process cally decades or longer) (IPCC 2001).
through which local groups form coalitions or alli-
ances with outside groups around climate change Climate Change Adaptation: An adjustment in
issues in order to achieve common desired natural or human systems in response to actual
futures. or expected climate stimuli or their effects, which
moderates harm or exploits beneficial opportuni-
Adaptive Capacity: the degree to which adjust- ties (IPCC 2001).
ments in practices, processes, or structures can
moderate or offset the potential for damage or Desired Future: A common future or end that a
take advantage of opportunities created by a community or group of individuals desires and is
given change in climate (IPCC 2001). willing to plan for.
Bonding Social Capital: the strengthening of in- Extreme Weather: A climatic event that registers
ternal organization and capacity to take collective as a disaster in the international community—e.g.
action based on the common backgrounds and hurricanes or quick on set floods—that lead to aid
experiences of the individuals or groups involved. responses, population movements and associ-
ated fatalities (World Bank 2010d).
Bridging Social Capital: the linking of local
groups or institutions to resources and external Exposure: the character, magnitude, and rate
partners with similar goals. of climate variation to which a system is exposed
(IPCC 2001).
Capacity: the ability of individuals and organiza-
tions or organizational units to perform functions Resilient : the ability to cope with and/or adapt
effectively, efficiently and sustainably (UNDP 1998). to long-term, systemic and secular change while
maintaining or enhancing core properties.
Capitals: resources or assets that can be used,
invested, or exchanged to create new resources.
Key Concepts  n  xi
Sensitivity: the degree to which a system will re- Sustainability: the ability to cope with and recov-
spond to a given change in climate, including only er from immediate changes, stresses and shocks
harmful effects (adapted from IPCC 2001). (that do not necessarily threaten long term secular
change), while maintaining core properties.
Severe Weather: climatic trends that would not
register as a disaster in the international commu- Vulnerability: the extent to which a natural or
nity and entail an extensive range of less dramatic social system is susceptible to sustaining damage
impacts than disasters (World Bank 2010d). from climate change (IPCC 2001).
xii  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
1. Introduction
This purpose of this paper is to present the findings from a five-country case study
which tested the application of the Adaptation Coalition Framework (ACF) in Latin
America and the Caribbean. The development of the ACF is based on the belief that
climate change presents challenges that many climate change adaptation models
and sustainable development frameworks do not completely address. As a conse-
quence, four perspectives had to be integrated to effectively build social resilience
to climate change. First, climate change impacts are highly diverse and context
specific so planning needs to be locally driven and across sectors but also include
non-local knowledge and resources, second, these impacts often represent long-
term changes so institutions must adapt with an eye towards the same time scale,
third, climate change impacts are difficult to predict by nature and a framework must
be developed with the appropriate flexibility to evolve, and, fourth, adaptation must
go beyond being reactive to climate impacts to focusing on precautionary measures
and concentrating on the underlying drivers of vulnerability.
The testing of the ACF took place in five Latin piece to this document, and will be referred to
American countries including Argentina, Bolivia, throughout the report. This paper provides the
the Dominican Republic, Paraguay and Peru. analytical underpinnings for the Toolkit by offer-
As a result of this fieldwork and the findings ing a rationale and conceptual framework for uti-
presented in this report, “The Adaptation lizing the ACF. Further, it presents evidence from
Coalition Toolkit: Building Community Resilience the various case studies and highlights results
to Climate Change� was developed for practi- and lessons learned. By contrast, the Toolkit
tioners seeking to build community resilience represents a practical guide to implementing the
to climate change. The Toolkit is a companion ACF in the field.
Introduction  n  1
2  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
2.  Background
The consequences of climate change are now well understood. The 2010 World
Development Report (WB 2010b) states, “Left unmanaged, climate change will re-
verse development progress and compromise the well-being of current and future
generations. It is certain that the earth will get warmer on average, at unprecedented
speed. Impacts will be felt everywhere, but much of the damage will be in devel-
oping countries.� To greatly simplify the dynamic atmospheric processes at work,
these consequences of climate change and variability can be explained as follows:
increased global temperatures will lead to increased water evaporation into the atmo-
sphere and in turn greater precipitation when the moisture falls back to the earth. This
simple mechanism of the water cycle will create greater aridity in regions with already
scarce water supplies and more water in areas that already receive an abundance.
Furthermore, this moisture will increasingly concentrate into storm systems leading to a
greater frequency of extreme weather events like torrential rains and even hurricanes.
Most of the countries in the Latin America and The observed changes and projections show
Caribbean region are significantly affected by the that climate change is taking place in Latin
adverse consequences from climate variability America and is gathering pace. The effects are
and extremes. If no adaptation or mitigation takes expected to significantly impact human health,
place, estimates for damages due to warming in livelihood systems and social cohesion (World
the region vary from 1.3 percent to seven per- Bank 2010a). Evidence from these five country
cent of GDP by 2050 (CAIT 2008). The greatest case studies suggest that under certain situations
income effects are expected in the agricultural this increases conflict over resources, migration,
sector followed by energy and infrastructure. poverty, inequality and vulnerability as impacts
However, this only tells part of the story, as the hinder the efforts of the region’s poorest people to
social impacts and vulnerability to climate change build a better life for themselves and their children.
are largely unquantifiable. According to the World The main climate impacts from the four Latin
Bank (2010c), “A major challenge in vulnerability American and Caribbean regions covered in this
studies is that capturing factors that research- study include the following:
ers believe will impact vulnerability and adaptive
capacity are often hard to measure with discrete â– â– The Caribbean: This region has been af-
quantitative indicators.� fected by the intensification of extreme events
Background  n  3
as a result of climate change. Hurricanes, for and oxygen producing qualities, is facing
example, have been shown to cause such land-use (deforestation) and climate changes
disastrous social impacts as widespread that threaten the savannization of the eastern
migration and loss of land, property and life. Amazon. This would have dramatic global
In several cases, hurricanes, and the resulting consequences as well as local impacts on
costs, have exacerbated social and political water resources and livelihoods for communi-
tensions (Smith and Vivekananda 2007). ties that rely on forest resources.
â– â– The Andean countries: The most momen- â– â– The southern cone: These nations have
tous climate impacts include major warming, seen dramatic changes in rainfall patterns
changes in rainfall patterns and rapid tropical leading to increased drought and flooding.
glacier retreat. These factors will significantly This combined with severe land degradation
affect water availability for human consump- has led to many deleterious social impacts
tion, soil revitalization, agriculture, and energy including involuntary changes in productive
generation (IPCC 2007). This has a direct and means, assets and other livelihood issues.
deleterious impact on peoples’ livelihoods
and may lead to a greater risk of disputes,
conflicts and migration.1 1
For more on the relationship between environmental
â– â– The Amazon: This region, of critical impor- pressures and conflict see Homer-Dixon (1991) and
tance to humankind for its carbon storing Gleditsch et al. (2007 & 2002).
4  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
3. Rationale
The objective of this 5-country case study was to design and test a framework that
would help strengthen community resilience to climate change in Latin America and
the Caribbean region. The work was meant to be a direct, operational follow-up to
the conclusions of the edited volume Reducing Poverty, Protecting Livelihoods, and
Building Assets in a Changing Climate: Social Implications of Climate Change for
Latin America and the Caribbean (WB 2010a).
“In particular, this volume recommends the use implies changing decision-making strategies for
of community-specific social analysis focusing long-lived investment and long-term planning.�
on improving livelihood outcomes, careful atten- Moreover, the report recommends that priority
tion to building social assets within and between should be given to investment and policy options
stakeholder groups, and strengthening resilience that provide benefits even in the absence of cli-
through asset-based adaptation at the local level.� mate change impacts; a “no-regrets� approach.
The volume goes on to recommend a three- Another World Bank report (WB 2010c), based
pronged approach to reducing social vulnerability on a six-country case study, develops a checklist
to climate change: (1) Enhance good governance for good adaptation practice that recommends,
and the technical capacity of the public sector, among other things, pursuing interventions that
(2) Develop social capital in local communities: create co-benefits with sustainable develop-
voice, representation, and accountability, and ment, anchors decision-making mechanisms in
(3) Build household resilience through asset- inclusive and participatory processes and targets
based adaptation: a “no-regrets� approach.2 geographic regions where sensitivity to climate
change is high.
The World Bank’s guiding document on climate
change issues, the 2010 World Development Based on the recommendations from the work
Report (WDR): Development and Climate Change discussed above, the ACF was developed to serve
(WB 2010b), establishes the need for such work. as an adaptation framework that would be focused
For example, the WDR asserts, “Climate change on specifically addressing social vulnerability.
adds an additional source of unknowns for deci-
sion makers to manage� and that, “accepting
uncertainty as inherent to the climate change
2
A “no regrets� approach is defined as actions that
generate net social benefits under all future scenarios
problem and robustness as a decision criterion
of climate change and impacts (Heltberg, et al. 2008).
Rationale  n  5
6  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
4.  Conceptual Framework
The purpose of testing the ACF was to develop a methodology for building commu-
nity resilience to climate change. In emphasizing this approach, the team made four
assumptions: First, community members must participate in planning to optimize
adaptive capacity to manage the diverse local manifestations of climate change;
second, these impacts represent long-term change; third, climate change impacts
are difficult to predict by nature; and fourth, the focus needs to be on the drivers of
vulnerability when adapting to climate change.
The ACF was designed to strengthen local com- or a lack of resources, inequality, and other
munities’ long-term engagement with climate potentially harmful socio-economic and environ-
change based on the belief that to maximize mental factors. Adaptive capacity encapsulates
results adaptation interventions must integrate the community characteristics or practices that
local with non-local responses. In the ACF, the contribute to building resilience and reducing vul-
IPCC (2001) framework for vulnerability is used, nerability. These include economic diversification,
with vulnerability being defined as, “a function of migration, access to resources and community
the sensitivity of a system to changes in climate, capitals, social cohesion, sustainable environ-
adaptive capacity, and the degree of exposure of mental practices, among others. These three
the system to climatic hazards (author’s italics).� components, or drivers of vulnerability, interact to
In order to operationalize this approach, we refer produce the human impacts of climate change.
to exposure as the exogenous drivers of vulner- Specifically, the ACF aims to reduce vulnerability,
ability, or climate related events and changes that thereby lessening negative social impacts, by
humans cannot directly control, such as weather building adaptive capacity and reducing sensi-
variability, droughts and floods. Sensitivity refers tivity. In the ACF, this is done by identifying and
to the harmful endogenous drivers of vulner- mobilizing community assets around a common
ability, these include community characteristics desired future and by strengthening Bridging
or practices that humans can control and which and Bonding Social Capital for greater organiza-
contribute to vulnerability. Examples of these are tion, voice and access to external resources and
deforestation or the loss of vegetative cover, liveli- knowledge. Figure 1 is a visual representation of
hoods reliant on the natural environment, poverty the conceptual framework.
Conceptual Framework  n  7
Figure 1 > Exposure
Conceptual Climate hazards Weather variability
Framework Long-term climate changes
Sensitivity Adaptive Capacity
Poverty, Environmental Access to resources, Social Cohesion,
degradation, Inequality, etc. Economic diversification, etc.
– +
Building Adaptation Coalitions
Mobilizing community capitals
Building Bridging and Bonding Social Capital
Climate change impacts on individuals, households and communities
4.1. Adaptation Coalitions The Floras (Flora and Flora 2008) adapted this
structure to serve as a participatory development
The Adaptation Coalition Framework was based and research tool. By determining from institu-
on the Advocacy Coalition Framework adapted to tions at various levels where they want to go (their
climate change scenarios and put into a practical declared and implicit missions) and how they will
model for intervention. The Advocacy Coalition get there (the means they see as viable and effec-
Framework was selected to be the model for the tive), local groups can seek appropriate alliances
ACF due to its application as a locally led, long- for varying periods of time—adaptation coali-
term and flexible methodology.3 tions—in order to work toward their desired future
in light of the climate change threat.
