rethinkinging the context of coping: an exploration of vulnerability to climate change in rural...
TRANSCRIPT
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Rethinking the context of coping: anexploration of vulnerability to climate
change in rural Bangladesh
Alison Wright
MSc International Development2008/2009
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Contents
1. Introduction......................................................................3
1.Introduction
This study is primarily motivated by the concern that climate change is
disproportionately affecting some of the worlds poorest communities,
exacerbating existing vulnerabilities and creating new ones. Within
the development community, climate change is increasingly being
recognised both as a threat to progress on poverty reduction and the
Millennium Development Goals (MDGs) (Tanner & Mitchell,2008), and
as a violation of justice and rights (Adger & Paavola,2006).
Significantly, these concerns are also beginning to be acknowledged
by policy makers looking to address the issues resulting from a
changing climate.
Until recently, the pivotal issue within the climate change debate was
mitigation (Fussel & Klein,2006). While limiting greenhouse gas
emissions remains a priority, adaptation to climate change is
increasingly seen as an essential strand of policy at both national and
international levels (UNFCCC,2007). The acknowledgement that
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climate change impacts are already being felt, and that further
changes are now inevitable has moved adaptation from a long term
option of last resort to an urgent imperative (IISD,2003)
Initial adaptation attempts were dominated by top-down ex ante
strategies: solutions such as improving seed varieties and flood
defences reflected the early dominance of scientific framings of
climate change as a technical problem (OBrien et al, 2007) While
such approaches are still prevalent and undoubtedly necessary
(Prowse & Scott,2008), a greater diversity of perspectives has become
apparent as the debate has progressed.
The recent emergence of bottom-up approaches to adaptation is
evidence of this shift. Community Based Adaptation (CBA) strategies
aim to identify existing vulnerabilities and support individuals and
communities current coping strategies (Huq & Reid,2007). These
approaches are rooted in alternative discourses which frame the
problem of climate change in terms of human security
(OBrien,2006).
This widening of the climate change agenda thus presents an
opportunity for concerns about vulnerability to be addressed at a
policy level. In order that this opportunity be fully grasped, research
which contributes to a better understanding of vulnerability is
therefore of paramount importance. Such research has indeed
proliferated in recent years, led by authors such as Adger, OBrien and
Paavola. However, this growing research community, while
undoubtedly motivated by similar concerns to those of development
researchers have had limited engagement with work in the latter field
(Sabates-Wheeler et al,2008). This, I argue, not only represents a
missed opportunity, but has meant that many studies, when viewed
from a development perspective, display a number of weaknesses.
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vulnerability. Chapter 5 will consider the implications of these insights
and the shift in focus for vulnerability within a dynamic context.
Finally, I conclude by reflecting on how this studys approach and
resulting insights might contribute to research into social vulnerability
to climate change.
2. Conceptual literature review
The principal purpose of climate change adaptation is to reducevulnerability (Brooks,2003). As adaptation has grown in significance
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within policy circles, the concept of vulnerability has hence been
elevated within research communities concerned with climate change
(ibid). The conceptual focus of this work would thus seem to offer a
point of overlap with work within the development community, where
the notion of vulnerability is also used.
The first part of this chapter will explore this conceptual terrain, and
demonstrate that, while the potential for conceptual overlap does
exist, the use of the term vulnerability within the climate change
community needs to be treated with caution. In the second half of this
chapter, I argue that social vulnerability studies have a number of
weaknesses, which a greater engagement with livelihoods research
would help them to address.
Vulnerability as a point of overlap
Within the field of development, the concept of vulnerability has long
been used to refer to exposure to contingencies and stress, anddifficulty in coping with them (Chambers, 1989:1). Although often
conflated, vulnerability is thus understood to be distinct from poverty:
the concept has an external dimension, comprising risks, shocks and
stresses, and an internal dimension characterised as defencelessness
and a lack of means to cope with stress (ibid). Moreover, although the
poor are often the most vulnerable, the concept cuts across wealth
categories in complex ways.Similarly, within climate change research, the term is used to capture
the idea of susceptibility to harm (Adger,2006) and likewise is
understood to be composed of external and internal dimensions.
While the external dimension, in terms of exposure to increased
climatic extremes and variability provides the raison dtre for
research in this field, the internal dimensions, understood as sensitivity
and adaptive capacity are recognised as being essential fordetermining the magnitude of the external threat (Brooks,2003).
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Superficially therefore, the concept of vulnerability seems to offer a
bridge between the two areas of research.
While there is undoubtedly potential for conceptual congruence, the
use of the concept of vulnerability within the lexicon of climate change
does, however, require some exploration. The diversity of disciplines
working within the field interpret the term differently (OBrien et al,
2007), and have clouded its use with conceptual and semantic
ambiguities (Fussel & Klein, 2006:305). Broadly speaking, a
distinction can be discerned between vulnerability as an outcome,
contingent upon the impacts of a hazard, and vulnerability as an
inherent state of a system (Kelly & Adger,2000; Brooks,2003). As
OBrien et al (2000) highlight, it is important to recognise that these
interpretations are manifestations of different discourses on climate
change, which have implications research agendas, methodologies and
policy prescriptions.
Vulnerability as an outcome
Approaches to climate change research and adaptation which embody
scientific framings of the climate change problem (OBrien et al,2007)
conceptualise vulnerability as being dependent upon the physical
impacts of a changing climate (Fussel & Klein,2006). These
approaches are rooted in biophysical discourses of environmental
change (OBrien et al,2007) and accord primacy to future physicalexposure, and particularly to the results of General Circulation Models
(GCMs). In this formulation, the sensitivity and adaptive capacityof
social systems are considered only to the extent to which they amplify
or reduce the impacts of the external stressor (ibid).
This outcome or end-point approach and associated discourse have
undoubtedly been dominant in debates about adaptation; theIntergovernmental Panel on Climate Change (IPCC) approach is
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dominated by an outcome understanding of vulnerability (see
McCarthy et al 2001). Consequently, the adaptation policy
prescriptions which follow from this perspective have been similarly
dominant; technological adaptations have consumed the attention of
many policy makers (OBrien et al,2007; see MoEF,2008)
Vulnerability as a starting point
Despite this dominance, as debate within policy circles has progressed,
alternative interpretations of vulnerability have gained currency1.
Approaches which frame the problem of climate change as a threat to
human security (OBrien et al,2007) conceptualise vulnerability in
terms of the inherent properties of a social system, which make it
susceptible to harm (Brooks,2003); for conceptual clarity some authors
therefore prefer the term social vulnerability (Brooks,2000; Kelly &
Adger,2000). Kelly & Adger (2000) use the analogy of the wounded
soldier to convey the notion that vulnerability results from existing
damage and inability to cope with external pressures. Vulnerabilityused in this sense therefore exists independentlyof the external
hazard.
Studies which use this understanding are therefore able to focus on
present characteristics of communities and societies to currentclimate
variability as a basis for understanding how vulnerability may change
in the future (OBrien et al,2007). Such studies commonly analyselivelihood and coping strategies, particularly concentrating on access
to resources (Berkes & Jolly,2001; Eriksen & Silva,2003; Eriksen et
al,2005; Paavola,2008).
