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Old notion–new relevance: setting the stage for the use of social capital resource in adapting East African coastal cities to climate change

Old notion–new relevance: setting the stage for the use of social capital resource in adapting... International Journal of Urban Sustainable Development Vol. 1, Nos. 1–2, May–November 2009, 17–32 TJUE Old notion–new relevance: setting the stage for the use of social capital resource in adapting East African coastal cities to climate change International Journal of Urban Sustainable Development Justus Kithiia* Department of Environment & Geography, Macquarie University, New South Wales, Sydney, Australia (Received 2 November 2009; final version recevied 11 February 2010) Previous studies have shown that limited understanding of the social needs and capabilities of specific places and communities present limitations in the progression of public policy and strategic response to climate change risks. Social capital, a mutually beneficial collective action found in communities to different extents, has the potential to facilitate urban vulnerability reduction necessary for climate change adaptation. This article explores how the notion of social capital can attain new relevance by motivating the initiation and accomplishment of measures to overcome climate change risks facing coastal East African cities. Building on the existing conceptualization of social capital and associated concepts in climate change theory and policy, this article demonstrates how, within a social capital framework, the analysis of risk and adaptation can move away from a purely top-down focus on formal organizational capacity towards an acknowledgment of the importance of informal social networks in the final directing of flow of activities as well as policy enactment. This article finds that a strong tradition of collaboration, trust and reciprocal relationships between local resource-oriented groups in the cities of Mombasa and Dar es Salaam can be leveraged to generate material interventions directed at reducing vulnerability to climate variability and change. Keywords: adaptation; vulnerability; social capital; resilience; coastal cities; climate change; collective action; adaptive capacity 1. Introduction view of these impending risks, individuals as well as city decision-makers will have to identify Projections by the Intergovernmental Panel on and implement adaptation strategies to deal with Climate Change (IPCC) indicate that developing the impacts of a warming climate (see Scott et al. countries and their cities are among those regions 2001, Moser 2006), albeit with only a limited at greatest risk to the impacts of climate change capacity to do so. One of the most common and (Parry et al. 2007). However, the governance practical resources that would contribute to the dimensions of these cities indicate a limited design and facilitation of adaptation responses capacity to deal with the impacts as well as a lim- that are specific to the needs and circumstances ited potential to perceive climate change as a of cities is the concept of social capital. salient risk issue that warrants immediate action. There has been a rapid growth in reference to African cities, especially those situated along the the term ‘Social Capital’ in recent years. The term coast, are expected to be affected in numerous captures the idea that social bonds and norms are ways by climate change (Ibe and Awoski 1991, important for sustainable livelihoods. Coleman Mahongo 2006, Dossou and Dossou 2007). In *Email: jkithiia@els.mq.edu.au ISSN 1946-3138 print/ISSN 1946-3146 online © 2009 Taylor & Francis DOI: 10.1080/19463131003607630 http://www.informaworld.com 18 J. Kithiia (1990) describes it as ‘the structure of relations national and city-level officials, Non-Governmental between actors and among actors’ that encourages Organization representatives and representatives productive activities, but it is Putnam (1995, 2000) from the Semi-Autonomous Government Agencies. who brought it into wider use. It has been shown to have relevance for facilitating the effective applica- 2. Conceptual terms in climate change tion of a range of public policies in communities adaptation science and places. For example, a comparative study of the role of local institutions in Bolivia, Burkina Faso The study of climate change and its implications and Indonesia demonstrated empirically that social has acquired the use of concepts such as adapta- capital embedded in local associations makes signi- tion, vulnerability, adaptive capacity, risks and ficant contributions to household welfare and pov- resilience, whose array of sometimes loose defi- erty reduction (see Grootaert 2001). nitions is frequently lost in the course of growing This article explores the significance of social multidisciplinary discourses. These concepts capital and its potential in providing practical have real inter-relationships and not just juxtapo- resources that can be used to generate material sitions in their application to climate change and interventions for building adaptive capacity in the the way in which its implications are shaped coastal