The Advocacy Coalition Framework, as argued by
Sabatier and Jenkins-Smith (1993), is how certain The Advocacy Coalition Framework was a useful
groups form coalitions or alliances around con- framework for incorporating social groups within
crete issues in order to achieve common desired a locality into a larger inter-institutional framework,
futures. This takes the form of institutional acts at and for increasing the efficacy of those groups.
various geographic scales that share: (i) cer- Forming coalitions that include marginalized social
tain basic beliefs that anchor common desired
futures (ends); (ii) the implicit or explicit means for 3
The Advocacy Coalition Framework was originally uti-
reaching those futures (means); and (iii) rules of lized as an externally led research strategy, but later
evidence that allow for members of the coalition it was put into practice as a locally led and flexible
to mutually ascertain progress towards the goals. development tool (Flora and Flora 2008).
8  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
groups at the local level strengthens their Bonding a number of scholars have found that the com-
Social Capital—ties within an organization or com- munities that were most successful in supporting
munity—and Bridging Social Capital—ties that link healthy, sustainable community and economic
the organization or community to others. To bring development were considering seven types of
about positive change, or in certain instances to capital, which they designated as natural, cultural,
maintain a resilient status quo, adaptation coali- human, social, political, financial and built (Flora
tions are formed within civil society with linkages and Flora 2008). These seven capitals have been
to various state institutions and market firms. organized into the Community Capitals Framework
(CCF),4 which provides a tool for analyzing how
It follows, then, that effective coalitions share communities work. Based on this framework, a
common desired futures and the means to number of researchers and field-based specialists
achieve them, but are also sufficiently diverse in developed a workbook to assist communities in
their contacts and external linkages to garner a planning, strategizing and monitoring community
diversity of resources and knowledge. In other development projects. Mary Emery, Susan Fey,
words, the most effective coalitions are those that and Cornelia Flora (2006) presented the benefits
combine Bridging and Bonding Social Capital. in utilizing this process in “Using Community
Capitals to Develop Assets for Positive Community
In the Adaptation Coalition Framework, policy- Change.� These benefits include the following:
making is contested and influenced by different
sectors from different levels and is not linear â– â– The concept of community capitals provides
(Münch et al. 2000). Furthermore, policymak- a useful framework for identifying the diverse
ing cannot be captured in a series of prescribed resources and activities that make up a local
steps to be taken by decision makers, which if economy, social system, and ecosystem. This
appropriately executed would almost automati- provides a systematic framework for identify-
cally lead to optimum decisions. Such an overly ing asset flows and opportunities to recom-
rationalist element often creeps into decision- bine resources in the face of change.
making models that take a technical rather than a â– â– Through understanding and using the CCF, re-
socio-political approach. sources can be mobilized within the communi-
ty to address a variety of issues and to expand
options for responding to climate change.
4.2. Identifying and Mobilizing Local â– â– The plurality of capitals can be conceived
Assets as a variety of accounts offered by a bank,
including capacities to store strengths, skills,
The ACF utilizes the concept of “community capi- opportunities, and other kinds of resources.
tals� as a framework for indentifying and mobilizing Such a bank might offer seven types of capi-
local resources to enhance adaptive capac- tal accounts, making the assets in each avail-
ity. Typically we associate the term capital with able to the community. These assets can be
business and financial investments. But capital wisely invested, combined, and exchanged to
can come in many forms. The most fundamental create more community resources. But they
definition of capital is a resource or asset that can
be used, invested, or exchanged to create new
resources and, therefore, it can refer to much 4
For more information on the Community Capitals
more than only financial resources. After over thirty Framework, refer to the Adaptation Coalition Toolkit
years of applying community capitals in the field, or the aforementioned citation (Flora and Flora 2008).
Conceptual Framework  n  9
can also be squandered or hoarded if the to resources and external partners with similar
community does not use them wisely. goals. The overall objective of this method is to
build the adaptive capacity of local communities
The CCF is useful in forming adaptation coalitions, by identifying community capitals and organizing
particularly for vulnerable communities because the community around internal asset mobilization
it provides an easily understood mechanism for (Bonding Social Capital) and gaining access to
communities and organizations to examine the external resources (Bridging Social Capital). The
stocks and flows of their assets. Through dis- justification is that by increasing the amount of
covery of their collective assets using this holistic capitals (internal and external) at a given com-
framework and seeing which ones have de- munity’s disposal and organizing the use of those
creased or increased over their lifetimes, commu- resources around a common desire for a future
nities can discover which assets to invest. of resilience to climate change, one is increasing
the adaptive capacity of these communities and
reducing vulnerability. This process is represented
4.3. Bridging and Bonding Social in Figure 2.
Capital
Social capital can be defined as the norms and 4.4. Why is the Adaptation Coalition
social relations embedded in the social structures Framework Different?
of society that enable people to coordinate action
and to achieve desired goals (Narayan 1999). A Through our case study research5 we found
great deal of research on social capital examines that climate change adaptation requires unique
its presence and impact on individuals, and thus focuses and consequently different techniques
tends to view community social capital as the sum than regular development. The ACF differs from
of each individual’s norms and social relations. many traditional development strategies in that
However, the ACF uses social capital as a charac- it is characterized by four combined traits that
teristic of social structures, such as communities we believe are necessary for building community
and organizations, which can be more—or less— resilience to climate change. These traits include
the sum of the stock of social capital of each being locally led, long-term, flexible and focused
individual within that community or organization. on the drivers of vulnerability.6
Specifically, this framework looks to build two
types of social capital: Bonding and Bridging. 4.4.1. Locally led
Bonding Social Capital is the strengthening of in-
ternal organization and capacity to take collective Many adaptation strategies are not locally led;
action. Bridging Social Capital links local groups some are high level government initiatives or major
Figure 2 >
5
For more on these findings see section 7.1.
Bonding Social Internal cohesion
Process of Greater voice 6
The ACF can be understood as a form of Community
Capital and mobilization
Driven Development (CDD) that focuses squarely on
Building
Strengthened Access to reducing climate vulnerability. Other approaches that
Bonding and ties linking external resources
Bridging Social share some of these core principles are the Shared
Bridging Capital local to nonlocal (including Learned Dialogue (SLD), participatory scenario devel-
Social Capital institutions information) opment and a number of others.
10  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
programs led by international financial institu- water resources, the long-term problem of de-
tions or transnational NGOs, while others, though creasing water supplies has not gone away. To
managed by local institutions, are often still led by take from an actual watershed management
external development agents. By contrast, com- project in the Bolivian altiplano, local water re-
munity based adaptation frameworks tend to be sources will in fact be cleaner and more plentiful
more local in nature and typically involve a “hand- as water disbursement systems are improved
over� step where project management is handed and vegetation is planted. This vegetation acts
over to community leaders after a certain amount as a natural cleanser and cooler of the microcli-
of time. The ACF differs from many of these frame- mate thus preventing rapid evaporation of these
works because it focuses on training community resources during dry spells. However, this project,
members in the actual investigative and organi- while helpful in the short-term, does not tackle
zational skills needed to plan for themselves and the longer-term problem, which is that there is
lead the adaptation process from the beginning. simply less and less water available and maintain-
This focus on local planning and organization dif- ing the same livelihoods may not be sustainable.
fers from other adaptation frameworks that often Currently, in this same Andean community, locals
concentrate on responding to previously identi- are losing their traditional sources of water due
fied impacts or sector-specific measures.7 These to the melting of tropical, mountaintop glaciers.
frameworks act as tools within the adaptation So, while watershed management initiatives will
toolbox, each with a particular purpose. The pur- improve water access in the short-term, they will
pose of the coalitions approach is to allow locals not necessarily adapt to the longer-term problem
to identify what climate change impacts are most of dwindling water supplies. The adaptation coali-
important to them and then provide them with tion approach builds Bridging Social Capital so
the investigative (rather than technical) training to that long-term partnerships are fostered between
respond. In other words, the ACF goes beyond internal (community) resources and external. It
simply using local knowledge to inform a project‘s is these long-term partnerships, and the ability
design, but actually meshes local with non-local to make them, that goes beyond relieving short-
experiences during implementation to guarantee term stresses and matches the long-term evolving
that adaptation is genuinely led locally. nature of climate change.
4.4.2. Long-term 4.4.3. Flexibility—Planning with
Uncertainty
Commonly, adaptation projects are designed to
respond to a current problem or impact and not Even if community development or adapta-
to adapt to long-term scenarios, which could tion frameworks plan for the long-term and are
leave them unsustainable in the long run. While effective in tackling a particular development
adapting to any particular problem can be a challenge that is either caused or aggravated by
difficult task, climate change exacerbates this climate change, there is no way they can plan for
because changes are often both short-term and the unplanable or predict the unpredictable. For
long-term (in fact, by definition “climate change� example, if flooding, and the consequent loss of
refers to thirty year averages). For example, while
a given community may participate in a helpful 7
For examples of other adaptation approaches please
reforestation or watershed regeneration project refer in the bibliography to CARE 2010a and 2010b,
to protect the quality and quantity of community ICLEI 2008 and World Bank 2009.
Conceptual Framework  n  11
crop productivity, is currently affecting a particular change, they do not go far enough in targeting
community, this may be identified as a problem the underlying local drivers of vulnerability. For
and solutions such as building flood controls example, an impact-specific strategy to reduce
or diversifying crops may be adopted locally. flood risk could include measures like building lev-
However, what if climate variability then leads to ies or planting vegetation to increase the absorp-
drought? What if fires become a problem or hail tive capacity of the land. Alternatively, a strategy
or frost? Empirical evidence has shown that it is that focuses on reducing the underlying drivers
difficult to predict exactly what impacts climate of vulnerability would include measures to reduce
change will have on a particular community. So sensitivity and build adaptive capacity. This could
while a community may in fact have periods of include efforts like the diversification of livelihoods
water abundance, that same community may also away from those that make the community sensi-
have periods of extended water scarcity and may tive to flooding (e.g. logging, monocultures, etc.) or
be unable to predict when each situation will af- other crosscutting, social responses. In practice
fect them. This was the case for several commu- this means two things, (1) targeting interventions
nities from the case studies, which found growing holistically towards climate vulnerability and not
seasons to be shorter and harder to predict, mak- solely impacts, and (2) building the capacity of
ing planning difficult and complicating traditional communities to adapt autonomously.
practices. In some cases, communities altered
their traditional planting calendars from one to
two times a season with the hope that if one crop 4.5. Practical Background
failed, maybe the other would succeed.