The focus on the social in this interpretation of vulnerability draws the
analytical focus beyond the proximate causes of harm to consider the
contextin which such vulnerability is constructed (Blakie et al,1994;1 The IPCC TAR introduced a social conceptualisation of vulnerability alongside theoutcome definition (Brooks, 2003).
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Adger & Kelly;1999), leading some authors to use the term contextual
vulnerability (OBrien et al,2007). The institutional context is a
particularly important focus of study: many studies draw attention to
the role that institutional structures play in mediating access to
resources and in constraining and enabling individual agency
(Adger,1999; Eakin,2005). Approaches originating in critical
discourses draw particular attention to the structures and relations of
power in which vulnerable actors are embedded
(Pelling,2003;Cutter,1996; Hewitt,1997;). As the context which
constructs a state of vulnerability changes over time, the state itself is
understood to be dynamic (Leichenko & OBrien,2002; OBrien et
al,2007). The policy implications of a focus on social vulnerability are
therefore vastly different to those of biophysical studies;
recommendations concentrate instead on policies to reduce existing
vulnerabilities.
Research communities concerned with social vulnerability to climate
change are therefore operating in a field traditionally occupied by
development researchers: the emphasis on threats to human security;
the awareness that individual vulnerability is heavily dependent on
access to resources; that the institutional context is important in
mediating this access and that vulnerability is dynamic are all
discoveries that bring climate change literature into contact with
issues of poverty and livelihoods. However, despite this overlap, direct
engagement with livelihood literature has been limited (Adger,2006;
Adger & Winkels,2007). This, I argue, is a result of two factors: firstly,
the conceptual heritage of research in this field, and secondly the
focus of climate change vulnerability research on contributing to
adaptation policy.
Characteristics of social vulnerability studies
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They focus firstly on identifying the determinants of adaptive capacity
empirically from the community, and secondly on analysing the
processes of decision making at different levels Keskitalo,2004; Smit &
Wandel,2005): interviews with and documents from different levels of
government often form part of the methodology (Adger,1999;
Eakin,2005; Sutherland et al,2005, Osbahr,2008). The contribution of
these studies in terms of adaptation policy include both
recommendations designed to reduce individual dimensions of
vulnerability through poverty reduction and diversification of
livelihoods, and prescriptions designed to promote the strengthening
and adaptation of formal institutional structures (Kelly & Adger,2000;
OBrien et al,2007)
Despite the limited engagement with the development community, it
would therefore seem that social vulnerability researchers arrive at
similar conclusions; their prescriptions for reducing vulnerability and
increasing adaptive capacity superficially are broadly in line with those
advocated by mainstream development researchers and practitioners.
However closer examination, particularly from a more critical
perspective, reveals a number of shortcomings of social vulnerability
research; these in turn may limit the usefulness and applicability of
their finding, even on their own terms. These shortcomings, I suggest,
are again a result of both their conceptual heritage, and the
orientation of many studies.
Limitations of social vulnerability studies
Firstly, social vulnerability studies often lack a nuanced understanding
of differences between individuals and households; in many cases the
community is the unit of analysis and much rhetoric persists around
the undifferentiated poor (Tanner & Mitchell, 2008). Although there
is recognition both that households differ in their coping ability and inthe types of strategies they deploy, and that these differences are
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Given these criticisms, a more thorough engagement by climate
change vulnerability researchers with the livelihoods literature, and
particularly with its more critical voices would, I argue, offer
opportunities for these shortcomings to be addressed.
Livelihoods literature
The discourse of livelihoods has become increasingly widespread in
both research and policy responses to poverty as part of a more
general move towards people-centred, participatory approaches to
development (Wood,2005). While the analytical frameworks of
different authors working in the livelihoods field vary (Carney,1998;
Moser,1998; Scoones,1998; Ellis,2000) their common focus is on
individuals and households, the assets or resources they command,
and the processes by which they dynamically construct their
livelihoods. These livelihoods are understood to be contextually
rooted: institutions, social relations and organisations mediate accessto resources (Ellis,2000) and structure opportunities for livelihood
activities (Wood,2005), while trends, shocks and hazards impact on
livelihood assets and strategies (Ellis,2000).
Vulnerability in the livelihoods literature refers to the susceptibility to
circumstances of not being able to maintain a livelihood (Adger,2006).
The internal side of vulnerability that Chambers (1989) refers to interms of the inability to cope and adapt is understood to relate closely
to household assets (Elllis,2000), while the external dimension refers
to exposure to various categories of risk (Wood,2004). The related
concepts of sensitivity, understood as the magnitude of a livelihood
systems response to an external event, and resilience, meaning the
ability to bounce back from a stress or shock are also used within this
literature (Ellis,2000). Given this sphere of research, the overlaps withthe concerns of social vulnerability research are highly apparent, and,
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furthermore, offer opportunities to specifically address each of the
criticisms already raised.
Firstly, livelihoods approaches offer a more sophisticated and
systematically theorised understanding of household resources, both
material and non-material5. A particular contribution of the livelihoods
literature is its emphasis on the importance of social resources. While
many social vulnerability studies recognise personal social networks as
an important dimension of coping (Berkes & Jolly,2001; Osbahr et
al,2008), and social capital is beginning to be acknowledged as a key
research area (Adger, 2003), this dimension of households profile is
given particular analytical significance in the livelihoods literature. By
engaging with these debates, vulnerability studies can therefore
develop a more nuanced understanding of the differences between
households, which has implications for both vulnerability and adaptive
capacity.
Secondly, like studies of social vulnerability, livelihoods approaches
emphasise the importance of context. However, they also offer
opportunities for contextual understanding to be developed further. In
some cases, the theorisation of resources is extended to consider the
cultural dimension of resources; White and Ellison (2007) for example,
argue that the significance of resources is culturally and hence
contextually determined. More generally, a greater emphasis is given
in many of these approaches to the informal institutional context,which is, almost by definition, context specific.
Finally, more critical voices within the livelihoods school add an
additional dimension to contextual understanding; by considering the
politicised nature of the institutional context they address issues often
neglected by studies of social vulnerability.
5 Debate does surround the conceptualisation of these resources: for examplewhether households possess assets (Moser, 1998) capitals (Carney,1998), orresources (Lewis, 1993)
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Livelihood approaches are explicitly actor-oriented (Long, 2001); their
focus is on how individuals and households act strategically and
dynamically to construct their livelihoods over time within a complex
institutional landscape (Wood, 2005). While it has been acknowledged
that many studies of social vulnerability seemingly have a similar
focus, and take a bottom up approach (Smit and Wandel,2005), the
manner of their engagement with the institutional context reveal
different epistemological assumptions. Engaging with realities from an
actor-oriented perspective shifts the focus from technocratic and
potentially ineffective interventions, while being sensitive to
prescriptions which may unwittingly heighten vulnerabilities.
Conclusion
This chapter has demonstrated that there is a significant conceptual
overlap between research into climate change vulnerability and work
on vulnerability in the development community. Although the use of
the concept within climate change research must be treated withcaution, the understanding of the term within studies of social
vulnerability is similar to its use within poverty research.
Nevertheless, it has been suggested that this potential not only
remains to be fully exploited, but offers opportunities for shortcomings
of climate change studies to be addressed.