cities of Mombasa and Dar es Salaam. The through social relations as I show in this section. allure of social capital is premised on the fact that I further show that social capital has the potential any group of people or community that can organ- to build resilience and adaptive capacity resulting ize themselves to work together to meet new chal- in reduced vulnerability of the city systems to cli- lenges has a precious resource called ‘social mate change. capital’, which they can use to realize mutual ben- efits. The application of social capital in this study 2.1. Defining vulnerability and adaptation takes into account its conceptual confusion (see Mohan and Mohan 2002). I use the concept here A summarized definition of climate change vul- to refer to the resource of collective action found nerability from literature is given by Dodman in those associations that are embodied in et al. (2009a) as the measure of the degree to resource-oriented groups with the capacity to which a human or natural system is unable to cope deliver on mutual environmental benefits, but not with adverse effects, including climate variability that which are embodied in groups such as sports and extremes. On the other hand, the IPCC Fourth clubs, denominational churches, parents–teachers Assessment Report emphasizes that adaptation associations and other similar groups. comprises actions that reduce vulnerability or In exploring the significance of the social cap- enhance resilience (Adger et al. 2007). Similarly, ital concept in the context of climate change, the adaptive capacity has been defined as the ability of article first brings into focus some of the concep- countries, communities, households and individu- tual issues that are relevant to climate change als to adjust in order to reduce vulnerability to adaptation. It then discusses the importance of climate change, moderate potential damage, cope adaptation strategies and opportunities created by with and recover from the consequences and the social capital as well as the reasons for privileging ability of a system to evolve in order to accommo- the social capital resource over other adaptation date environmental hazards or policy change and options. The study is based on an extensive field- to expand the range of variability with which it work conducted in Mombasa and Dar es Salaam in can cope by [Tyndall Centre for Climate change 2008 and 2009. This fieldwork entailed qualitative research (2006), Lim (2005) and Adger (2006), research including interviews with local community respectively]. group members, key informants and documentary It is important to note that in some instances, review. Key informants interviewed included adapting to climate changes may even exacerbate International Journal of Urban Sustainable Development 19 vulnerability. For example, if the needed adaptation place, eventually reducing vulnerability to climate actions to food insecurity for the coastal urban poor change risks. will lead to dependence of credit schemes to prac- Understanding the difference between taking 1 2 tice mari-culture, aquaculture, silvo-fisheries or adaptation measures and building adaptive capa- engage in other livelihood activities, coastal flood- city is very crucial for city decision-makers, not ing will not only leave people without any source of only in East Africa but also in developing coun- income but will also leave them in debt. Therefore, tries, where adaptive capacity is limited by some adaptation measures may solve one problem resources, weak institutions, poor/inadequate infra- while creating another, and it might be necessary to structure and poor governance. The extent to which ‘adapt to the adaptation’ (Mertz et al. 2009). adaptation measures can be adopted by vulnerable According to Smit and Wandel (2006), when groups depends on their adaptive capacity. It may extreme events go beyond the coping range, the therefore be useful to view adaptation along a con- adaptive capacity may be surpassed and the system tinuum from discrete adaptation measures under- threatened. At this point, required adaptation is bey- taken by various stakeholders but geared towards ond the capacity of the people experiencing the building adaptive capacity (Figure 1). threat and assistance is needed. In this case, adapta- These very diverse set of adaptation actions tion becomes the means by which adaptive actions are stimulated by policy influences originating necessary for establishing the coping range take from many sectors. The key benefit of using social ADAPTIVE CAPACITY Biophysical/Socio-economic impacts of climate change City/Climate change governance (can reduce or increase adaptive capacity) Groups’ environmental initiatives not necessarily taken with reference to climate change Mangrove regeneration/Silvo-culture Beach enrichment/Marine conservation activities Garbage collection/Water management activities Figure 1. A framework for building adaptive capacity through social capital. SOCIAL CAPITAL (CITY-LEVEL COLLECTIVE ACTION) COASTAL CITY VULNERABILITY TO CLIMATE CHANGE 20 J. Kithiia capital in this case is the legitimacy aquired by the The emergent action from such community action whole process of