Prior to the testing of this framework as a re-
In addition, every community is unique with dif- sponse to climate change across Latin America,
fering sensitivities to climate change and adaptive it was put into practice on a small-scale in isolat-
capacities. This makes the resulting vulnerability ed communities in Peru. This work began in 2006
highly context specific and difficult to predict. and was part of the Sustainable Agriculture and
The coalitions approach deals with this challenge Natural Resource Management and Collaborative
of uncertainty by focusing on organization and Research Support Program (SANREM CRSP) 8 at
process and by building Bonding Social Capital. It Virginia Tech University, funded by USAID. Other
strengthens the resiliency of communities by im- collaborative institutions involved in the research
proving their ability to respond to whatever chal- included CONDESAN,9 the Institute of Small-
lenge climatic changes may pose, even if these Scale Sustainable Production10 at the National
challenges are diverse, contradictory and shifting. Agrarian University of La Molina (La Molina) in
Peru,11 Iowa State University and the University
4.4.4. Focusing on Vulnerability
8
Many strategies for climate change adaptation 9
Consejo para el Desarrollo Sostenible de la Región
have become what is known as impact-specific, Andina (CONDESAN)
10
El Instituto de la Pequeña Producción Sustentable
tor such as water or infrastructure and specifically
(IPPS)
level). While these responses have gone a long 11
Universidad Nacional Agraria La Molina
12  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
of Missouri. However, because of the nature of of fiber from extra fine, fine, semi-fine, and coarse
the coalition approach, many other institutions with the finer the fiber meaning the higher the
were involved. It was initially discovered through price. These new standards motivated the com-
this fieldwork that building coalitions could be an munity to seek ties with scientists and NGOs
effective measure towards building community engaged in breeding alpaca with fine fiber. As a re-
resilience to climate change. sult, research committees13 formed by community
members were trained in interview techniques and
There are several examples from the Peruvian visited a variety of potential allies until they found
experience that could demonstrate this, but we two groups whose goals coincided with their
will focus on one from the indigenous Aymara- own. These goals were to improve pasture and
speaking community of Apopata, near Puno. In increase the fineness of the fiber on each alpaca.
this example, a team of Aymara speakers from With the help of external alliances, alpaca herders
the National Altiplano University12 in Peru and La were able to produce higher incomes with fewer
Molina met with community leaders to define a alpaca. The research committee then sought out
general development project around sustainable other villages to form a cooperative collection
agriculture and natural resource management. center ( centro de acopio) where they could gather
During the course of the community’s diagnosis and categorize the fiber. This also allowed them to
of its past, present, and desired future, it became seek other progenitors with fine fiber.
clear that climate change exposure was a source
of vulnerability. Weather variability was of particu- This example, though very small-scale and specif-
lar concern as it caused unseasonal freezes and ic to one community, proved to be highly relevant
greatly impacted the availability of pastures for for locals in improving livelihoods and reducing
alpaca grazing, a major livelihood in Apopata. As vulnerability to climate change. Obviously, dupli-
a result, the nutritional status of the local alpaca cating the development of alpaca cooperatives
declined and the spontaneous abortion rates of would not be relevant for many communities as
early stage alpaca fetuses were increasing. an adaptive strategy, yet based on this and other
results from Peru, it was believed that the process
At the same time, the government of Peru was of building coalitions had great potential.
offering a new buying scheme that rewarded the
quality of alpaca fiber and not just quantity. In
2004, the technical standards for alpaca fleece
12
Universidad Nacional del Altiplano
fibers ( Normas Técnicas Peruanas de la Fibra de 13
These community research teams have been re-
Alpaca de Vellón) were established. Prices were named Community Adaptation Teams (CATs) in the
henceforth differentiated based on the category Adaptation Coalition Framework.
Conceptual Framework  n  13
14  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
5. Methodology
In order to test the effectiveness of developing the advocacy coalition framework
into a more practical adaptation coalition framework, a five-country case study was
designed to create knowledge by doing. The action research built adaptation co-
alitions in the five case study countries under various social, political and climatic
conditions in an effort to help local communities build social resilience to climate
change. In the process of coalition formation and case study research, information
was gathered on creating best practices in order to develop an operational guide,
the Adaptation Coalition Toolkit, and improve the equity of adaptation. Five research
teams led the case studies in the five countries under guidance from the World
Bank task team.
While the process of building adaptation coali- 5.1. Field Investigations
tions is ongoing, the implementation time for the
case studies ranged from four to nine months. This study looked at five country case stud-
The reason for the large disparity in time was ies—Argentina, Bolivia, the Dominican Republic,
that in some countries, like the Dominican Paraguay and Peru—through the ACF. The
Republic, the research team had a long history methodology used in each country was generally
of working with the communities in question the same but with some “wiggle room� to modify
and could begin work immediately. In other locally to develop best practices. Generally,
countries, like Paraguay, there was a lot of information was gathered through a combina-
institutional red tape and other formalities, such tion of expert interviews, institutional interviews,
as presenting official letters to municipal lead- local workshops and focus group discussions.
ers soliciting their formal approval for the work, Final methodologies for each country were pro-
showing these letters to state authorities for their duced after in-country consultations took place
approval, and returning these approvals to the during the first methodological design stage,
municipal level for further discussions. These which ensured that the proposed methodol-
discussions delayed the implementation by ogy and case study approach was validated by
several months. in-country stakeholders (including researchers,
Methodology  n  15
the government, civil society organizations and (one to two per municipality). Therefore, there
community participants). Then, after preliminary were a total of between two and five research
results become available, in-country training areas chosen in each country, selected by giving
was organized to develop the capacity of local priority to areas, and the villages within, with
researchers to apply the methodology. particularly high social vulnerability to climate
change as identified through existing data-
bases or key informants. Measures were taken
5.2. Site Selection to assure variation between sites in climate
change hazards, livelihood impacts, wealth, and
Locations were selected using a nested re- ecology, such as altitude differences between
search design based on country (five countries), communities/villages (which may be related to
region/department/province (two per country), remoteness/closeness to the local administrative
municipality (at least one per department, with a headquarters). See Table 1 for a list of the study
total of two per country) and community/village sites.
Table 1 > Country Region Province Municipality Community
Case Study Argentina North Salta Tartagal Tartagal
Locations— Salvador
Adaptation
Mazza
Coalition
Framework Aguaray
Patagonia RÃo Negro Los Menucos Los Menucos
Sierra Colorada
Ministro Ramos MejÃa
Bolivia Altiplano Los Andes Pucarani Chunavi
Condoriri
La Paz - Valles Alto Murillo Palca Amachuma Grande
Andino Huancapampa
Pueblo de Palca
Dominican Santo Domingo Norte Distrito Nacional Distrito Nacional La Zurza
Republic Guachupita
Lago Enriquillo Independencia La Descubierta La Descubierta
Bartolome
Paraguay South Western Ñeembucú Pilar Pilar
Paso de Patria Paso de Patria
Chaco Presidente Hayes Villa Hayes Villa Hayes
BenjamÃn Aceval BenjamÃn Aceval
Peru Amazon Convención Echarati Comunidad Nativa de Matoriato
Comunidad Nativa de Timpia
Altiplano Huancané Huancané Huancané
Moho Huayrapata Huayrapata
16  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
5.3. Final Products Figure 3 >
Steps for
Training and
Once the fieldwork was completed in all five coun- Knowledge Feedback and Strengthening Building
Information
tries, reports were produced documenting the Exchange Planning Coalitions Adaptation
Gathering
information gathered and lessons learned. These
Coalitions*
five country reports14 were used as the primary
informational sources for this report and the com- * These are defined in detail in “The Adaptation Coalition Toolkit: Building
panion Toolkit. In addition, ongoing consultations Community Resilience to Climate Change,� an operational guide and the
companion piece to this document.
took place with the teams that developed this
framework locally, to comment on and validate
the integrated results from all five countries. As
a consequence, the process for building adap- 14
Full titles for these reports can be found in the
tation coalitions can be broken down into four
bibliography. They are referenced as Bendini, et al.
main steps or chronological sequences shown 2010 (Argentina), CARE Bolivia 2011 (Bolivia), IDDI
in Figure 3 (these are described in detail in the 2011 (Dominican Republic), Instituto Desarrollo 2011
Adaptation Coalition Toolkit). (Paraguay) and CONDESAN 2011 (Peru).
Methodology  n  17
18  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
6.  Case Study Summaries 15
Information from the case studies will be described at the sub-regional level as
opposed to the national level. The great diversity of socio-economic factors, vulner-
abilities, impacts, geographies, cultures and adaptation strategies at sub national
levels makes it impossible to accurately summarize these indicators at an aggre-
gate national level. Each summary will begin with some general information and
then briefly describe the main drivers of vulnerability, impacts, some of the com-
monly desired futures and the relative success of these emerging coalitions (refer to
Section 4 for these definitions).
It should be noted, that building and strengthen- has an area of 155,488 square kilometers and
ing adaptation coalitions can take years. This is accounts for 4.17% of the entire national ter-
precisely the point; to make sure the coalition ritory. The estimated population in 2009 was
stays engaged with climate change issues over 1,245,573 inhabitants, which constitutes 3.1% of
the long-term. Therefore, it should be taken into the national population. This area was traditionally
account when reading these summaries that covered in lush forest.
case studies took place over the course of several
months (usually between four and nine) so only
short-term successes could be recorded.
15
All of the information included in the case study sum-
6.1. Argentina 16
maries was extracted from final reports produced
by research teams in each case study country and
subsequently verified by them. These teams include
Case study communities for Argentina were
Instituto Dominicano de Desarrollo Integral (IDDI) in
located in two distinct regions of the country, the
the Dominican Republic led by Juan Manuel Diaz,
northern province of Salta and the Patagonian Instituto Desarrollo in Paraguay led by Victor Vazquez,
state of RÃo Negro. el Consorcio para el Desarrollo Sostenible de la
Ecorregión Andina (CONDESAN) in Peru led by Edith
Fernández-Baca, CARE Bolivia led by Silvia Aguilar
and Roxana Liendo and the team of Monica Bendini,
6.1.1. Salta, Argentina
Maria Ines Garcia, Marta Palomares and Norma
Steimbreger in Argentina.
The province of Salta is shaped like a horseshoe 16
All information pertaining to the Argentina case study
and located in the northwest of Argentina. It is taken from Bendini, et al. (2010).
Case Study Summaries  n  19
Tartagal
VEINTICINCO
SALTA DE MAYO
Salta
Salta S A LTA
ARGENTINA
BUENOS AIRES
Tartagal CASE STUDY MUNICIPALITIES
PROVINCE CAPITALS
RÃ?O NATIONAL CAPTIAL
Viedma
NEGRO
RÃ?O NEGRO
Los Menucos
Viedma
GENERAL JOSÉ
DE SAN MARTÃ?N
Drivers of Vulnerability in Salta represents 16% of the national total.
Exposure: This part of Argentina is characterized The two industries of soy and mineral extraction
by increased rainfall, in both intensity and total combined with logging have left much of the area
amount. Community members have also com- deforested. Over the last thirty years it is estimat-
plained of higher temperatures, a claim supported ed that 600,000 hectors have been deforested in
by climate change models, which predict a one Salta. The second major source of sensitivity in
degree Celsius increase for the whole country by the region is the high levels of social conflict due
2020/2040, but particularly in the north (World to land disputes and forced migration. The land
Bank 2009: Argentina Country Note). use changes from forestry, sugar and tobacco to
soy, natural gas and oil has led to very powerful
Sensitivity: Sensitivity to climate change in Salta groups moving into the region and forcing indig-
is driven by two main factors. First, land use enous populations away. This involuntary resettle-
changes. Salta was traditionally known for forest ment has led to major conflict between traditional
products, sugar cane and tobacco, but the rapid groups and these powerful industries.
expansion of the soy frontier and natural gas ex-
ploration has changed it dramatically. Thirty years Adaptive Capacity: The presence of large sources
ago, soy was not a major crop in the region, but of natural resource wealth means that the po-
today represents 30% of the region’s agricultural tential to adapt is relatively high. However, the
production. In 2003, it was estimated that over large inequalities between the haves and have-
half of the lands dedicated to soy production nots means that only privileged groups have this
were previously forest. Natural gas production capacity. Furthermore, the region contains many
20  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
highly organized groups that represent the gas continued success in this area despite persistent
and soy industries as well as local, community conflict and social fragmentation.
interests that oppose them. The problem is that
these groups are in conflict with one another over
the land, with neither side trusting the government 6.1.2. RÃo Negro, Argentina
to be an honest broker.