There is therefore a strong rationale for this studys situation at theinterface of the two research communities. It shares both the raison
dtre of climate change research: concern that a changing climate will
exacerbate existing vulnerabilities and create new ones, and the
principle objective: to contribute to a better understanding of this
vulnerability and ultimately to its reduction. Methodologically it is in
line with many studies of social vulnerability: an analysis of coping
strategies after an extreme weather event will provide the empiricalbasis of the study. Moreover, it explicitly considers adaptive capacity
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as a parameter of vulnerability. However, in an effort to address what
are viewed as shortcomings of other such studies, the analysis will look
to the livelihoods tradition, and particularly to more its more critical
voices. These fresh insights, I will argue, have important implications
for our understanding of vulnerability and in turn for policy which aims
to reduce it.
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economic change, which has the potential to impact on both
dimensions of this paradox.
This chapter will begin by developing each of these themes. The
physical dimension of Bangladeshs vulnerability will firstly be
introduced, and the likely effects of climate change outlined.
Secondly, the socio-economic context will be described, along with
some of the key trends pertaining to the discussion in later chapters.
This chapter will conclude with a brief methodology.
Physical vulnerability
Even without the dynamics of a changing climate, Bangladesh remains
one of the most hazard-prone countries in the world (Ahmed, 2006).
Located at the convergence of three major rivers, most of its land area
is flat and deltaic; two third lies less than 5m above sea-level
(MoEF,2008). This topography and situation, combined with its
monsoon-governed climate mean that Bangladesh is susceptible to a
variety of natural hazards (Figure 2).
Floods in particular are an inescapable reality. Statistically, around a
quarter of the country is flooded in an average year (Hofer,1998),
although there is high inter-annual variability (Ahmed,2006): while
normal floods are essential for agriculture, abnormal floods are
much greater in their extent and magnitude and result in considerable
damage and loss of life (Ahmad et al,2000).
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Socio-economic context
In addition to its physical vulnerability, Bangladeshs socio-economic
conditions are characteristic of a country with generically high social
vulnerability. Despite broadly positive trends, 40% of the population
live below the national poverty line (World Bank,2005) and half of
these are categorised as the extreme poor (Rahman, R.2003).
Again, despite developments in health and education, Bangladeshs
latest HDI rank was 140 in the world (UNDP, 2008). Despite increasing
urbanisation, 73% of Bangladeshs population lives in rural areas
(World Bank, 2006) (Figure 2), and it remains one of the most densely
populated countries in the world.7
More significant, perhaps, than this aggregate picture, are the
dynamics which are rapidly changing peoples livelihood contexts. The
implications of these dynamics are discussed further in chapter 5.
Firstly, the role of agriculture in rural livelihoods is declining (Rahman,
H.,2003). The percentage of households involved in the farm sector
7 Population Density: 1218.19 people per sq. Km. (World Bank, 2007)
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Figure 2: Trends in urbanisation
Source: World Bank, 2009
Map: MoEF (2008)
Cyclones bring storm surges and tidal flooding
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declined from 73% to 51% between 1984 and 2008 (BBS,1986;2008).
This livelihood shift has been influenced by productivity growth and
technology uptake in crop agriculture (Sen 1996), while the availability
of cultivable land is declining predominantly as a result of population
pressure (Asaduzzaman,2003).
Paralleling the decline in agriculture has been an increase in the non-
farm sector in rural areas (Toufique & Turton,2003). Between 1984
and 1996 the proportion of non-farm households grew at rate of about
4% per annum (BBS,1986;1999), while the proportion of rural income
from non-agricultural sources increased from 37% in 1987 to 48% in
1994 (Hossain et al,1996).
The importance of migration of varying types and resulting
remittances has increased dramatically: the share of remittances in
household incomes rose from 3.7 percent in 1987-88 to 18.5 percent in
2000 (Hossain et al,2001). The overall result of these trends has been
a transformation of the rural labour market, leading increasingly
towards an employment hierarchy amongst the poor
(Rahman,R.,2003).
Methodology
The empirical basis of this study is an analysis of household coping
strategies during and after the floods of July 2004. Broadly speaking,
an analogy approach has been adopted, which uses a study of current
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vulnerability as a basis for extrapolating future trends (see
Glantz,1991). As chapter 2 highlighted, a study of present day
vulnerability is consistent with the conceptual approach to
vulnerability adopted here8. In addition, a focus on extreme climate
events has specific benefits. As Adger & Kelly (1999) argue, it is only
during times of crisis that latent and often fluid entitlements are
manifested and defined; after a flood therefore, the distribution of
entitlements can be observed, and their significance for vulnerability
better understood. As illustrated, extreme events are likely to
increase; an assumption inherent in the rationale for this approach is
that these entitlements are likely to increase in importance over time.
This approach has limitations: it provides only a snapshot, yet social
vulnerability is understood to be dynamic. While an understanding of
its determinants provides a basis for considering likely changes, such
projections require the introduction of future trends, with the
uncertainty that entails.
The particular focus on coping strategies is used to generate insights
about vulnerability and adaptive capacity. Following Davis (1993) and
Devereux (2001), coping is understood here to refer to short term
strategies employed during times of stress in order to maintain
consumption and meet basic household needs. As ability to cope is
understood as key dimension of vulnerability (Chambers, 1989),
8 This differs from outcome vulnerability studies where vulnerability is seen asdependenton climate change projections.
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patterns in the nature of and ability to cope in a particular context
relates directly to vulnerability.
The information yielded from coping strategies about adaptive
capacity is more speculative. Following the definition by Brooks (2003)
in chapter 2, adaptive capacity refers to the ability of households to
change and modify their livelihoods. As such, indicators of will be
sought firstly in evidence of households ability to switch and
substitute livelihood strategies. Secondly, consideration will be given
to households time horizons, revealed either directly or extrapolated
from evidence of livelihood1 security9: the assumption here is that
longer time horizons increases adaptive capacity by allowing ex ante
measures to be adopted at the household level. The specific approach
to studying coping strategies in this study is discussed below.
Context of research
The empirical material on which this study is based was collected in
the aftermath of the July 2004 floods. The floods resulted in 40% of
the country being inundated by floodwater; affecting one quarter of
the population and causing the deaths of over 800 people (ADB,2004).
The data was collected as part of a five year research programme by
the Wellbeing in Developing Countries (WeD) Research Group at the
University of Bath. The programmes goal was to develop a framework
for understanding the social and cultural construction of wellbeing in
9 As Wood (2007) argues, greater security translates into longer time horizons.
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developing countries (Wed 2007)10. A core tenet of the conceptual
framework was a notion of resources which emphasised their social
and cultural dimensions.
Data used here has been drawn from two villages: Bichitropur and
Achingaon. Achingaon was waterlogged for a month while Bichitropur
was affected for a week. The two villages are contextually contrasting.
Bichitropur is the larger village with greater proximity to and better
communications with the district town of Manikganj (Figure 3)11.
Although it is beyond this studys scope to systematically analyse
these differences, drawing upon data from two sites does allow a wider
range of experiences to be incorporated.
Details of research
The data used was entirely qualitative and collected in the form of
flood diaries, analysed here for the first time. Households kept the
self-administered diaries for a year after the flood12, which allowed for
post-flood recovery to be analysed. As information was gathered from
(predominantly male) household heads, the data does lack intra-
household and gender dimensions.