planning, management and has the ability to positively alter the outcome of implementation of these discrete actions. major external perturbations such as flooding (see Gibbs 2009). At the same time, while vulnerability reduction enhances resilience, vulnerability signi- 2.2. Defining risk and resilience fies low levels rather than lack of resilience as Risk in climate science has been defined as the each system has some inherent capacity to recover probability of a particular climate outcome multi- from perturbations (Siambalala 2006). For plied by the consequences of that outcome example, despite the enormity of obstacles in East (Pittock 2003). Climate change risks may result African cities, the inhabitants continue to exhibit from hazards acting on their own or together with exceeding resilience in adapting survival strate- other factors and can be addressed through mitiga- gies. However, this resilience will have its limits tion and adaptation. It must however be remem- (low level) in the phase of predicted climate bered that the relationship between vulnerability change impacts, hence the need to identify mea- and risk is not cumulative, which means that while sures to facilitate adaptation. Dodman et al. reduced vulnerability always means reduced (2009a) sum up the relationship between the three outcome risk, reducing outcome risk does not concepts by stating that vulnerability is the basic always reduce vulnerability (Sarewitz et al. 2003). condition that makes adaptation and resilience For example, building strong structures and living necessary. in safer areas in Mombasa and Dar es Salaam cit- ies will reduce losses from flooding, but reducing 3. Why are adaptation strategies for losses from flooding does not necessarily reduce Mombasa and Dar es Salaam cities necessary? vulnerability of the cities’ residents. In other words, vulnerability to climate risks is related to Adaptation to climate change is considered espe- the social frailties of the vulnerable communities. cially relevant for coastal cities in developing Godschalk et al. (1998) simply describe resil- countries, where societies are already struggling to ient communities as being capable of bending but meet the challenges posed by the existing climate unable to break when disasters strike. Adger variability (Gibbs 2009). In this article, the signifi- (2000), on the other hand, defines social resilience cance of the development of adaptation measures as the ability of groups or communities to adapt in in Mombasa and Dar es Salaam has been grouped the face of external social, political or environ- into the following five categories: mental stress and disturbance. However, the ecological literature has moved to using the term 3.1. What climate impact science says about adaptive capacity subsuming resilience in the East African coasts definition. Resilience is enhanced by reducing vulnerabil- East Africa is predicted to warm by 2–4°C by ity. For example, when a group of people living in 2100. In the coastal areas, rainfall is predicted to a slum built on a flood plain are collectively increase by 30–50%. This increased mean rain- involved in undertaking embankment or building fall coupled with its cyclical variations is likely drainage channels they are enhancing their resil- to result in more frequent and severe flooding. ience. In this case, climate change offers an oppor- Sea level is predicted to rise by 0.10–0.90 m, tunity for the community to build resilience to and this is further expected to aggravate flooding adapt to stressors. Viewed through the social cap- (see Figure 2) with the adaptation bill rising to ital frame, community resilience is underpinned 10% of the gross domestic product (GDP) (see by individual community members acting collec- Hulme et al. 2001, IPCC 2001, Dodman et al. tively to achieve a mutually beneficial outcome. 2009b). The implication of this to the cities International Journal of Urban Sustainable Development 21 Figure 2. Ocean street in Dar es Salaam city will be inundated by a slight rise in sea level (e.g. 18–59 cm by 2100). Photo: Justus Kithiia. along the East African coast would be to pose a region, adding that the scale of these risks has yet great risk to infrastructure, erosion of beaches, to be documented. flooding of wetlands, and salt-water intrusion The East African region is the least urbanized into fresh water aquifers causing salinization of of the world but is urbanizing rapidly. It has the water, thus affecting fresh water supply as well world’s shortest urban population doubling time, as peri-urban agriculture and fishing activities. from 50.6 million in 2007 to a projected 106.7 mil- These adverse effects would impose pressure on lion in 2017 in less than nine years (UN Habitat the already struggling economies of Kenya and 2008). A greater proportion of this population is Tanzania. expected to settle in coastal urban areas placing According to current estimates, 17% or greater stress and impacts on social and biophysi- 4600 ha of land in Mombasa will be submerged cal systems as well as having serious implications with a sea level rise of 0.3 m. The city’s low alti- for climate change (Table 1). tude, especially the