The southern line of RÃo Negro ( linea sur rioneg-
Impacts: These vulnerabilities have interacted to rina) has an area of 114,000 square kilometers,
lead to the following impacts: the loss of pro- representing 60% of the RÃo Negro Province.
ductive lines like agriculture for others like gas This area is known for its dry lands and relatively
exploration; landslides due to increased rainfall sparse population, with an average of only two
and decreased vegetative cover; the resettlement/ persons per square kilometer.
expulsion of peasant and indigenous communi-
ties and extra-regional migration due to land use
changes; increased levels of conflict; high levels Drivers of Vulnerability
of poverty as traditional livelihoods are reduced; Exposure: This region is very dry and prone to
increased inequality; and increased incidence of extended dry spells, drought and even deserti-
dengue and malaria due to a rise in temperatures fication. The risk for drought has increased with
more suitable for these diseases. predicted temperature increases. Although it
does not rain frequently in this region, when it
Desired Futures: The communities of this region does it can be intense, leading to occasional flash
voiced a desire for diversifying their livelihoods, flooding.
increasing their access to resources and to gen-
erally graduate out of poverty. Indigenous groups Sensitivity: The primary livelihood activity is to
additionally wished to return to their native forests, raise sheep and goat and, with the exception of
a prospect made difficult by the deforestation mining, there are very few productive alternatives.
and loss of land from soy expansion and mineral Livestock raising is highly dependant on the natu-
exploration. All of the communities desired greater ral environment and, therefore, highly sensitive to
economic, food and physical security. climate change. It is also largely dependant on
international wool prices.
Success in Building Adaptation Coalitions:
Coalitions in this region were successful in reduc- Adaptive Capacity: Due to the dry characteristics
ing vulnerability to climate change, particularly of the land, people have developed strategies for
as it relates to land use changes. Adaptation adapting that include constant movement to find
coalitions were successful in establishing links pasture, water or work. The mining of gypsum,
with external partners, including the Salta Land granite, slate, quartz and porphyry makes migra-
Forum (el Foro Salteño por la Tierra), and have tion to mining areas an option. Furthermore, com-
established partnering agreements with govern- munities have a history of communally resolving
ment institutions. Coalitions were also successful shared problems. This means that social cohe-
in attaining external support to voice indigenous sion is relatively strong.
demands for greater forest access to the national
justice system. The presence of established Impacts: Dryer conditions combined with falling
institutions and an active civil society means wool prices have led to a decrease in sheep from
that adaptation coalitions have the potential for 2.6 to 1.5 million in the area and the permanent
Case Study Summaries  n  21
migration of 42% of the rural population in the near the capital, La Paz. All five have similar
mid-1980s. vulnerabilities and will therefore be analyzed col-
lectively.
Desired Futures: These communities aspire for
greater access and use of water and land, includ-
ing ownership. 6.2.1. Los Andes and Murillo, Bolivia
Success in Building Adaptation Coalitions: Unlike These areas of Bolivia are characterized by dra-
in Salta, the communities of RÃo Negro lack ex- matic mountain landscapes and the indigenous
treme levels of inequality and social fragmenta- Aymara culture. The two case study communi-
tion and as a consequence coalition forming has ties in Los Andes—Chunavi and Condoriri—are
been a much easier task. Coalitions were able to supplied water by the Tuni-Condoriri mountain
mobilize local assets for reducing vulnerability, in- glacier, while the three in Murillo—Amachuma
cluding human, social and financial capital. Local Grande and Huancapampa—are resting below
researchers in Argentina believe that coalition the Mururata glacier.
building shows great potential in RÃo Negro.
6.2. Bolivia17
The five case study communities of Bolivia are 17
All information pertaining to the Bolivia case study is
all located in the highland areas of the altiplano taken from CARE Bolivia (2011).
LA Pucarani
PAZ
PEDRO
LA PAZ
DOMINGO
PUCARANI
BOLIVIA PUCARANI
MURILLO
Palca
LOS LA PAZ
LA ANDES
PAZ PALCA
PALCA
MURILLO
LOS ANDES LA PAZ
Pucarini CASE STUDY MUNICIPALITIES
NATIONAL CAPITAL
22  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Drivers of Vulnerability Additionally, in the communities of Murillo there
Exposure: Climate exposure in these regions is is sensitivity due to the gold mining industry and
characterized by a shorter rainy season with more the subsequent pollution of water supplies. These
intensive precipitation, increased temperatures downstream communities are in dispute with the
and changes in the traditional agricultural calen- upstream communities that control the water
dar. The higher temperatures are a principal driver resources coming from Mururata.
of the rapid glacial retreat of the glaciers Tuni-
Condoriri and Mururata. Since 1956, Mururata Adaptive Capacity: The Aymara communities
glacier has lost approximately 20% of its total in the Andean altiplano and valleys have always
surface area, which accounts for 1.6 square kilo- been exposed to climate variability and, over the
meters. Due to their location in lower altitudes, the course of centuries, have developed strategies to
Tuni and Condoriri glaciers are more at risk from adapt to these conditions. This is demonstrated
increases in temperatures and they are expected by both the anthropocentric landscape and di-
to disappear completely by 2025 and 2045, re- versified agricultural production on display at dif-
spectively. The melting glaciers have, over the last ferent altitudes. This has been made possible by
decade, actually led to an increase in the stream strong traditional organizational structures, known
water supplies that provide communities with as Ayllus, which have allowed the communities
crucial water resources for human consumption, to establish relatively complex land-use systems.
agriculture and livestock. The current increased Nevertheless, during the last century, only some
water availability is probably why none of the case of these agricultural systems have been main-
study communities emphasized glacier retreat tained. Due to the proximity of these regions to
as a climate risk but rather underscored severe the major cities, La Paz and El Alto, migration is a
climate events (drought, frost and hail), higher strategy used by all communities. This proximity
temperatures (drying of the soil) and inter-annual also ensures easy market access for a number of
climate changes as their major climate concerns. local products. The frequent migration has helped
However, in the long-term it is expected that gla- diversify the local economy, creating new employ-
cial retreat will lead to major water shortages. ment in the transport sector, mining and tourism.
Sensitivity: Typical livelihoods in these regions Impacts: Short-term water abundance in streams
are exposed to extreme conditions because of has been a result of glacial retreat, but long-term
their altitude (between 3,000 and 4,500 meters water scarcity issues are expected as glacial
above sea level) and depend directly on the surfaces are reduced or disappear completely.
climate. These livelihoods include agriculture, More intensive rainfall is leading to more frequent
which is mainly rain-fed and includes potatoes landslides, flooding of vulnerable areas, the loss
and quinoa; and extensive livestock produc- of critical ecosystems like wetlands, the loss of
tion that includes llama, sheep, alpaca and dairy critical pasture for llamas and a general decrease
cattle. This livestock depends on the natural in agricultural production. Increased migration
vegetation from communal lands. These activities rates often leave women behind in the commu-
are highly dependent on water resource avail- nities with the added burden of taking over for
ability and temperature, which are changing. This the departed male’s activities. The inconsistent
is further complicated from the lack of a quality availability of water resources has led to discord
water harvesting and irrigation infrastructure. It is between upstream and downstream communi-
estimated that current systems are highly inef- ties in Murillo. These disputes are likely to intensify
ficient, with water losses as high as 50 percent. as water availability is reduced and population
Case Study Summaries  n  23
growth increases water demand. Conflicts have reduce competition and avoid conflict over water
also been observed in the Chunavi-Condoriri resources. By contrast, the communities in Murillo
communities where a nearby dam only supplies have more relative income and a productive gold
water to the cities of La Paz and El Alto. Finally, mining industry, yet have been less successful
communities have highlighted the fact that an in building coalitions and are increasingly more
increasingly difficult to predict climate means that vulnerable to climate change. There are two main
traditional climatic indicators and the agricultural reasons for this. First, because mining is a resilient
calendar are no longer valid. livelihood that is not directly impacted by climate
change, there is little motivation to adapt. This has
Desired Futures: The communities voiced a desire led to detrimental impacts to the land, traditional
for consistent supplies of clean water, the ex- livelihoods and women’s ability to sustain their
pansion and improvement of irrigation systems, homes and families. Second, there is increased
alternative water harvesting systems (e.g. dams), competition over water resources with upstream
introduction or improvement of alternative income communities, as well as social conflict and frag-
generating activities such as tourism or fish mentation. Still, it should be noted that despite
farming, and improved agricultural and livestock the difficulties this region has faced, there is an
production systems such as dairy cattle or new emerging adaptation coalition, which has part-
cash crops like vegetables. nered with CARE Bolivia in an effort to improve
local water management. Together they have
Success in Building Adaptation Coalitions: The negotiated an upgrade of local irrigation systems
findings of the case studies from the two regions with the World Bank. This highlights the fact that
in Bolivia offer an interesting comparative example coalition formation is a fluid process that can take
of how coalitions can be successful in resolving many months or even years to fully develop. This
issues related to climate change. The reason is case demonstrates that even young coalitions
that, despite similarities between the two regions, built under less than ideal circumstances (social
the results from building coalitions were vastly fragmentation, weak local institutional arrange-
different. Similarities include the following: both ments and organization, etc.) still can lead to
regions are of the Aymara culture, equidistant clear, incremental and positive results.
from the capital city, La Paz; both depend on
retreating glaciers for water supplies; and the live-
lihoods of both are traditional rain-fed agriculture 6.3. Dominican Republic19
and livestock. Yet, in Los Andes the process of
building coalitions has been much more success- There were four case study communities in
ful in reducing vulnerability. This area has formed the Dominican Republic. Two—La Zurza and
coalitions, which have established a working Guachupita—are urban neighborhoods located
relationship with the state water agency, EPSAS.18 in the north of Santo Domingo, the capital, while
This partnership has guaranteed that local com- two—La Descubierta and Bartolome—are more
munities’ concerns are voiced in EPSAS’ building rural and located around Lake Enriquillo.
of dams and other adaptation efforts. As a result,
these communities have negotiated the alloca-
tion of certain amounts of water supplies from 18
Empresa Pública Social del Agua y Saneamiento
the dams, which were established to help provide (EPSAS).
water security to the major downstream com- 19
All information pertaining to the Dominican Republic
munities of El Alto and La Paz. This has helped to case study is taken from IDDI (2011).
24  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
LA
DESCUBIERTA
La Descubierta
Lake INDEPENDENCIA
Jimani
Enriquillo
DOMINICAN REPUBLIC
Jimani SANTO DOMINGO
INDEPENDENCIA
DISTRITO
Santo Domingo
NACIONAL
SANTO DOMINGO
DISTRITO
La Descubierta CASE STUDY MUNICIPALITIES
NACIONAL
PROVINCE CAPITAL
NATIONAL CAPITAL
6.3.1. North Santo Domingo, Dominican compelled to live in low lying areas of the city that
Republic are exposed to the dangers of a rising river. This
puts the homes of locals directly at risk of flood
These areas represent parts of the capital city damage. Poor urban dwellers frequently lack the
and are highly urban. They are low lying zones titles to their land, which means they are ineli-
with La Zurza located along the Isabela River and gible for many social services. In addition, since
Guachupita resting on the shores of the Ozama many of these people have already migrated from
River, respectively. rural areas to the city, there is a limited ability to
migrate again.