The diaries were summarised by field researchers; the transcripts of
these diaries have been analysed and quoted in their original form. A
10 Details of WeD methodology:http://www.welldev.org.uk/research/methods-toobox/toolbox-intro.htm
11 Details from community profiles: http://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htm.12 Sample size: Bichitropur: 40 households, Achingaon: 20 households
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http://www.welldev.org.uk/research/methods-toobox/toolbox-intro.htmhttp://www.welldev.org.uk/research/methods-toobox/toolbox-intro.htmhttp://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htmhttp://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htmhttp://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htmhttp://www.welldev.org.uk/research/methods-toobox/toolbox-intro.htmhttp://www.welldev.org.uk/research/methods-toobox/toolbox-intro.htmhttp://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htmhttp://www.welldev.org.uk/research/methods-toobox/cp-countries/cp-bangladesh.htm -
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broadly inductive approach to coding and analysis was adopted13.
Again, limitations of the approach should be highlighted. Firstly, due
to the limited scope of this study, only open coding was conducted.
Moreover, due to the nature of the data and research constraints, no
additional data could be collected. The iterative element necessary for
grounded theory generation was therefore lacking.
Diaries were structured in accordance with the conceptual approach
used in the WeD research: questions were asked about the effects of
the flood on material, social and cultural resources. This structure
supports the approach to coping strategies used in this paper. As
highlighted in chapter 2, the analytical approach used draws from
livelihoods approaches; coping will therefore be viewed primarily in
terms of household resources, with a particular emphasis on social and
cultural resources.
Bichitropur: rural, close tourban centre
Achingaon: rural, remote
Size
(households)
488 310
Communications
Paved road runs throughhe village; easy access todistrict town
Poor road communicationwith district town. Allroads unpaved;submerged duringmonsoon.
Demographiccharacteristics
77% Muslim; 32% Hindu
74% nuclear households;20% extendedhouseholds; 6% joint
100% Muslim
63% nuclear households;38% extended households
13Nvivo software was used to manage the coding and analysis.
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Figure 3: Characteristics of sites
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householdsOccupationalstructure
Majority in non-farmactivities;
Some villagers havearable land and producecrops as a secondarylivelihood strategy.
Large number of migrantsto Dhaka
Greater dependence onfarm sector: 29% havefarming as primary
strategy.
Significant number ofmigrants; 75 people workin Dhaka; 34 villagershave migrated overseas
Key economicchangesidentified
Significant agriculturechanges:expansion of irrigation;
increased productivity;Increased commercialfarming.
Non-farm sectorsexpanded significantlyand include: rickshaw/vanpulling, vehicle driving,small trading
Communication improvedwith road to district town.
Agricultural changes haveincreased productivity
Large increase inmigration to take up non-farm occupations outsidethe village includingoverseas.
Key socialand politicalchangesidentified
Land owner ship hasbecome moreconcentrated in fewerhands
Increase in the number ofnuclear families.
Authority and power ofolder leaders curbed.Emergence of newgeneration of youngerleaders with politicalparty affiliations
Increase in politicallymotivated violence
Increase in the number ofnuclear families
Typical power structure
based on lineage ischanging; attributed tomigration
Opportunity to earncreates a gap betweengenerations
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4. Discussion of Findings
The focus of this chapter will be a discussion of household coping
strategies. I propose that differences in coping need to be understood
in two dimensions: firstly, households vary in terms of their need to
employ coping strategies, primarily as a function of livelihood
disruption; secondly, the resources drawn upon in order to cope in
times of stress vary. The first dimension has a relatively
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straightforward connection to vulnerability as it pertains directly to
households sensitivity and resilience, as discussed in chapter 2
(Ellis,2000). The implications of the second dimension for
vulnerability, as will be seen, are more complex.
After a brief overview of the mechanisms through which the flood
affected livelihoods, the first half of this chapter will provide an
analysis of two dimensions of coping, and illustrate how they can be
used to reveal more nuanced differences between households. The
second half of the discussion will explore further implications of these
findings; particular attention will be given to the institutional context of
the observed coping strategies. The use of both instrumental and
critical analytical lenses will allow additional insights to be generated,
which, I argue, are essential for a fuller understanding of vulnerability
and adaptive capacity.
Effects of the flood on livelihoods
The flood affected livelihoods through a number of mechanisms.
Firstly, it destroyed or damaged household resources, particularly
physical and natural assets; many households suffered damage to
houses, cultivable land and crops. In situations where the ability of
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household members to work was compromised by flood related illness
there was also an impact on human resources. Loss of resources had
immediate impacts, particularly when basic needs were threatened;
some households for example had to seek alternative shelter in the
aftermath of the flood. In the longer term, loss of assets affected the
speed of recovery; rebuilding the stock of physical assets forced
households to incur additional financial burdens.
Secondly, the flood directly affected households livelihood strategies
and disrupted income. Many people were unable to work during the
flood period as infrastructure was disrupted, workplaces closed and
fields flooded. Finally, as prices of basic goods rose during the flood,
maintaining levels of consumption became more expensive for all
households.
At least one of these mechanisms was evident in all households
surveyed, and therefore all livelihoods were disrupted to some extent.
However, their effects were differential; households displayed varying
levels of sensitivity and resilience. Suggestions in the diaries that
meeting the households basic food, health and shelter requirements
had become more difficult were taken as indicators of sensitivity. The
degree to which a household found it difficult to recover their pre-flood
assets and resume livelihood strategies was used to judge resilience,
albeit impressionistically.
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Differences in households need to cope
A households level of sensitivity and resilience determined the degree
to which they needed to employ coping strategies. In order to
understand these differences in vulnerability, it is necessary to
consider the varying characteristics of households livelihoods.
Samsuddin is a farmer and has three-bigha14 of cultivable land. He is
also a businessman, as he has started livestock feed-selling business
at Ghosher bazaar... They have three sons. The eldest son.... is
operating a business (grocery shop). ...the second son is a wholesaler
of cosmetics. This family is confident of their earnings as they are
hard workers and help each other overcome difficulties (Samsuddin
Mollik: Poor household15,Bichitropur my emphasis)
Samsuddins situation was typical of households who displayed lower
sensitivity to the flood: his households livelihood was characterised by
a diversity of strategies, including sources of income derived from
outside the immediate vicinity. Households such as this had greater
potential for substitution of activities (Ellis,2000) which allowed them
to spread risk and sustain household income (Rahman, R.,2003). The
ability to diversify is, of course, largely a function of households
productive resources (ibid): endowed with four adult male income
earners, Samsuddins households overall exchange entitlement (Sen
& Dreze, 1989), along with their potential for diversification were
greater.
14 1 Bigha=1/3 acre15 Households were self-categorised as poor, middle or rich.
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In the context of this discussion, another feature of livelihoods such as
Samsuddins is relevant: despite categorising themselves as poor,
many such households expressed greater confidence in their financial
security. As discussed in chapter 3, expressions of security are taken
as an indicator of longer time horizons and hence greater adaptive
capacity. Borrowing by this household was primarily for the purposes
of productive investment in the family livestock-feed business.