coastal plain covering 4–6 km and lying between 0 and 45 m above sea level is 3.2. Recent events exposing vulnerability an area of high vulnerability to sea level rise (Mahongo 2006, Awour et al. 2008). However, The East African coastal zone is already experi- accurate data on sea level rise are complicated by encing some coastal degradation because of ero- the fact that tidal gauge records in the East Africa sion along some sandy and low-lying beaches. In Coast region are not long enough to give conclu- Dar es Salaam, accelerated marine erosion and sive evidence. For example, some of the old sta- flooding in the past is reported to have uprooted tions such as Mombasa have significant gaps, settlements and resulted in the abandonment of whereas others have been relocated, making it dif- luxury beaches (see Ibe and Awoski 1991). In May ficult to examine trends with certainty (Mahongo 2008, media houses reported that strong winds had 2006). Huq et al. (2007), citing an IPCC report on ripped off roofs of several houses in Shelly Beach the regional impact of climate change, allude to with numerous houses in Magongo, Likoni and the lack of local analysis of the scale of risks of Kisauni being submerged in rainwater in Mombasa sea level rise and storm surges in the Africa (Nation News June 2008). Exactly one year before 22 J. Kithiia Table 1. African region’s urbanization rates, urban and total population and growth rates. (Adapted from UN Habitat (2008).) 2007 Population Average annual Average annual total (thousands) Percent Urbanization rate population growth urbanization 2007 2005–2007 Urban Total rate 2005–2010 North Africa 50.92 2.40 99.855 196.108 2.40 West and Central Africa 41.75 4.02 162.109 338.299 4.03 East Africa 20.48 5.05 50.629 247.267 3.92 South Africa 45.60 2.56 60.779 133.299 1.47 Africa 38.70 3.31 373.372 964.973 3.31 this destructive event, in May 2007, similar destruc- there was additional damage to the coastal reefs tions had been reported in the same city where from threats that may be related to climate change, strong winds and rain blew away roofs of 30 some of which included harmful algae blooms in houses, killing five people and displacing 20 others both Tanzania and Kenya and unknown fungal (Kenya Television Network News May 2007). disease of corals in Kenya and northern Tanzania In Tanzania, the 1997/1998 El Niño phenom- (Obura et al. 2002) ena was associated with floods and increased sea The current framing of climate change adapta- surface temperatures; more than 100 deaths were tion in the United Nations Framework Convention reported and over 155,000 people were left home- on Climate Change (UNFCCC) and in policy dis- less (UNEP/DGIC/URT/UDSM 2002). Similarly, courses is largely impact-driven. Even under in 1947, 1961 and 1997/1998, El Niño rains are UNFCCC, adaptation responses address the mar- reported to have led to loss of human lives, ginal impacts of climate change rather than the increased disease incidents (e.g. cholera), loss of existing or potential climate risks. Tanzania, which property and destruction of houses in Mombasa. is classified as a least developing country, followed The most affected areas were those estates located the UNFCCC’s approach in developing the National near the ocean and lacking proper drainage struc- Adaptation Programs of Action (NAPA) in 2006. tures. These disturbances have had significant Ford (2008) further explains the weaknesses of this negative implications for local economies and approach by asserting that it has a tendency to under- although they may not necessarily be linked to cli- emphasize the complex socio-economic dynamics mate change, they expose the inherent vulnerabili- that shape vulnerability to climate change. It is ties of the cities. therefore unsuitable in helping to fill the gaps that Recently, the National Environment Manage- exist in understanding the nature of urban vulnera- ment Council in Tanzania received reports that bilities and the existing opportunities for adapta- farmers in Pemba, Pangani and Rufiji areas in tion. Understanding city-wide adaptive capacity greater Dar es Salaam were abandoning their means understanding the generic capacity existing farming activities because of increased water in a society that enables self-protection and collec- salinity. Maziwa Island located about 8 km South tive action to avert or cope with climate stressors East of the mouth of Pangani River completely such as flooding, temperatures changes, droughts disappeared in 1978. According to Fay (1992), the (see Pelling and High 2005b). Therefore, even with island was originally famous for being the most the presence of UNFCCC’s prescribed NAPAs in important of East Africa’s nesting grounds for three Tanzania, protecting Dar es Salaam from the endangered marine turtles. The island with its cas- impacts of climate change will require additional uarina trees vanished because of sea level rise and/ strategies that address the vulnerability-shaping or destructive human activities. In 2001–2002, socio-economic dynamics. International Journal of Urban Sustainable Development 23 3.3. Risk in the face of socio-economic However our roles clash with those of our colleagues