Drivers of Vulnerability Adaptive Capacity: These areas have a long history
Exposure: These areas are confronted with rising of managing disaster risk, so preparedness and
temperatures, unpredictable rainfall patterns and capacity to adapt to hurricanes is relatively strong.
longer hurricane and cyclone seasons. These In addition, livelihoods in these urban areas are
climate changes are leading to the rising of the relatively diversified, with both private and public
water levels of both the Isabela and Ozama rivers. sector jobs that are not highly dependent on the
This climate exposure has led to flooding in these natural environment. These traits make the need
neighborhoods. to adapt to climate changes less of a necessity for
many in the city.
Sensitivity: The two communities are sensitive to
climate change because of high levels of poverty. Impacts: The location of these communities in low-
This poverty means that inhabitants do not pos- lands near rising rivers makes housing susceptible
sess the resources needed to effectively adapt to to flooding. This has led to the temporary resettle-
climate change and, with limited options, they are ment of inhabitants of these neighborhoods. There
Case Study Summaries  n  25
is also anecdotal evidence that violence is on the Drivers of Vulnerability
rise. Locals explained that it is commonly believed Exposure: Lake Enriquillo is exposed to the
that crime rates increase when temperatures rise same climate variables as the rest of the
and local hospitals have released information that country, including increasingly unpredictable
demonstrates this phenomenon. This relationship rainy seasons, a longer hurricane season and
cannot be causally linked; still, locals perceive it to longer dry seasons. However, the main visible
be true. There is also evidence of increased inci- exposure is the rising water levels of the lake.
dence of diarrhea and respiratory illness. Historically, the average size of the lake ranged
from 245 to 260 square kilometers, but now is
Desired Futures: Locals shared a desire to over- about 350 square kilometers. It is believed that
come poverty and relocate to better areas of the the additional rains accumulated during tropi-
city. cal storm Noel in 2007 caused the rise in water
levels, at least initially.
Success in Building Adaptation Coalitions:
Although the coalition has not yet received any Sensitivity: The areas around the lake are suffer-
financial support, they have been active try- ing from high levels of deforestation and the loss
ing to raise adaptation funds. The coalition has of flora and fauna. This leads to soil erosion and a
participated in a National Meeting on Adaptation general loss in fertility. Furthermore, these areas
and Risk Management held in Santo Domingo are highly reliant on the natural environment for
and had mobilized in response to the cholera their livelihoods, leaving activities such as agricul-
epidemic that broke out in Capotillo by help- ture, fishing and cattle raising as highly sensitive
ing clean wastewater and preventing the spread to climatic events. Persistent poverty in the region
of the disease. Furthermore, the coalition has is also a factor.
marshaled local resources and formed informal
partnerships to reduce vulnerability. This includes Adaptive Capacity: Despite losses in forest
building social capital in partnership with local cover and other vegetation, this region is still
grassroots organizations and developing human rich in natural resources. The case studies
capital through the public and private sector. The suggest that, compared to their urban counter-
May rainy season is often intense and can result parts, the communities in this region are rich in
in floods and landslides. The coalition partici- social capital and networks. Finally, there is the
pated in the 2010 rescue efforts and voiced their presence of livelihoods associated with the pub-
concerns with authorities about the resettlement lic sector and tourism, which are less sensitive
policy. These concerns included issues related to to climate change than natural resource based
developing resilience to future climate events and livelihoods.
preserving human dignity.
Impacts: The changing water levels and loss
of native forest and vegetation is leading to a
6.3.2. Lake Enriquillo, Dominican Republic loss in animal and fish species. Decreased soil
fertility and soil erosion has led to a decrease in
Lake Enriquillo is both the largest lake and the agriculture and livestock productivity. This loss
lowest altitudinal point in the Caribbean resting in productivity has a direct and negative impact
nearly 40 meters below sea level. The case study on incomes. In addition, reports of respiratory ill-
communities—La Descubierta and Bartolome— nesses and diarrhea are on the rise.
are located around the lake.
26  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Desired Futures: Communities envisaged a future 6.4. Paraguay20
with higher incomes and greater economic diver-
sification. The two regions of Paraguay chosen for the
case studies are located in the dry, savannah-like
Success in Building Adaptation Coalitions: The Chaco and the lusher southwest of the eastern
coalitions of the communities in Lake Enriquillo half of the country. The Chaco communities in-
have benefitted from extensive media coverage clude Villa Hayes and BenjamÃn Aceval in the de-
surrounding the rising water levels of the lake. This partment of Presidente Hayes and Ñeembucú, of
media coverage reached its pinnacle after heavy the eastern half, includes the towns of Pilar and
rains in May 2010 led to the rapid swelling of the Paso de Patria.
lake. As a result, USAID sought out areas affected
by these exposures to take part in a major adapta-
tion project. The coalition was able to communi- 6.4.1. Ñeembucú, Paraguay
cate with USAID and is now being considered for
this major initiative. The goals of this project are The two communities of Ñeembucú—Pilar and
to diversify economic activities and agriculture to- Paso de Patria—occupy wetland areas in south-
wards greater sustainability and less vulnerability; western Paraguay. Both towns are small and
to promote ecotourism; and to create, with local have urban and rural characteristics. They are
and civil society participation, a local community both located along major rivers, with Pilar located
defense network and environmental warning
system. At press time, the project was still only
a proposal, but indications were that it would go 20
All information pertaining to the Paraguay case study
forward in La Descubierta and surrounding areas. is taken from Instituto Desarrollo (2011).
PRESIDENTE
HAYES
CHACO
REGI O N
BenjamÃn Aceval
Villa Hayes
PARAGUAY
Villa Hayes
PRESIDENTE
Villa Hayes CASE STUDY MUNICIPALITIES
HAYES
DEPARTMENT CAPITALS
NATIONAL CAPITAL
ASUNCIÓN
Pilar ÑEEMBUCÚ
ÑEEMBUCÚ
Paso de Patria
Case Study Summaries  n  27
alongside the Paraguay River and Paso de Patria Adaptive Capacity: Members of these communi-
located where the Paraguay and Parana rivers ties often migrate to find work or pursue educa-
intersect. tion. In Pilar, with the loss of wetlands, farmers
have been shifting away from agriculture towards
livestock management. Paso de Patria has been
Drivers of Vulnerability developing the industries of trade and tourism,
Exposure: Changing weather patterns in south- taking advantage of the proximity of its relatively
western Paraguay are leading to the depletion wealthy neighbors across the river in Argentina.
of these traditional wetlands. Dry seasons have
grown longer, which is causing the dieback of Impacts: There has been a significant decline to
many of the marshes and other natural ecosys- natural fish stocks in the region, affecting one-
tems. When the rains do come, they tend to be fourth of the 2,000 fisherpersons in Ñeembucú.
more intense and have been known to cause flash In part, this has been compensated by the
flooding and an overflow of the Paraguay and creation of fishing subsidies at the national
Parana rivers. level during the fishing ban season (November-
December). Generally, agricultural productiv-
Sensitivity: Inhabitants of this region rely heav- ity in the region has declined as a result of the
ily on livestock raising, agriculture and fishing for loss of moisture in the wetlands and exhausted,
their livelihoods. Each of these activities is reliant eroded, nutrient poor soils. The wetland dieback
on the natural ecosystem, and therefore, highly has also led to greater competition between
sensitive to climate exposure. In Pilar, the biggest humans and native wildlife over the natural envi-
job creator is a single, large factory ( Manufactura ronment, leading to the decline of certain animal
Pilar), with few alternative economic opportunities. populations. Because of extended dry seasons
Farmers in this region tend to practice unsustain- that made rural livelihoods difficult, some families
able agricultural techniques such as slash-and- moved to riverbank slums exposing themselves
burn and, as a result, have depleted the soils and further to flood risk.
caused erosion. This has increased runoff from
farmlands into the rivers, leading to decreased wa- Desired Futures: These communities identified
ter quality and pollution. This area is also known many desired futures but the most consistently
for poor infrastructure generally, but especially mentioned was the desire to attain support, tech-
roads, which are predominantly unpaved. In urban nical and resource-based, from external institu-
areas, a lack of affordable land combined with tions, particularly governments. Fishermen voiced
high poverty rates has led to populations moving concern over their dwindling livelihood.
into the poor slums located in lowland areas near
the rivers, which are sensitive to flooding. Finally, Success in Building Adaptation Coalitions:
a problem that is widespread in Paraguay is the Generally, there was more interest in building
issue of political clientelism. This takes the form of coalitions in rural than in urban areas. This was
public and private leaders either directly collect- because of the more direct impact that climate
ing and hoarding resources or indirectly funneling exposure has had on livelihoods combined with
them to allies or others with longstanding relation- fewer options for diversification. Coalitions have
ships. This stifles development and adaptation approached municipal authorities about sup-
efforts as it leads to the inequitable distribution of port in terms of protecting waterways for fishing
adaptive capacity and risk management (see more and reducing the relative isolation of rural areas.
on inequitable adaptation in Section 7.4). Coalitions have not attained outside resources to
28  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
help build resilience to climate change, and facili- muddy or dusty depending on rainfall). Finally, like
tators have noted that this is due to the relatively most of Paraguay, the structure of political prefer-
small amount of time that coalitions have had to ence and clientelism is fully practiced in this region,
develop (to date, only a couple of months). Still, in leading to the inefficient distribution of resources.
the short-term, communication on the theme has
improved greatly between communities and local Adaptive Capacity: Communities in the Chaco
governments as a result of the nascent adaptation possess traditional knowledge on how to make
coalitions. the most of their lack of water. These techniques
include catchment systems as complex as roof-
top eaves collecting and retaining water, and as
6.4.2. Presidente Hayes, Paraguay simple as locals running outside on a rainy day.
Due to the proximity of Villa Hayes to the nation’s
Presidente Hayes is the region of the Chaco clos- capital, Asunción, there have been efforts to di-
est to the capital of Asunción. The Chaco makes versify the economy beyond livestock and to inte-
up the vast, dry and sparsely populated western grate more with the major city, including the most
half of Paraguay. Although it represents over half important steel plant in Paraguay. In BenjamÃn
of the total landmass of Paraguay, it contains Aceval, the soils are much more productive than
less than ten percent of the total population. It is other parts of the Chaco, so there is potential to
a region well known for its lack of water. There diversify agriculture production beyond the sugar
were two communities from this region involved industry.
in the case study. Villa Hayes is a town with both
urban and rural attributes, while the community of Impacts: Population growth combined with de-
BenjamÃn Aceval is purely rural. creased water availability has led to competition
over resources and the decreased productivity of
livestock and agriculture activities, including sug-
Drivers of Vulnerability ar in BenjamÃn Aceval. In Villa Hayes, there has
Exposure: This region has traditionally been also been the forced resettlement of urban slum
exposed to very long dry spells and near perma- dwellers when river levels swell. These changes
nent drought like conditions, but climate change to the river have also led to a loss in fish stocks.
has caused dry seasons to become even longer. BenjamÃn Aceval has faced food security issues
In addition, there have been periodic but intense because of its isolation during the rainy season
rainfalls, which lead to flash flooding. and lack of crop production the rest of the year.