Bachchu Mollik is a rickshaw puller who pulls others rickshaws as he
does not have any of his own. He said that he was always very
concerned about his debts and repayments and was anxious about his
financial position. Yet he could not avoid borrowing money for the
maintenance of his familyand also for the treatment of their uncertain
health problems (Bachchu Mollik, poor household: Bichitropur, my
emphasis)
Banchchu Molliks situation exemplifies the converse position. With
only one income earner, this household was particularly sensitive to
livelihood disruption: unable to generate income through rickshaw
pulling during the flood, household income was completely suspended.
In both the immediate aftermath of the flood and in the context of
other hazards such as ill health, external support was sought in order
to maintain the households basic needs. In contrast to households
such as Samsuddins, Banchchu regularly expressed concern about the
insecurity of his households financial position. Again the implications
for time horizons were apparent: this household borrowed frequently in
order to maintain consumption in the short term.
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While in general, households positively endowed with assets and
resources therefore seem to have less need to cope as they are in a
better position to diversify, the relationship between household
resources and vulnerability is in reality more ambivalent. Households
who relied more heavily upon physical and natural assets often
suffered greater aggregate losses and took longer to recover their pre-
flood assets, a finding confirmed by Brouwer et al (2007). The
ownership of land in particular proved a mixed blessing:
...they did not need to buy the rice from the market as they used to produce
rice in their own land and during the flood it was in their store...they
mentioned that they did not suffer much (Nurul Haque: Middle household,
Achingaon)
...he has 10 Pakhis16of cultivable land and he faced a huge loss during flood.
He cultivated paddy and maize in his land and all the crops went under
water... (Shrish Chandra Shaha: Rich household, Bichitropur)
These quotes illustrate the need to avoid assuming that households
with more assets were always less vulnerable; instead, an awareness
of the type of resources relied upon and the potential for these
resources to be flood affected is important. Similarly, households in
the converse position of having few physical assets were not
universally more vulnerable; they often expressed that they were less
affected as they had nothing to lose.
16 Unit of land measurement
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Another important difference between households was in the type of
livelihood strategies pursued. While households reliant on insecure or
unreliable sources of income undoubtedly displayed high generic
vulnerability (Brooks, 2003), as with resources, flood specific
vulnerabilities also emerged. The case of Mostafizur Rahman Mollik, a
factory owner, illustrates that such vulnerabilities may apply to
seemingly more secure households.
During the flood... he had to keep his factory closed for twenty days... It was a
huge loss to stop production of bread and his income was reduced.
(Mostafizur Rahman Mollik: Middle household, Bichitropur)
A specific, and commonly used livelihood strategy which lowered
sensitivity in most cases was migration. Households with at least one
member working outside the immediate area were able to maintain an
income source through remittances, as in the case of Matier Rahman:
Matier Rahman worked in a printing press in Dhaka and used to earn
Tk.4500 per month as his salary. It was fixed and did not fluctuate in any
circumstances like flood or so on. So, during and after the flood ... it did not
create any food shortage [sic]. He could maintain the expenses anyhow
(Matier Rahman: Middle household, Bichitropur)
The first dimension of coping therefore refers to the extent to which a
households livelihood was disrupted, shown as need for coping on
figure 4. The characteristics of a livelihood in terms of its diversity
and degree to which its income sources and resources are flood
affected are therefore indicators of vulnerability; they determine the
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degree to which a household needs to cope. Moreover, inferences
can be made from these characteristics about adaptive capacity: by
allowing household to switch between activities, and by increasing
security and hence lengthening time horizons, a more diversified
livelihood may also be assumed to have greater adaptive capacity.
These findings broadly echo those of other studies of social
vulnerability (e.g. Adger, 1999; Paavola, 2008)
Differences in coping resources
The second dimension to emerge from the analysis is the mannerin
which households coped in the event of livelihood disruption. There
were broad similarities between households in terms of their priorities:
by definition, coping focused on the maintenance of consumption and
the meeting of basic household needs. However, there were crucial
differences in terms of the resources and assets they drew upon in
order to meet their needs. Broadly speaking, households varied
according to the degree to which they were able to cope
autonomously: this, unexpectedly, varied as a function of wealth.
The richer households commonly maintained their familys
consumption by drawing on their own financial resources as they often
had larger savings. Generic flood related expenses such as the
rising prices of food and additional transport costs therefore did not
present a challenge to these households. The following household,
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their social resources, which had implications for their coping ability.
The most productive social relationships for the poor were those with
people in positions of authority, particularly the Union Parishad (UP)17
chairman:
Samsuddin received fertiliser and seeds twice from the government through
the UP member in his village... There is good relationship between the UP
member and this family, and the UP member is also their relative (Samsuddin
Mollik: Poor household: Bichitropur).
While this household were self-categorised as poor, there were many
others in considerably worse positions who failed to access
government assistance. Without such connections, or access to
powerful patrons who might provide other sources of support, many of
the poorest households were dependent on reciprocal relationships
with the similarly poor. While these relationships were a source of
small scale transfers, often of basic household goods, they offered
little more in the way of resources to enable coping, as was the case
for Daradi Molliks household:
Daradi said that during the flood they eat only one meal a day instead of
three. But they did not take any loan because no one would give them loan,
as they are poor (Daradi Mollik: poor household: Bichitropur)
That formal as well as informal sources of support were dependent on
who you know was a common theme. Furthermore, it was evident
that social resources are a variable; relationships required
17 The lowest tier of local government
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maintenance or they could be subject to decline. The importance of
maintaining relationships and networks was greatest to the most
vulnerable, as Dorbesh Mias household illustrates:
Dorbesh Mia now always stays in the house as he cannot walk for a long time
and so he tries to avoid that... Day by day his social connections are
decreasing. He always tries to maintain a good relationship with the powerful
people of this village. They have managed an old-age allowance for him
(Dorbesh Mia: poor household, Achingaon).
Analysis of the manner of coping adds a second dimension in which
differences between households can be discerned, shown as coping
resources on figure 4. It is this dimension, I suggest, which offers the
potential to add new insights to the understanding of vulnerability and
adaptive capacity. However, unlike the first dimension, merely
observing differences between households is insufficient; in order to
understand the implications for vulnerability, it is necessary to look
beyond the observations outlined so far to the institutional context in
which they are embedded. A key finding from the preceding analysis
has been the importance of social resources for the poorest. The
second half of this chapter will therefore begin by reflecting on the
nature of these relationships in rural Bangladesh, and establishing a
conceptual lens through which they can be viewed. It will then move
on to consider the implications of a reliance on social relationships.
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DIMENSION 1: NEED FOR COPING
Undisrupted Livelihood: LESS VULNERABLEdi
di
di
dH
JH
K
Re
lia
nc
e
on
so
cia
l
re
so
ur
ce
s
R
e
l
i
a
n
c
e
o
n
F
i
n
a
n
c
i
a
l
R
38
Characterised by:
Narrow range oflivelihood strategies Generic and flood-
specificallyvulnerable strategiesand resources.
Weak base ofproductive assets
Increasing povertyDecreasing autonomy ofcopingDecreasing quality of socialresources
Increasing wealthIncreasing autonomy
Characterised by: Diversified livelihood Reliance on less flood-
affected strategies/resources
RemittancesMade possible by: Strong asset base,
particularlyhuman capital
Highly disrupted livelihood
Figure 4: Copingframework
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e
s
o
u
r
Conceptualising relationships
The observation that personal social resources are of critical
importance for enabling the poorest to cope is not an unexpected one:
anthropological scholarship has long emphasised the significance of
social relationships in situations where peoples material resources are
lacking (Scott,1976) and this has been a dominant theme in livelihoods
literature on South Asia in particular (Maloney,1988; Devine,1999).