in the municipalities. Well, we have development similar qualifications and do the same jobs in the Mombasa and Dar es Salaam are port cities and same city. Municipal directors in the 3 munici- therefore they represent important national and palities in Dar es Salaam are not obliged to follow instructions from my city director; he is regional engines of economic development. They not their boss. It’s a little bit confusing but we are serve as major conduits of commerce between the working on proper structure. interior regions and the rest of the world. The two (Dar es Salaam city official during the interview.) cities are faced with various types of environmen- tal impacts because of rapid development activi- The institutional arrangements and policy ties mostly associated with tourism, industry, instrumentation and implementation in East African urban agriculture and fishing. As a result of these cities generally reflect city systems in ‘organized’ economic activities, the whole East African chaos, where decisions are delayed, correspond- coastal zone is heavily populated. In Tanzania, the ences lost in bureaucratic black-hole and ascrip- coastal area supports approximately 25% of the tion of responsibility is obfuscated. The above population with the majority of the people living statement by a Dar es Salaam city council official in Dar es Salaam city (Sallema and Mtui 2008). is such an example. City governance consists of On the other hand, over 70% of the coastal popu- institutions whose roles are either overlapping or lation in Kenya relies on fisheries for their liveli- present problems in the implementation of hood (MacClanahan 2007). Global sea level rise is assigned functions. This has resulted in institu- therefore a key concern for both cities as they also tional weakness and lack of enforcement and regu- contain important infrastructural facilities, e.g. lation. For example, Dar es Salaam city is divided ports, roads and airports. into three municipalities, namely, Kinondoni, Ilala Coastal tourism in East Africa accounts for a and Temeke (Figure 3), with each municipality big proportion of the countries’ GDP. In Kenya, it complete with a Mayor and Director. However, accounts for 10% of the GDP making it the third there is also Dar es Salaam city council which has largest contributor to Kenya’s GDP after agricul- a Mayor and a Chief Executive Officer (Director). ture and manufacturing (KNBS 2007). In Tanzania, Although the city council is mandated to deal with income from the tourism sector grew from cross-cutting issues, e.g. waste management and US$822 million in 2005 to US$1.3 billion in 2008 transport management, in practice the municipali- (Mwangunga 2009). Tourism has been identified as ties also claim responsibility for these functions. one of the key drivers in achieving visions of 2030 The municipalities are autonomous and are able to and 2025 in Kenya and Tanzania, respectively. But deal directly with the central government and as mentioned earlier, developments associated with other collaborators without reference to the city tourism activities have exposed these cities to vari- council. A similar scenario can be found in Mom- ous types of climate change impacts. Economic basa where responsibilities and accountability for considerations have placed coastal tourism above climate change issues among many other issues the well-being of the coast. However, building the are straddled between several institutions includ- cities’ adaptive capacity will require that the pursuit ing National Environment Management Authority, of this economic goal go hand in glove with initia- municipal Council and other government depart- tives aimed at reducing vulnerability. ments. Such institutional arrangements and weak- nesses undermine efforts to even begin to pay attention to adaptation. 3.4. Risk in the face of governance disorder Authorities in poorly governed cities are unable to initiate and motivate measures necessary We are more concerned with cross-cutting issues such as environment and physical planning. for accomplishment of climate change adaptation. 24 J. Kithiia Figure 3. Map showing the three municipalities in the city of Dar es Salaam. For example, in both cities, local authority plans providing the needed protective infrastructure and do not link changing climatic conditions with services to low-income populations, yet the qual- housing programmes, city development and land ity of housing and overall infrastructure is an use management. There is little effort to address important determinant of people’s vulnerability to the plight of the poor living in informal settlements flooding or storms and failure to device precau- who are likely to experience the greatest impacts of tionary measures through adaptation puts the climate change. City authorities have limitation in population at risk. The settlement of the urban International Journal of Urban Sustainable Development 25 poor in some of the risky areas of the city can be (UN ICCPR, Part 1 article 2 section 2, 1966). Fail- attributed to poor housing programmes and lack of ure to address both climate change mitigation and enforcements and regulations. Attempting to