Sensitivity: Due to the predominantly rural makeup Desired Futures: Both communities seek to
of these two communities, they are both engaged diversify their economic activities and attain more
in livelihoods wholly dependent on the natural government support in times of climate stress,
environment—livestock in Villa Hayes and organic especially for infrastructure. In the urban areas of
sugar production in BenjamÃn Aceval, respectively. Villa Hayes, the coalitions were focused on water
There are very few alternative productive activi- related issues such as the lack of drinking water
ties in the latter. Some of the poor urban areas and the risk of flooding in the poor slums on the
of Villa Hayes are slums that rest on the banks banks of the Paraguay River.
of the Paraguay River. Both communities lack a
consistent supply of potable water and have poor Success in Building Adaptation Coalitions: There
infrastructure, most notably their dirt roads (either is a strong interest in both communities for the
Case Study Summaries  n  29
coalitions to continue functioning. Awareness of 6.5.1. Peruvian Altiplano
the role that climate change plays in vulnerability
has increased markedly. As a result, coalitions The case study areas of Moho and Huancané
have successfully identified alternative liveli- are located in the department of Puno on the
hood options, particularly in the private sector in northwestern side of Lake Titicaca and rest nearly
Asunción, for locals whose assets are affected by 4,000 meters above sea level.
climate change. This has strengthened both social
and financial capitals through the greater connec-
tivity and increased incomes that have resulted Drivers of Vulnerability
from labor migration and remittances. Exposure: The communities in Puno are exposed
to rising temperatures, increased precipitation
and as a result, times of both water abundance
6.5. Peru21 and water scarcity. Longer dry seasons, coupled
with shorter, but more intense rainy seasons, have
Peru is a vast and geographically diverse country made efficient water use a challenge.
with a variety of climates, topographies and cul-
tures. In order to take advantage of this diversity, Sensitivity: Cattle raising is the main source of
two regions were selected in the case studies for income in these communities, though crops are
their very different characteristics. This includes
two Aymara communities from the Peruvian alti-
plano and two Machiguenga communities from 21
All information pertaining to the Peru case study is
the Amazon, respectively. taken from CONDESAN (2011).
Echarati
LA CONVENCIÓN
Echarati CASE STUDY MUNICIPALITIES
REGION CAPITALS
ECHARATI
NATIONAL CAPITAL
LA
CONVENCIÓN CUSCO
PERU
Cusco
Huancané
LIMA HUANCANÉ
CUSCO
MOHO
Cusco HUANCANÉ
Puno
PUNO
Puno PUNO
Huayrapata
MOHO
30  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
grown and harvested for subsistence. Alpaca and a space for an improvement in the relationship
llama production has decreased over the years as between Moho and the municipality. Currently,
cattle production has increased and become more there are also plans to integrate this committee
profitable. Still, some farmers, especially in Moho into the Huancané Provincial Committee of Farm
keep alpaca and llama for their meat and fiber. Management (COPROGAH—Comite Provincial
Predictably, these communities are also very poor Ganaria de Huancané). Recently, a new govern-
and have reported having very little communication ment has come into power and local authorities
or connectivity with the local municipalities. In fact, have changed and it, therefore, remains to be
due to civil society interventions, these communi- seen if the municipal environmental committee
ties are more connected to regional and national continues to develop. In addition, coalitions have
markets than they are to their own municipality. succeeded in attaining technical support from
CARE Peru22 and financial support from AGRO
Adaptive Capacity: The communities in this region RURAL23 and FONDOEMPLEO24 for a livestock-
are looking to diversify their livestock in order to fattening project.
reduce the risk from shifting market prices and
variable weather. Local producers are represented
by highly organized producer organizations that 6.5.2. Peruvian Amazon
help link local goods to national and regional
markets. This task is made easier by the relatively Just downriver from the ancient city of Machu
good road access to this region. Picchu in the upper and lower Urubamba River,
live the Machiguenga people. The Machiguenga
Impacts: There have been decreases in the yields is an indigenous group that occupies parts of the
of subsistence agriculture thanks to a myriad of Peruvian Amazon. The region’s two case study
climatic factors, which have led to increased food communities are Matoriato and Timpia. They are
insecurity. More alarming, from an economic similar in many respects except that the latter
standpoint, is the decreasing llama population in has about twice the population size as the for-
the region. This is likely due to a loss of ideal graz- mer—720 versus 340 people.
ing habitat. Communities have also reported an
increase in human illnesses, specifically diarrhea
and respiratory problems. Drivers of Vulnerability
Exposure: Over 90% of respondents from the
Desired Futures: The communities of Puno desire community observed some form of climate
the increased productivity of livestock and crops change occurring, including changing precipita-
as well as support from the municipality in build- tion patterns, increasing cold spells and changing
ing resilience. seasons, although none of them identified “cli-
mate change� as a cause. The water levels of the
Success in Building Adaptation Coalitions: As rivers Timpia, Sihuaniro and Urubamba are rising.
a result of the coalition formation process, a
municipal environmental committee was formed
22
CARE Peru
to respond to issues such as climate change. 23
Programa de Desarrollo Productivo Agrario Rural
The committee is comprised of representatives
(AGRO RURAL)
from several communities. In the case of Moho, 24
Fondo Nacional de Capacitacion Laboral y
the formation of this committee, with the com- Promocion del Empleo (FONDOEMPLEO)
Case Study Summaries  n  31
Sensitivity: The Machiguenga people are traditional colds, tonsillitis, bronchitis and, the most com-
hunters and gatherers who have historically relied mon, diarrhea. Focus group discussions reveal
on their forests and rivers for a variety of animal that locals believe these impacts are a result
and fish species. More recently they have begun of changes in the weather, poor land manage-
small plot agriculture to produce coffee, cacao, an- ment practices, pollution caused by a series of
natto, banana and the more traditional yucca root. spills from the gas pipeline and angry spirits.
These communities are highly isolated from the The climate variability has made it more difficult
rest of Peruvian society, and their settlements are for locals to predict growing, hunting and fishing
only accessible through a combination of driving, seasons, rendering traditional knowledge of the
boating and walking. Deforestation of the Amazon natural environment unreliable.
is occurring as a result of climate change in combi-
nation with the expansion of the agricultural frontier Desired Futures: Locals aspire for a more pro-
and the presence of extractive industries for timber ductive natural ecosystem with more ample and
and natural gas. The Camisea natural gas project diverse supplies of animals to hunt and fish.
that extracts from this region has suffered several
damaging spills from ruptured pipelines, leading to Success in Building Adaptation Coalitions: These
the pollution of local water sources. communities have not taken steps to build coali-
tions. The research period coincided with mas-
Adaptive Capacity: Locals have engaged in sive protests against the Camisea Natural Gas
several adaptation projects. These include: Project, which interrupted the coalition building
building fish farms and raising small animals process. The conflicts between communities
such as chickens, ducks, turkeys, and guinea and the national gas project created a volatile
pigs; reforestation; training in sustainable coffee environment that locals felt would be danger-
production; improving water disbursement infra- ous for researchers. Transportation costs and
structure; construction of a health post; some the ongoing volatility prevented researchers from
erosion control; and planning to construct a returning. Therefore, ideas for future actions were
damn. Locals have a relatively strong voice, given discussed and community leaders voiced their
their isolation. This is due to their representation interest in coalition building, but there were no for-
by the Machiguenga Council of the Urubamba mal agreements on who should form the coalition
River25 (COMARU), an organization promoting and with what external actors they should partner.
local indigenous rights. Nevertheless, the researchers, who know these
communities well, believe that coalition work has
Impacts: The increases to river water levels are great potential in the region and should continue.
likely attributable to shorter, more intense rainfalls They believe that coalitions will provide locals with
combined with less forest and vegetation cover to the opportunity to directly interact with external
absorb water and prevent runoff. Flora and fauna actors at the regional and national level, some-
diversity has decreased, and community mem- thing that was missing in this research.
bers commented that fish population levels are
lower than anytime they can remember. Animal
species for hunting have become more and more
25
Consejo Machiguenga del Rio Urubamba (COMARU)
scarce. Pests and disease have ravaged coffee
is the largest indigenous Machiguenga organiza-
production, and other crops are experiencing tion representing 30 native communities. They have
decreasing yields as well. More frightening is the become well known for their persistent resistance to
increase in illnesses such as coughing, the flu, the Comisea natural gas extraction project.
32  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
6.6. General Conclusions more of a long-term outcome, but evidence
suggests that this support can happen
Based on results from field-testing the ACF, it has quickly too.
been shown that this approach is an effective
mechanism for building community resilience to
climate change. Short-term outcomes demon- 6.7. Risks
strate successes in the building of Bridging and
Bonding Social Capital, mobilization of internal There are some limitations and risks associated
resources and increased access to external with the ACF that should be taken into account
resources, including knowledge. These outcomes when planning. First, social indicators are notori-
include the following: ously difficult to quantify and this is also true of
measuring Bridging and Bonding Social Capital.
â– â– The majority of communities identified and A monitoring mechanism is included in the final
formed coalitions with the stated aim of stage of the Toolkit, but even with this as a guide,
reducing vulnerability to climate change. The demonstrating the totality of results in all of their
formation of these groups creates long-term, forms remains difficult.
local champions for building climate resilience
and reducing vulnerability. Second, one objective of this approach is to orga-
â– â– In all five country case studies, communi- nize and mobilize previously marginalized commu-
ties increased their levels of communication nities or social groups. Giving voice to populations
with nonlocal actors and raised their internal that traditionally have not had it may ruffle some
awareness of climate change and its dangers. feathers in certain established circles or disrupt
â– â– In all five countries the building of coalitions beneficial and exclusive political arrangements. In
led to some form of agreement with external other words, such an approach has the capacity to
institutions and, as a result, strengthened disrupt the status quo and, depending on perspec-
local-nonlocal alliances. tive, this could be for the better or for the worse.
â– â– In about 75% of the communities tested, local
community capitals were mobilized in order Third, as in the case of a highly conflictive area like
to adapt to climate change. Tartagal in Northern Argentina, this approach re-
â– â– In three out of five countries, communities quires a certain honest broker to begin to facilitate
were able to gain access to financial or mate- the process. Developing partnerships requires a
rial resources to adapt to climate change, certain amount of trust within and between coali-
despite having only a few months for the tions. If a basic level of trust is not attainable, as
coalitions to form and strengthen. It would is arguably the case in Tartagal, developing this
usually be expected that financial or material framework, or any other adaptation strategy for
investment into local communities would be that matter, could prove difficult or impossible.
Case Study Summaries  n  33
34  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
7.  Lessons Learned
Besides the general conclusion that forming adaptation coalitions is an effective
means to building community resilience to climate change, there were several other
interesting findings derived from the case studies.