The pattern and structure of such relationships are highly complex and
multidimensional (Wood,2005). Both horizontal and vertical ties are
underpinned by expectations, responsibilities and obligations
(Devine,1999).
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primary means of non-autonomous coping: loans and informal
transfers between households were common arrangements. However,
it was also suggested that access to formal sources of support, such
as the UP was also mediated by social relationships and therefore
subject to similar rules18.
This finding is again a well established one in the literature on
Bangladesh: Thornton (2003) also argues that social structures and
class relations directly influence the way in which formal structures
operate within the public and private spheres; Devine (2008)
specifically emphasises the role of non-elected political party leaders
as gatekeepers to government relief programmes. Such studies thus
lend support to the emphasis on the informal institutional domain.
Understood as a resource, and thus in an instrumental sense, social
relationships can therefore be conceptualised as the channels through
which extended entitlements, and in some cases more formal
entitlements operate; entitlements which are in turn underpinned by
informal institutions. In the context of the present argument, this
means that the reliance by households, particularly the poorest, on
their social resources in order to cope with the flood translates into a
dependence on these institutions. This, I suggest, means that a full
18 This overlap was also suggested by the RANQ data which found that households
with a close relative in a government position had higher levels of needs satisfaction(McGregor et al, 2007)
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understanding of vulnerability in rural Bangladesh necessitates that
these institutions be a key focus of study.
Implications of reliance on informal institutions
Viewed positively, these intermeshing relationships do undoubtedly
result in a material safety net and hence a degree of security. For
households for whom the opportunity costs of individual precautionary
methods are too high (Dreze & Sen,1989), and in situations where the
state is unable to provide universal support, this security is certainly
significant. Moreover, as Scott (1976) argued, the moral dimensions of
such arrangements ensure that wealthier members of the community
also hold a stake in their maintenance; to be seen as not conforming to
rules of duty and obligation is to be labelled uncaring and to incur a
loss of status (Wood, 2005). Conversely, generosity increases the
symbolic capital (Bourdieu, 1977) of the wealthy:
He worked mainly for those people who were very poor, were living in his
village, and went to him for help. ...During the flood his wife helped their
neighbours who were poor by giving rice. In this way he improved his social
acceptance. (Shrish Chandra Shaha: Rich household: Bichitropur)
As Wood (2005) argues, this social acceptance provides wealthier
households with their own source of insurance. This collective, albeit it
socially differentiated interest in these institutions undoubtedly
ensures their durability.
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Superficially therefore, it would seem that the argument made by
mainstream proponents of social capital that bonding capital is an
important guard against vulnerability (Woolcock,2000 ) would seem to
hold. However, a closer look at these institutions suggests not only
that the implications for vulnerability are more ambivalent but are also
possibly more far-reaching.
Firstly, it should be remembered that while social resources were more
significant to poor households, it was also observed that the quality
and quantity of these resources varied: in many cases social resources
were limited to reciprocal relationships amongst similarly poor
households. As Scott (1976) highlighted, the most reliable sources of
entitlement for poor people are often those in a similar position which
hence yield only limited resources. Moreover, in situations of
collective loss, the mutual insurance of reciprocity is of limited use
(Sen & Dreze,1989) and places relationships which may yield
resources under increased stress (Dirks,1980). These issues are
particularly pertinent to the present discussion and are explored in
more detail in chapter 5.
In addition to these generic resource constraints, the ability of
individuals to develop and maintain social resources and thus to
secure entitlements varies as a function of factors such gender, age
and status (Indra & Buchignana,1997). Numerous examples were
observed of individuals or households being excluded from social
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networks or relationships, for reasons as diverse as illness, infertility
and divorce.
From an instrumental perspective, the effectiveness of social
relationships and informal institutions in yielding material coping
resources and hence in reducing vulnerability amongst the poorest
therefore needs to be questioned. While these limitations are
undoubtedly significant, to fully appreciate the implications for
vulnerability and adaptive capacity I argue that a more critical
perspective needs to be adopted.
This perspective suggests that additional implications for poor actors
result from the characteristics of the institutions themselves. Authors
such as Wood argue that informal institutions must be seen as
embedded in the political economy and, as such, embody inequalities
of power. They are therefore seen as systematically discriminating
against and constraining the agency of poor actors (Wood,
2003;2005). By engaging in unequal relationships, actors reproduce
these institutions; a case of agency reinforcing structure
(Giddens,1986). This perspective raises a number of issues which
have direct relevance for vulnerability and adaptive capacity.
Firstly, the view of agency as strategic and based on household
resources should be problematised (Cleaver,2005). Instead, their
possibilities for exercising agency in order to reduce their own
vulnerability are institutionally constrained (ibid). An extension of this
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argument has more direct implications for adaptive capacity. Wood
(2003) argues that poor people dependent on hierarchical
relationships trade off long-term, autonomous security for dependent
security and thus become risk-averse: the Faustian Bargain. The
significance here is that these trade-offs constrain time horizons and
hence reduce adaptive capacity
These arguments should not be taken to suggest that poor actors are
incapable of exercising agency; an issue that will be returned to in
chapter 5. Instead, they serve firstly to highlight, from an actor
oriented perspective, the undoubted institutional constraints on the
exercise of strategic agency, particularly for the poorest. Secondly,
they sound a cautionary note to be mindful of the power dimension of
the institutions and relationships that underpin the coping strategies
observed. Moreover, they raise the possibility that the exercise of
these coping strategies may have wider implications in terms of
maintaining vulnerability. These issues will be returned to in chapter
5.
Conclusion
The first dimension of the coping framework proposed here certainly
supports the conclusions of many studies of social vulnerability to
climate change: more diversified livelihoods are less vulnerable, as
they are less likely to be disrupted in the event of a flood. They are
also likely to exhibit higher adaptive capacity: diversity affords them
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greater security, translating into longer time horizons. This dimension
also highlights that the type of resources relied on and strategies
pursued are important determinants of vulnerability in the case of a
flood.
The addition of the second dimension provides, I suggest, a basis for
contributing new insights to studies of vulnerability to climate change.
Firstly, this more nuanced view of coping resources and particularly
the relative significance of households social resources highlights that
social relationships and the entitlements attached to them need to be
a focus of attention. Secondly, this focus draws analytical attention to
the informal institutional domain which underpins these entitlements.
This in turn translates into a focus on the local and contextual ways in
which access to resources is defined.
The second half of this chapter has presented an exploratory
discussion of the complex and far-reaching implications of these
findings for vulnerability and adaptive capacity. These implications, I
will now suggest, are particularly important when the dynamic socio-
economic context is factored back into the analysis, against the
backdrop of a changing climate.
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5. Reflections on dynamics
The framework presented in chapter 4 offers, I suggest, a distinctive
way of approaching the study of vulnerability and adaptive capacity. I
have argued that this framework highlights not only the value of
diversified livelihoods, but also draws greater analytical attention to
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the influence of social resources and informal institutions on
vulnerability.