cor- adaptation is doing exactly that; i.e. depriving rect these failures by relocating settlers from the risky people in poor countries of water, soil and land on area may be a difficult task, especially if they have which they subsist. settled in the area for a long time. A good example is the unsuccessful eviction of squatters from the flood- 4. Rationale for using the social capital prone area of Jangwani in Dar es Salaam by the city resource in facilitating climate change authorities. Settlers have strongly resisted eviction, responses in Mombasa and Dar es Salaam cities with some seeking court injunctions. Therefore, risk reduction amidst climate change requires long-term Although cities in the high-income countries can holistic planning as opposed to ad hoc decisions allocate huge resources to building their resilience meant to correct past mistakes. to climate change effects and therefore concentrate The proliferation of local environmental action on the ‘green agenda’ issues, those in East Africa 6 7 groups in Mombasa and Dar es Salaam cities may be have to simultaneously deal with the brown, gray because of government stalling on environmental and green agenda issues. At the moment, finding issues and may have forced communities to take the best means of developing and financing urban matters into their own hands. For example, according environmental initiatives that address these agenda to records from the Mombasa district culture and issues remain a major challenge for both the social services office, there were 855 registered envi- national governments and the local authorities. The ronmental management groups in 2008 alone. Other situation in the cities is not helped by the fact that groups involved in garbage collection in the city time- and space-related impacts have transformed were registered with the municipal council, which is the timing, speed and sequencing of environmental symptomatic of the government’s/council’s inability transitions such that challenges are appearing to effectively manage environmental issues. Where sooner, growing faster and emerging more simulta- government interventions in managing city systems neously than those previously experienced by are largely absent or ineffective, usually depicting a industrialized cities (see Keiner et al. 2005). system in chaos, social groups in effect could take The key issue for climate change adaptation in over as a substitute for external intervention (see also these cities will be how well to demonstrate the Bhattarai and Haming 2001). links between the green, brown and gray agendas as well as other socio-economic issues so that the implications of climate change are not just seen as 3.5. Risk in the violation of human rights ‘green issues’ but also as social and economic Modern society has an obligation to ensure that well-being of the city residents. This will require citizens live in homes and that communities pro- innovative city planning keen on adopting policy vide a basic level of protection from the threat of trends that value the knowledge and capacities of climate change. Therefore, the governments of local people and build on resources that include Kenya and Tanzania have the responsibility to social capital. These are likely to be more facilitative monitor the vulnerabilities of those whose rights of development initiatives leading to sustainable are most at risk by addressing their vulnerabilities, cities because the problems that impede socio- e.g. those living in informal settlements, flood economic development are often the same as those plains as well as those who depend on coastal that increase vulnerability to climate stress. resources for their livelihoods. This is in line with City planners and decision-makers in East Africa the international covenant on civil and political seem to view climate change through the lens of the rights which state in part, ‘. . . in no case should a global policy agenda, whose consequences will be in people be deprived of its own source of existence’ the long-term. This is evidenced by the lack of cli- 26 J. Kithiia mate change response planning and/or failure to pro- National and city governments in East Africa vide for climate change adaptation planning within lack the resources to invest in infrastructure that the overall municipal development planning. Indeed, would minimize climate change impacts. For the low funding priority given to climate-related example, according to a report from the Vice Pres- activities in both the national and the municipal ident’s Office (VPO 2003) in Tanzania, the cost of budgets is a significant sign of its low political signif- protecting the whole coastline of Dar es Salaam icance. The challenges posed by climate change are (about 100 km) by building a sea wall would be viewed as marginal compared with other socio-eco- US$270 billion, far beyond what the national eco- nomic problems facing city planning and develop- nomy can afford. It has been suggested by Thoma- ment, e.g. infrastructure, public health, education, lla et al. (2006) that well-accumulated social housing and energy, all of which feature prominently capital has the potential to help minimize the cost in the municipal