7.1. Social Impacts of Climate season catchment has become more difficult, and
Change are Diverse, Long-term and during the dry season water is simply not as read-
Uncertain ily available. In the communities of Los Menucos
in Argentina, drought has always been a chal-
Evidence from the field studies support the as- lenge, and this continues to be the case, however
sumption that the social impacts from climate with more intense rainfall, flash flooding is also
change are highly diverse and locally specific, increasingly an issue. In other words, the first ex-
long-term, and difficult to predict. ample is a region that is threatened by increased
precipitation yet faces serious water shortages,
and the second example is an arid region forced
7.1.1. Diverse Impacts to confront an overabundance of water.
The case studies verify that climate change has Additional layers of complexity compound these
very diverse sub-regional and local impacts that diverse impacts. Even communities exposed to
often contradict regional trends. For example, 15 similar climatic events will be affected in very dif-
of 24 communities in this case study reported ferent ways as a result of having variable sources
being threatened by both floods AND droughts. of vulnerability. In the Dominican Republic, both
In the Bolivian altiplano, located near the tropical the urban areas of northern Santo Domingo and
glaciers that supply water to large portions of the the rural areas surrounding Lake Enriquillo are
country, there is actually an abundance of water threatened by increased precipitation and rising
resources. As warmer weather and rains melt water levels; the latter faces a rising lake and the
the glaciers, these water resources flow through former is confronted by a rising shoreline from
the communities, yet there are still water short- the nearby Isabela and Ozama rivers. In the rural
ages. One reason for this is that despite increased areas, the increased precipitation is having delete-
rainfall during the rainy season from increasingly rious consequences on the traditional livelihoods
intense downpours, the dry season has actu- of livestock management, fishing and agriculture.
ally become longer. As a result, during the rainy Santo Dominicans, however, do not depend as
Lessons Learned  n  35
much on the natural environment for their liveli- to revisit their challenges periodically and revise
hoods, and rely more on industry. However, in the their adaptation strategies appropriately. By creat-
city, several slums are located in lowlands near ing or strengthening adaptation coalitions, and
the rivers putting these homes at risk of flooding. thereby forming institutions dedicated to respond-
To put simply, in the rural areas, climate change ing to climate change vulnerability over the long-
adaptation is a question of livelihoods; in the ur- term, communities were able to sidestep the need
ban areas it is a question of housing. Furthermore, for long-term planning.
the threat to natural resource based livelihoods
often leads to rural to urban migration, as in the Long-term impacts can also be very different, or
Dominican Republic. These migrants are typi- even contrary to short-term impacts. For ex-
cally poor when they arrive in the cities and must ample, in the Bolivian communities of Chunavi
find cheap housing; this cheap housing, in turn, and Condoriri, increased rainfall and the building
tends to be located in lowland areas threatened of dams has increased the availability of water re-
by floods or on slopes threatened by landslides. sources for these communities. The communities
In the end, these migrants ended up escaping have, in turn, begun adapting to these changes by
one type of impact related to flooding only to be planting potatoes at higher elevations to maintain
confronted by another. harvests, and expanding irrigation systems and
llama-grazing areas. However, increased temper-
atures and rainfall is leading to the disappearance
7.1.2. Long-Term Impacts of the mountaintop glaciers of Tuni and Condoriri
that supply water to the region. This has prompt-
Another distinguishing characteristic of climate ed the construction of dams to regulate the
change impacts, supported by the case stud- glacier melt for year-round use. These communi-
ies, is they are often long-term. For example, it ties, situated on the front lines of threatened water
has been predicted that both the frequency and availability, do not feel threatened, in fact, they feel
intensity of storms in the Caribbean will increase emboldened. In several focus group discussions
due to climate change. Therefore, the increased from these areas, locals voiced their contented-
frequency of storms in the Caribbean is not ness with climate change. The reason was that
just a temporary rough spot that countries can climate change increased the amount of attention
withstand for a few years, before returning to and investment their communities have received.
normalcy.26 Likewise, in the Paraguayan state of However, as these water resources continue to
Ñeembucú, the drying of wetlands that communi- be diminished, these communities will inevitably
ties are facing is not temporary, but is likely to be be faced with water shortfalls. Adaptation efforts
a permanent fixture of the seasons. The perma- in these areas, whether autonomous or planned,
nence of these changes means that communities must therefore focus on the long-term prospect
that have traditionally adapted in the short-term of water scarcity, and not just short- and medium-
must now adapt for the long-term as well. This term conditions.
change in thinking is a major challenge. In each of
the five case study countries, communities tended
to focus on present needs and found it more dif- 26
This does not refer to the El Niño/La Niña (ENSO)
ficult to think in terms of years or decades, rather
phenomenon, which does lead to temporary in-
than weeks or months. We found that the ACF, creases in the frequency and intensity of Caribbean
specifically its longer-term organization and alli- storms. Because of this the Caribbean hurricane
ances with external actors, allowed communities season has 15-year highs and lows.
36  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
7.1.3. Uncertain Impacts risks associated with climate change, but that it
is also limited in certain respects. As described
In any venture, it is important to plan for the un- below, first, the definition of exposure is mislead-
known. Unforeseen events transpire that force in- ing to community groups, second, commonly
dividuals and communities to evolve with shifting used definitions of sensitivity are incomplete and
circumstances. However, climate change makes should be expanded to include social sensitivities
this unpredictability more of a threat, especially for like conflict, and third, the definitions of adaptive
communities that have come to rely on the pre- capacity are theoretical and vague and should be
dictability of the weather for their livelihoods. The developed further.
Machiguenga indigenous people of the Peruvian
Amazon are traditional hunters, fishers and gath-
erers who have developed hundreds of years of 7.2.1. Exposure
knowledge on how and where to find food. These
techniques and practices are tried and true, that Exposure is defined as the character, magnitude,
is, so long as the natural environment is predict- and rate of climate variation to which a system
able and understood. is exposed (IPCC 2001, Glossary). A World
Bank (WB 2010c) report goes on to say that,
However, climate change is full of uncertainty. “Populations will be vulnerable when exposed to
Scientists are unable to find consensus on the extreme weather events; increased water insecuri-
impact that humans are having on global warm- ty; sea-level rise; reduced agricultural productivity;
ing, climate models cannot account for all of the increased health risk; large-scale singularities and
relevant factors to accurately predict weather aggregate impacts that worsen over time (e.g.,
changes, data collection is woefully behind and temperature rise).� However this definition groups
seldom reaches vulnerable communities and together weather events, like temperature rise,
climatic events are increasingly variable. To relate with the eventual impacts from these events, like
this to a specific case, we see in the present day reduced agricultural productivity. In our develop-
that the Machiguenga are faced with fewer fish in ment of the ACF, we found this grouping as mis-
the river, fewer animals in the jungle and are find- leading and problematic. For example, the loss of
ing their very way of life threatened. The combined agricultural productivity is a result of the interaction
changes to the climate and the degradation of between exposures like drought with sensitivities
parts of the Amazon ecosystem through resource like infertile soils caused by soil erosion and land
extraction and other land use changes, have led use changes. In other words, to use this broad
to an uncertainty that has reduced the value of definition of exposure is to group contributors to
one of the Machiguenga’s greatest assets, their vulnerability with effects, in determining vulner-
traditional knowledge. ability. Since one of the purposes of determining
vulnerability is to understand how impacts are felt
and how coalitions could be formed, we sepa-
7.2. Developing a Practical rated the outcomes from the causes and created
Vulnerability Framework another “impact� category. See the example in
Table 2 of how these terms were arranged in
We found through the field research that the the Argentina case study. Another reason to do
IPCC vulnerability framework of exposure, this, is that the vulnerability framework is used to
sensitivity and adaptive capacity is practical as determine how a given system and population is
a general guide to identifying the problems and vulnerable to climate change, and not to determine
Lessons Learned  n  37
how communities are already impacted. However, have moved to substitute subsistence agriculture,
since communities are already feeling climate cattle raising and hunting and fishing with major
impacts, we decided to include current “impacts� extractive industries. This contributed to certain
as another important indicator to measure due to livelihood losses, and as a consequence, open-
its interrelation with vulnerability. conflict between big businesses operating in the
area and traditional inhabitants, many of whom
were forced to emigrate. With a changing climate,
7.2.2. Sensitivity these sensitivities were compounded to contribute
to the further loss of livelihoods for locals, high
The IPCC (2001) defines sensitivity as “the degree levels of inequality and poverty, an uptick in cases
to which a system will respond to a given change of malaria and dengue and additional conflict. In
in climate, including beneficial and harmful 1999 and again in 2002–2003, the city of Tartagal
effects.� However, in application, community was the scene of violent conflict. Many blamed
groups and researchers alike found it difficult to this conflict on dissatisfaction over high levels of
distinguish between a community “sensitivity� unemployment (Bendini, et al. 2010). In 2006, in-
that is beneficial and an “adaptive capacity.� For tense rainfalls led to landslides and an overflow of
example, if community resources are mobilized as the Tartagal River. This led to wide spread flooding
a response to climate exposure, is that a “sensitiv- and caused serious damage to livelihoods and the
ity� that is beneficial or “adaptive capacity?� By city’s infrastructure. In 2009, this happened again,
contrast, is poverty, which is a trait that increases but with more severe consequences, including
vulnerability, a “sensitivity� or a lack of “adaptive several confirmed deaths and the disappearances
capacity?� Because of this confusion, we have of locals whose bodies were not recovered. Such
adapted IPCC’s original definition of sensitivity to high-levels of conflict severely limit the ability of
include only harmful effects. Beneficial effects are communities to work together and build partner-
included under the category of adaptive capacity. ships, hence severely limiting their capacity to
adapt. As will be described in section 7.6, the ACF
The importance of sensitivity in determining has been shown to reduce social conflict in certain
vulnerability cannot be overstated, and should situations.
include social factors, especially the existence of
conflict. This was evident in the Argentine com-
munities of Tartagal, as shown in Table 2, which 7.2.3. Adaptive Capacity
were arguably the most at risk to climate change
of the 24 communities involved in this study. The The IPCC (2001) defines adaptive capacity as
reason for this was simple: Tartagal suffers from “the degree to which adjustments in practices,
high climate sensitivity. In fact, sensitivities like processes, or structures can moderate or offset
land-use changes were exacerbated by climate the potential for damage or take advantage of op-
change to the point where it was impossible to portunities created by a given change in climate.�
decipher which impacts resulted from which fac- However, measuring the capacity to adapt can be
tor. Specifically, climate changes combined with challenging. The World Bank (2010c) elaborates
the expansion of the soy frontier and exploration that, “The climate change literature is filled with
for gas and oil have contributed to rapid deforesta- attempts to develop specific indices of adaptive
tion and the displacement of numerous peasants capacity that take into account all the factors that
and indigenous groups. This has led to high levels may go into adaptation and enhancement of resil-
of conflict, where powerful and vested interests ience to climate hazards, but it has proven difficult
38  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Municipality Exposure Sensitivity Adaptive Capacity Impacts Table 2 >
Los Menucos • Drought • Extractive industries • Traditionalland • Challenges to livestock raising
Argentina
(Patagonia) • Infrequent but (mining) and natural management (loss of grazing land) Case Study
• Los Menucos intense rains resource livelihoods • Sparsely populated • Health impacts Vulnerability
• Sierra Colorada • Flash flooding (livestock) • History of working • Territorial movements by families Matrix
• Ministro Ramos • Ag. expansion together to resolve
MejÃa • International livestock conflicts
markets • Temporary internal
migration
Tartagal (North) • Increased precipi- • Land use changes • Natural resource • Loss of productive lines like
• Tartagal tation and intensity • Deforestation wealth (oil and agriculture for others like gas
• Salvador • River level rise • Ag Expansion (soy) gas) exploration
• Mazza • Flooding • Gas exploration • Highly organized • Resettlement/expulsion of peasant
• Aguaray • Landslides • High levels of conflict interests and indigenous communities and
• Sporadic drought (little trust in the State) • Extra regional extra-regional migration
• Soil erosion migration • Increased levels of conflict
• Inequality (concen- • Financial wealth • High levels of poverty
trated wealth) • Inequality (as a result)
• Dengue and malaria
to develop simple typologies, especially when the very activities that made people vulnerable in the
data from the on-the-ground field studies remains first place. For example, in RÃo Negro, Argentina
lacking (Kates 2000; Yohe and Tol 2002; Smit and and other arid regions of Patagonia, vulnerable
Wandel 2006).� indigenous populations use state funds to replace
their lost livestock with others, as the law dictates
In developing the ACF on the ground, the this is the only way they can keep their ancestral
Community Capitals Framework and its seven lands and not have to sell them. While replacing
capitals were used to measure adaptive capacity. livestock lost in the event of a natural disaster can
Using this framework was helpful in defining adap- be a helpful response to protect livelihoods, doing
tive capacity and identifying resources and assets the same for a landscape undergoing long-term
that are often taken for granted or not considered desertification can be problematic. If an ecosys-
valuable, even by locals. In other words, it was not tem is becoming less habitable for a particular
only a way to measure adaptive capacity but also crop or animal over the long-term and there is
a means to build it by mobilizing these resources. little chance that it will ever be productive again,
then guaranteeing this livelihood would lead to
inefficiencies, lower yields, less sustainability and
7.3. The Creation of Perverse continued vulnerability. A more sound strategy
Incentives through Climate under this scenario would be to ensure land rights
Interventions AND provide support in developing alternative
productive strategies. Generally speaking, when
The case studies have shown that some inter- designing adaptation strategies it is important to
ventions designed to respond to impacts exac- differentiate between one-time natural disasters
erbated by climate change can actually increase and long-term climate changes. The former rep-
community vulnerability. This happens when per- resents an event that will not prevent a return to
verse incentives are created through public or pri- the status quo, while the latter represents perma-
vate policies (or the lack of them) that promote the nent systemic change. Other examples of these
Lessons Learned  n  39
perverse incentives identified in the case studies 7.4. Inequitable Adaptation
include the following: Contributes to Vulnerability
â– â– In the case of Paraguayan fishers, annual It is common knowledge that diversified econo-
subsidies are paid to compensate for income mies, economic growth and access to resources
lost during a two-month fishing ban period. build resilience to climate change. However, the
However, this compensation may encourage case study examples demonstrate that if benefits
the continuation of fishing when that liveli- are not distributed in an equal way, they will actu-
hood has become less and less viable. ally lead to greater vulnerability to climate change.