This chapter will build on these insights by factoring in the dynamic
context of rural Bangladesh. Considering each dimension in turn, I
highlight the socio-economic trends of most relevance and consider
the possible dynamics introduced by a changing climate, reflecting on
the potential impacts for vulnerability. The discussion which follows in
many respects continues to be speculative and exploratory in nature;
nevertheless, I argue that while precise policy recommendations would
be inappropriate, the insights and issues raised must be taken into
account.
Dimension 1
Impacts of trends
I have suggested that the first dimension of coping, the need to cope,
was primarily a function of livelihood diversification. The implication of
this is that opportunities for livelihood diversification are an important
part of vulnerability reduction, a finding which concurs with the
assumptions of the CBA literature (Sabates-Wheeler et al,2008). On
first consideration, trends in the rural economy therefore appears to be
broadly positive.
As discussed in chapter 3, the rural non-farm sector in Bangladesh has
experienced considerable growth; its percentage share of rural income
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(Hossain et al, 1996), and the proportion of households engaged in
non-farm activities have shown marked increases (BBS,2008) This
growth undeniably presents a greater range of opportunities for
livelihood diversification. This, at least in theory, should be particularly
beneficial for landless households (Saha, 2003); as alternative
opportunities proliferate, the importance of land has decreased
(Hossain, 2001). Moreover, as noted in chapter 4, in the context of a
changing climate, land dependent livelihoods may actually become
more vulnerable in some cases.
The growth of migration was also identified as an important trend;
statistically, migrants earn higher incomes and have improved life-
chances (Afsar,2003) via access to better employment opportunities
(Rahman, R., 2003); moreover, remittances from migrants are less
likely to be flood-affected and therefore, as noted in chapter 4, reduce
households vulnerability by limiting livelihood disruption.
Nevertheless, the potential for these trends to increase the security of
the most vulnerable must be questioned. The entry barriers to the
non-farm sector are often insurmountable for the poorest households
(Ellis,1998): limited access to financial capital and a lack of skills are
the most obvious mitigating factors (Rahman, H.,2003)
The benefits of migration are similarly differentiated: while the
moderate poor are most likely to migrate, the percentage of the
extreme poor who migrate is low (Afsar,2000). Overseas migration
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requires access to capital to fund the initial move and therefore those
who receive remittances are usually not the poorest (ibid). Likewise,
internal migration is more successful for people with access to
capital, human resources, and particularly social support networks
(Afsar,2003). The potential of migration for reducing the vulnerability
of the poorest is hence also limited; in some cases the day-to-day
insecurity of work for the poorest migrants may actually increase their
insecurity (ibid)
It should also be remembered that alongside these trends, income and
jobs in the farming sector have been lost (Saha, 2003). Invariably, the
poorest households, who rely on agricultural wage labour, have borne
the brunt of this loss (Rahman, R.2003). Moreover, while the central
importance of land may be decreasing, land ownership still provides a
basic element of security. Increases in functional landlessness,
however, are eroding this source of security and forcing poor people
into labour markets (Wood,2003).
Alongside the more obvious resource constraints, poorer households
access to non-farm opportunities is also constrained within the
institutional domain. The growth of the rural non-farm economy has
been paralleled, and in many respects is responsible for a rapidly
shifting institutional landscape. Thornton (2003) identifies the
following trends: the proliferation of formal institutional actors,
particularly relating to the private sector; market forces increasingly
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determining the rules of the game; a shift in influence from
traditional power bases to younger political leaders. All of these
changes were apparent to some extent in the study area19
.
These institutional changes have several implications for the ability of
the poorest to take advantage of new opportunities. Firstly, access
often requires direct interaction with emerging political, administrative
and trading systems (Rahman, R.,2003), yet poor households are often
unable to negotiate this new institutional landscape (Wood,2005).
Secondly, despite the shift away from traditional power-bases, access
to these formal institutions is still mediated by social relationships, an
issue raised in chapter 4 in relation to formal sources of post-flood
assistance. For poor actors, this means that, in many cases, their
ability to access new livelihood opportunities is again dependent on
their social resources. A final issue is that, by extension, the
functioning of new institutional forms is, in reality, still governed by
informal institutional rules and norms (Thornton, 2003). The issues
raised in the previous chapter about the power dimensions and
exclusionary potential of these institutions therefore also apply in this
context.
The agency of the poorest households is hence constrained on two
fronts: their limited resource endowments prevent their entry into new
areas of employment, while their access to, and the nature of the
mediating institutions further limit their room for manoeuvre. Both of
19 See summary of community profile in chapter 3.
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these factors mean that access to non-farm livelihood opportunities is
differentiated; factors which explain and perpetuate the trends
towards an occupational hierarchy within the non-farm sector
(Rahman, H.,2003). These trends are therefore leading to winners and
losers in terms of vulnerability. As Toufique & Turton (2003) argue,
the capacity to differentiate, switch and secure livelihoods is likely to
become the new dividing line amongst the poor.
Dimension 2
Implications of trends
The second dimension related to the manner in which households
coped with livelihood disruption. The poorer households, unable to
cope autonomously, relied on their social resources as a basis for
claiming both extended entitlements and more formal sources of
assistance. The implications for vulnerability related to both the
differential nature of poor peoples social resources and also, at a
deeper level, to the nature of the institutions underpinning these
entitlement claims. Consideration of how a changing context may
affect this dimension hence requires a focus on dynamics impacting on
the social relationships of the poorest, and particularly on the
institutional context which underpins them.
The dynamics of informal institutions, almost by definition, are far
more difficult to observe empirically than those in the formal domain
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(Helme & Levitsky,2004); the discussion that follows is therefore
acknowledged to be more speculative. It is also recognised that some
debate surrounds the question of these dynamics: while Wood (2005)
emphasises the persistence of the basic elements of the moral order,
most observers agree that trends such as marketisation, demographic
changes and a proliferation of institutional actors are having a
discernable effect at some level on the rules of the game and the
relationships which embody them (Devine,2008; Islam,2003).
Dynamics resulting from a changing society.
The penetration of macro politics and market forces into rural space,
already touched on in the preceding discussion, are viewed as being
important drivers of change in the rural institutional landscape
(Islam,2003), particularly through the resulting changes in power
relations (Toufique & Turton,2003). These trends were apparent in the
survey area: in both villages, traditional power structures were
observed to be in decline, attributed to higher incomes and migration
amongst the younger generation. These changes are observed to be
partially responsible for changes in patterns of patronage.
The decline of traditional patronage and the form of security it
provided has been an ongoing trend (Maloney,1988; Adnan,1990;
Islam,2003). This trend has been exacerbated, however, by the more
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recent decline of traditional leadership, while the increased mobility of
labour and growth of the non-farm sector have further loosened
patronage ties (Islam,2003). Nevertheless, as Rahman (1999)
observes, hierarchal relationships and the principles of patronage they
embody do persist, but have shifted towards political and employer
patronage. Other commentators highlight increasing individualism in
rural society as an important trend: increasing nuclearisation of
families and associated changes in perceptions of responsibility
towards the elderly are viewed as manifestations of this trend (Kabeer,
2002). As individualism increasingly conflicts with the sacrifice
required for reciprocity (Wood, 2005), and even reciprocal
relationships are increasingly politicised (Devine, 2008) kin-based
networks are seen as being on the decline (Rahman, 1999).