plans. Similarly, shifting attention of adaptation thus offering some savings to the from the politically correct mitigation frame to adap- state, although in the real sense, social capital tation is seemingly a source of ambiguity for both the should never be reduced to the function of saving national and the city-level decision-makers with costs. Hence, enhancing adaptation would be more respect to guidance for city planning. However, what successful, if it were to use pre-existing local is important is that whatever the drivers of urban capacities operating at an appropriate scale to development are, these should be adjusted to make address climate change risks. This calls for the them take into account climate change risks and initiation, support and sustenance of locally driven hence manage their growth in a manner that adaptation initiatives that seek to engage social enhances their resilience to climate variability and groups and their networks as critical loci of city change (Huq et al. 2007). This can only be done development. through robust policy instrumentation and planning Data describing the changing environmental processes, both at the national and at the city levels conditions of places in East Africa are limited that view adaptive capacity as an emergent property because of lack of local analysis. Moreover, even of social systems, which is continuously being the most comprehensive climate change models shaped through social relationships. provide local decision-makers with little informa- At the municipal/local authority levels, tion about the most efficient or effective way to environmental planning is still aligned with models adapt to climate change. Such information can of economic efficiency and rationalization, whereas only be based on local knowledge, and develop- in some other instances, it is conservation at all ment of local knowledge requires different associ- costs. However, adaptation measures will most ations, methods and tools (Pelling and High likely require decisions that fall outside this para- 2005a, Patwardhan 2006). Besides, some local digm (see Gibbs 2009), mainly because adaptation groups could be more resilient than modeling processes are slow, are multi-scalar, have long time studies can suggest because many aspects of adap- scales and involve multiple players, all of which are tive capacity are known to reside in networks and inconsistent with neo-liberal planning. However, social capital of groups that are likely to be affec- social capital perspectives use endowments inher- ted (Adger 2003). Therefore, using social capital ent in ‘non-state agents’ or what others have called in adaptation measures will mean allowing for ‘civic virtue’ thus operating outside the markets local community initiatives to generate material forces as well as government control mechanisms. interventions directed at vulnerability reduction or For this reason, social capital perspectives could response to climate stressors in the city. function as enablers to avoid static bureaucratic Already, there are many local groups in Dar es conceptions of administrative scale and sector to Salaam and Mombasa working on different indicate the importance of social networks acting aspects of environmental conservation/manage- across boundaries for vulnerability reduction. ment including mangrove regeneration, solid International Journal of Urban Sustainable Development 27 waste management, marine protection, greening of It is of course possible to achieve coordinated open city spaces, seaweed production, turtle con- actions among groups of people possessing no servation, etc. The strong tradition of collabora- social capital. The problem with this is that it tion within and among groups and their almost always entails offering incentives, addi- federations, which is sustained by bonds of trust, tional transaction costs in monitoring and regula- reciprocity and connectedness existing mostly tion, as well as in enforcing formal agreements. among the urban poor, can be used to facilitate the Incentives, regulations and enforcements may launch of an effective city-wide adaptation change the behavior of group members but fail to strategy. The Turtles Conservation Group in change their attitude. Community groups normally Kigamboni in Dar es Salaam searches and protects revert back to old ways when incentives are not sea Turtle nests. The group has developed a sense forthcoming or regulations enforced (see Fuku- of ownership of the area and maintains surveil- yama 2001, Pelling and High 2005a). Besides, the lance to ensure that Turtle nesting areas are low-income countries of Eastern Africa lack protected. The Mtoni Kijijini Conservation Group financial resources to offer incentives and have in Temeke, Dar es Salaam, checks the illegal weak urban governance structures incapable of harvesting of mangroves trees and is active in undertaking effective monitoring and regulation. replanting more mangroves to restore the coastal In Mombasa and Dar es Salaam, the poor ecosystem. In Mombasa, local Beach Management urban population lives in the riskiest parts of city. Units work collaboratively to ensure sustainable In Dar es Salaam, this category