â– â– In Paraguay and Argentina, increased use
of agrochemicals in response to increased Agrawal (2010) defines diversification as the distri-
climate variability and declining soil fertility, as bution of risk across asset classes. This principle
well as poor state regulation of agrochemical can be applied to households, social groups and
use, contributes to increased water contami- communities. Certainly evidence from ACF case
nation and, as a consequence, increased studies has demonstrated that diversification is
sensitivity to climate exposure. an important strategy for building community
â– â– In the Paraguayan Chaco, due to market resilience to climate change. In the comparative
incentives, owners of large cattle ranches analysis of urban and rural areas from Paraguay
build dams to retain water from seasonal and the Dominican Republic, it was clear that
river floods. In the eastern Ñeembucú region, rural communities are more vulnerable than their
cattlemen and agriculturalists build channels urban counterparts precisely because of the in-
to drain wetlands in order to increase the creased livelihood diversity in cities. The two rural
amount of available land for agriculture areas of the Dominican study, La Descubierta
and pasture. These activities, while helping and Bartolome, were highly dependent on three
short-term profitability in the face of water livelihood activities all of which were vulnerable
abundance, increase the vulnerability of other to climate change, namely agriculture, livestock
social groups such as small landholders and and fishing. However, the urban economies of
fisherpersons. Guachupita and La Zurza in the north of Santo
Domingo were much more diverse and as a result
Of course, no adaptation strategy should be less vulnerable to climate change.
deemed appropriate or inappropriate for ev-
ery situation. For example, in contrast to the The primary reason that the two rural areas were
Paraguayan Chaco scenario above, in the Andes, more vulnerable to climate change was that most
building dams has been a highly effective strat- of their livelihood strategies were reliant on the
egy for maintaining water supplies in the face of natural environment, which is much more sensi-
glacial retreat. Therefore, what is important is that tive to climate change exposure than non-natural
context specific realities and possible long-term resource based livelihoods. Evidence of this dy-
consequences are taken into account when namic is present across the five countries partici-
designing adaptation policies. To sum, while it pating in the case studies. This dynamic is further
is easy to fault vulnerable communities for not supported in the literature, which has repeatedly
adapting to longer-term climate change impacts, demonstrated that communities whose livelihoods
it is often government, civil society and donor rely on the natural environment are the most vul-
interventions or market incentives that encourage nerable to climate change (for example see World
maladaptive livelihood strategies. Bank 2010a, 2010c, and 2010e).
40  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
Still, case study results show that even economi- unequal diversification leading to sensitivity was
cally diverse communities can be highly vulner- also evidenced in the Dominican Republic. In this
able to climate change if accompanied by high case, rural communities were highly knowledge-
levels of inequality. In Salta of northern Argentina, able about the impacts, reality and need to adapt
communities were highly vulnerable to climate to climate change and went about taking action.
change despite the diversifying of the economy By contrast, urban communities who perceived
from one of mainly livestock raising and sustain- themselves to be much less affected by climatic
able forest practices to one of soy agriculture, changes were also less compelled to act despite
oil and natural gas exploration and logging. This greater access to information. This left specific
diversification had brought enormous wealth to climate vulnerable communities, like riverbank
the region, but it was concentrated in the hands slums, with less traction when advocating for
of specific groups and, as a result, came at a adaptive actions.
high cost to others who use the land. More and
more resources were poured into expanding the
soy frontier, increasing mineral exploration and 7.5. The Many Faces of Migration
harvesting forest materials. As a consequence,
forests were cut down and natural ecosystems A large amount of literature27 rightly suggests
were destroyed. This led to soil erosion, land deg- that migration is a climate change impact and/or
radation and the pollution of water resources. This adaptive strategy. The ACF case studies sup-
higher sensitivity led to greater damages from port both assertions. However, case studies also
the floods that hit the region in 2006 and 2009. show that migration is a source of sensitivity that
These transformations have left the traditional increases climate change vulnerability.
livestock raising and forest communities without
viable livelihood options, forcing many of these
people to resettle. In addition, the great disparity 7.5.1. Migration is a Climate Change
in incomes and wealth contributed to resentment Impact and Adaptive Strategy
and violence on at least two occasions, in 1999
and 2002–2003. The issue of migration and climate change is
both complex and hotly debated. In much of the
Northern Argentina is an extreme case, but diver- literature, migration is described as the result of
sification when coupled with inequality was also environmental threats. In the aftermath of extreme
shown to contribute to reducing adaptive capacity weather events there has been a well-documented
in other case study regions. In three communi- history of populations being internally or externally
ties in the Bolivian altiplano —Amachuma Grande, displaced, leading to “environmental refugees.�
Huancapampa and Pueblo de Palca—gold min-
ing had become an important industry and took In the aftermath of non-extreme weather events,
precedence over traditional potato farming and al- the causal link between climate and human
paca herding. However, the fact that mining is not mobility is less clear. In such cases, there are
highly exposed to climate changes has left this other contributing factors such as internal stress-
part of the community uninterested in investing ors like poverty or poor schooling and external
time or effort into adapting to it. This happened
despite the fact that some members of the com- 27
For a good summary of the literature and the debates
munity, particularly women, still relied overwhelm- surrounding migration and climate change see World
ingly on agriculture and livestock. This dynamic of Bank 2010e: Chapter 4.
Lessons Learned  n  41
opportunities such as economic or educational absent and efforts to make community decisions
options in urban areas. The causal link between or develop adaptation strategies without them
migration and long-term climate change (which proved difficult. Furthermore, their absence also
is not a singular event) is weaker still, yet when a meant they were not available to engage in local
totality of vulnerabilities is considered it is clear livelihood activities, leading to an increased burden
that people migrate in response to them. Agrawal on the women and children who were more likely
(2010), by contrast, defines human mobility as the to stay behind. This increased burden, exacerbat-
distribution of risk across space, which is a form of ed by difficult climate changes, meant that those
adaptation. These competing narratives suggest who stayed in the community did not have the time
that climate related migration can be the result of nor resources to engage seriously in organizing,
an internal push from the communities (an im- building social capital, mobilizing assets or gener-
pact) or an external pull towards opportunities (an ally adapting to climate change, despite a clear
adaptive strategy). In other words, migration can recognition of the threat. These factors demon-
be categorized as both a largely negative or largely strate that migration is not only a climate change
positive response. impact and adaptive strategy, but also a source of
vulnerability. It seems that human mobility is even
Evidence from the case studies suggests that mo- more complex than originally thought.
bility is a consequence of both opportunities and
threats. In the case of the lowland, flood-prone,
urban areas in the Dominican Republic and areas 7.6. The Adaptation Coalition
in Northern Argentina exposed to landslides, the Framework as a Tool of Conflict
idea of climate “refugees� could certainly be ap- Prevention
plied. In other areas, like the Bolivian highlands,
migration is more a result of economic incentives While testing this framework in upland communi-
from gold mining, where monthly incomes can ties in Bolivia, another application for the ACF
reach between US$500 and US1,000. This is a was accidentally discovered. Communities of
relative fortune in rural Bolivia. By looking at the the Valles Alto Andino region, like Huancapampa
existing literature and the real life evidence from and Amachuma Grande, are uniquely situated
the five-country case study, one can safely assert between the primary water reserve for the region
that migration is both an adaptation strategy and - the glaciers of Mururata - and the main des-
a climate change impact. tination for these resources - larger population
centers of Palca and the gold mines that rely on
this water. Upstream from these villages is a small
7.5.2. Migration Increases Vulnerability to community, Choquecota, which has first access
Climate Change to these glacial resources and is responsible for
allocating water to the downstream communities.
Case study results suggest that migration can fall The placement of Huancapampa and Amachuma
under the category of sensitivity as well, thus con- Grande in between the source and primary
tributing to vulnerability. In Bolivia, a major inhibitor destination of water resources has left these
to adaptation was the consistent migration of com- communities stuck between the proverbial rock
munity leadership to urban areas for employment and a hard place. This is because they do not
opportunities. In these cases, migration led to a have direct access to the water, nor the collective
sort of local “leadership drain� where many of the power to demand greater supplies. As a result,
communities’ leaders and decision makers were these communities have a history of disputes
42  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
with Choquecota. Combining this history with EPSAS had developed a strategy of engagement
the increased scarcity of water resources due to to reduce the risk of conflict in the region. This
climate change and the resultant tropical glacial strategy entailed three major objectives:
retreat, the situation is rife with opportunity for ad-
ditional conflict, even of the violent sort. 1. Establish a direct relationship with municipal
governments and indigenous groups in the
Studies have shown a very weak correlation be- region.
tween climate change and violence, though for 2. Increase EPSAS’ knowledge of the local con-
years many people have been sounding alarms text and the Andean culture.
that this is a possibility (refer to World Bank 3. Implement projects in partnership with local
2010e Chapter 3 for a good summary and analy- leaders that directly benefitted local com-
sis of this literature). However, in Peru, violent munities.
protests have erupted under similar conditions to
those of the studied communities in Bolivia (ANA By coincidence, the objectives of the ACF ran par-
2010). allel to EPSAS’ objectives, but from the perspec-
tive of the community instead of the government. It
In the Bolivian province of Los Andes a similar did not take long for the communities and EPSAS
situation exists. In this region, the Tuni-Condoriri to realize they could help each other by enter-
glaciers provide massive water supplies to the ma- ing into partnerships around common desired
jor population centers of La Paz and El Alto, and futures. Over the course of implementing the ACF
upstream communities in Los Andes, like Chunavi in this region, EPSAS was able to become further
and Condoriri, are caught in between the main integrated with the communities and as a result,
supply and demand for this water. This is a similar the communities could directly voice their con-
situation to the example from Palca, but with even cerns and needs to planners. In the end, EPSAS’
more opportunity for conflict given the increased strategy influenced the development of adaptation
importance of water arriving to the capital. coalitions and lessons attained from this experi-
However, in this region, rather than specific com- ence are directly reflected in the Toolkit. Although
munities controlling water sources, it is EPSAS, the ACF was not developed as a conflict preven-
the public firm in charge of providing potable water tion tool, it is clear from this experience that it can
to the region. Taking these threats into account, be useful as one.
Lessons Learned  n  43
44  n  Building Community Resilience to Climate Change: Testing the Adaptation Coalition Framework in Latin America
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THE WORLD BANK
SOCIAL DEVELOPMENT UNIT
LATIN AMERICA AND CARIBBEAN REGION