Dynamics resulting from a changing climate
Alongside these socio-economic dynamics must of course be factored
in the changing nature of the climate. A central assumption within the
rationale for this studys design was climate change is likely to result
in more regular, intense collective risk (Adger & Kelly,1999). This
suggests that sensitive households will be forced to cope with the
effects of abnormal floods more frequently. For the poorest
households, this means that they are likely to have to make increasing
claims on their extended entitlements. The questions must therefore
be posed: to what extent are these claims sustainable and to what
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extent can they continue to provide a safety net in the face of regular
collective loss?
Impacts on vulnerability
Given that the institutional changes suggested here are the subject of
some debate, and that the relationship between these institutions and
vulnerability was observed to be ambivalent, the following discussion
is unavoidably speculative. Moreover, the questions prioritised in
terms of vulnerability will differ depending on the perspective adopted,
and many of the conceptual and empirical issues remain under
researched in this context. The final part of this discussion is therefore
framed as an exploration of future research avenues and questions.
Changes in patterns of patronage raise a number of questions in terms
of vulnerability. From an instrumental perspective, the issues of
concern are whether emerging forms of patronage are as effective at
yielding resources for the poor. This is partly a question of their extent
and coverage, and partly about the norms which underpin political and
employer patronage. Potential issues surround the extent to which
these new relationships are as multi-dimensional as the traditional
forms of patronage they replaced; the multiple ties typically involved
in hierarchical relationships served to ensure their reliability
(Wood,2005).
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From a more critical perspective, new forms of hierarchical
relationships are still viewed as embodying power imbalances.
Nevertheless, these changes raise two key issues in terms of
vulnerability. Firstly, the implications of new forms of patronage for
the agencyof poor people should be questioned: to what extent do
they replicate the constraints of the traditional patronage structures
they replaced? Secondly, the degree to which these changes allow
greater exploitation of the poor must be considered. This relates
particularly to a reduction in the moral dimension of relationships,
which, as Wood (2005) argues, has traditionally acted as a constraint
on excessive exploitation by the powerful.
The implications of the second trend, the decline of reciprocal ties,
initially appear more straightforward: an erosion of the informal safety-
net (Rahman, 1999) might be assumed to automatically increase
vulnerability. When this trend is combined with the likelihood of
increased stress on social resources and more regular collective loss in
the context of a changing climate, this conclusion seems unavoidable.
While certainly logical, this conclusion neglects the possibility that
informal institutions may evolve and adapt in ways which continue to
provide a buffer against vulnerability. It is also guilty of making
assumptions about the way in which these institutions behave under
stress. While both of these issues remain under-researched, the
available literature does provide some pointers. On the first point,
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6. Conclusions
This paper began with the recognition that many climate change
researchers share a common concern with the development
community: that climate change is having a disproportionate effect on
many of the worlds poorest people. It also suggested that
engagement across the two communities has to date, nevertheless
been limited. I suggested that from the perspective of the
development community, this has meant that research into social
vulnerability to climate change is characterised by a number of
weaknesses. In particular, I pointed to their restricted view of
differences between households and unrealistic assumptions about the
relevance and operation of formal institutions. These weaknesses in
turn, I suggested, may limit the relevance and success of their policy
prescriptions.
In this paper I have sought to address these limitations by adopting an
analytical approach which draws more heavily on the livelihoods
tradition. By focusing on coping strategies after a flood I adopted a
similar logic to many studies of social vulnerability. However, by
explicitly bringing household resources to the forefront of the analysis
and by adopting an understanding of these resources which
emphasised their social and cultural dimensions, a more nuanced view
of differences in coping between households emerged.
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This approach revealed that it is necessary to look beyond differences
in households sensitivity and resilience, influenced primarily by
livelihood diversity and differences in material and human resources;
these factors essentially determine households need to cope in a
given situation It is also essential to consider the mannerin which
households cope, and particularly the resources in their portfolio on
which they rely. A focus on this second dimension of coping revealed
that, for the poorest households, social resources are of paramount
importance. Moreover, I demonstrated that households social
resources are essential for securing not only informal extended
entitlements, but also assistance from supposedly formal channels.
This in itself is an important observation, as it reveals a different way
of looking at differences in coping between households. However,
more importantly, this observation shifts the analytical focus to the
informal institutional domain; it is here that the rights which underpin
entitlements, and hence determine access to resources reside. The
necessity of this shift in focus lends support to the claim made at the
outset: the assumption that the formal institutional domain is the most
relevant focus of study is misplaced. Moreover, the observation that
social resources are also important for accessing formal institutions
seem to confirm that assumptions about the unproblematic,
depoliticised operation of formal institutions are also flawed.
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The translation of these findings is that studies of social vulnerability
to climate change need to be much more sensitive to the informal,
locally defined dimensions of coping; while they correctly assume that
access to material resources in times of stress is essential for
households to cope, what they often lack is an awareness of the way in
which this access is defined. I have suggested that this is inherently
contextual and embedded in the nature of locally specific informal
institutions. Moreover, studies need to be more circumspect in their
view of formal institutions in terms of both their relevance and
operation.
This change in focus, I argue, necessitates that questions about
vulnerability and adaptive capacity be redefined; an emphasis on the
informal domain raises a set of issues which studies of social
vulnerability often neglect. Questions about the extent and reliability
of informal institutional arrangements for poor households come to the
fore, while at a deeper level, issues of power and constraints on
agency need to be considered.
Factoring in a dynamic socio-economic context and a changing climate
raises further issues and questions. When considering the potential for
economic changes to reduce vulnerability, the more obvious issues
surround the inability of poor households to access new opportunities
due to their lack of physical and human resources. While these issues
are undoubtedly important, I argue that it is essential to look beyond
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them. An awareness of the actual functioning of formal institutions
reveals that for some households, institutional exclusion, a result
partly of their lack of the right social connections, may also limit their
access to employment opportunities. This illustrates the wider
applicability of a focus on informal institutions; their rules also help to
determine households room to manoeuvre, and hence their ability to
act to reduce their need to cope.
Finally, another set of questions arises about the implications of
dynamics on the institutions themselves. While these changes are
perhaps more speculative, it seems likely that rules about both
reciprocity and patronage are undergoing significant change. The shift
in focus called for here necessitates that this under-researched area
becomes a priority: the implication of informal institutional change for
vulnerability, and the possibilities for institutional adaptation should be
key research areas.
So what does this mean for adaptation research and policy? If the
debate within policy circles continues on its current trajectory, the
potential for social vulnerability research to make an impact on
adaptation policy seems likely to expand. This therefore represents an
opportunity for action to reduce vulnerability. To make the most of
this opportunity, I suggest that more rigorous engagement with the
development community is required.
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This paper provides support for this call to engagement; by adopting
an alternative analytical perspective, it has demonstrated the potential
for fresh insights about vulnerability to be generated. More
specifically, it has called for a change in focus towards the local,
informal and contextual dimensions of coping and hence vulnerability.
While these dimensions may seem less amenable to policy, there are
three important reasons why they must not be neglected.
Firstly, greater attention to the informal dimension of coping and how
it may be changing is essential for identifying trends in social
vulnerability