of the population use of coastal resources in their areas of operation. accounts for about 70–75% of the city’s total All these collective group actions indicate the population (United Republic of Tanzania 2004, existence of social capital. Dodman et al. 2009b) whereas in Mombasa, the number of poor people is known to have increased by 38.82% between 1994 and 1997 (Republic of 5. Building adaptive capacity through Kenya 2002). One of the most important lessons opportunities created by social capital learnt from the devastation of New Orleans by Literature is replete with examples where social Hurricane Katrina in 2005 was that even where capital has provided the exploratory power risks have been reduced through decades of specific in the area of environmental management, investment in housing, infrastructural design, especially where common property resources flood defences and well-resourced emergency (water, forests, grazing areas, etc.) are concerned services, these can still be overwhelmed by the (Adger 2001, 2003, Grootaert 2001, Salick and forces of disruption, with the poor households Byg 2007). However contribution of social capital in being the most affected (see Huq et al. 2007, providing critical material support for environmental Dodman et al. 2009a). Engaging resource-oriented management elsewhere cannot be generalized to marginalized groups is a fundamental form of include East Africa. Instead, successful implemen- encouraging the participation of the poor and tation of adaptation options using social capital in enablement of community education about the Mombasa and Dar es Salaam will require an value of adaptation, as well as providing an understanding of the groups, association and/or empowerment and compelling mechanism for networks involved, i.e. the location and activities transmission of ideas and claims from the bottom-up of those groups or units that serve as loci for mutu- (Allen 2006). ally beneficial activities. From the start, the most The adaptation measures initiated by low- important attributes of these groups, association income cities like Mombasa and Dar es Salaam and networks should be their functional capacity should be underpinned on the premise that both the to collectively identify problems, take decision local groups and the city-level policy-makers have and act by allocating resources. the motivation, but generally lack the capacity to 28 J. Kithiia implement more ambitious adaptations strategies their exposure to the effects of the wave. Similar to address uncertain climate change. Even so, messages were reported in the 2008 Burma this has to begin with the planners/authorities catastrophe where the removal of mangroves accepting the central role of local groups and ecosystem played a part in increasing vulnerability networks in the process of city development and of communities to storm surge and floods (Kliver economic growth first (Revi 2008). The poten- 2008). tial for social capital to deliver material inter- In addition to achieving adaptation through ventions for adaptation lies not in the number of city-wide environmental management initiatives, associations involved but in their ability to cre- social capital’s relationships of trust, reciprocity ate and maintain linkages that would enable and connectedness can be drawn upon in respond- them to achieve resources and access to power ing to non-climate-related stressors. For example, necessary to shift the rules of the game in their Weru (2004) explains how exchange visits favor. Synergistic interactions with governing between group-saving schemes in Nairobi slums institutions cause them to evolve in a process helped in coping with a fire disaster. When fire often characterized as policy learning. These can burned down one of the informal settlements, it then build trust and legitimacy and help promote was the savings scheme members who first long-term decisions on adaptation even when responded, bringing money and food. Resource there are urgent and divisive conflicts over groups and their networks can act also as a political short-term interests (Narayan 1999). For force to mobilize for policy changes at the city example, assisted by a local Non-Governmental level and higher levels of government. As Organization, the Majaoni Youth Group in consumers of material goods and resources found Mombasa has teamed up with the departments of in the coastal cities, e.g. fish, urban agricultural Fisheries and Forests to rehabilitate and protect products and mangroves/their products, they can mangrove forests in the areas, as the group prac- collectively enact behavioral changes that are con- tices silvoculture. The group has helped to stop sistent with the needed adaptation measures (see loggers from further destroying the mangroves Moser 2006). Further, the groups’ strong local by keeping vigil as well as eliminating illegal opinion can secure conservation gains by resisting farming activities that previously took place inappropriate development. For example, in Mom- close to the highest water mark. basa one of the Beach management groups suc- Examples of such activities in Mombasa and cessfully prevented a wealthy private developer Dar es Salaam that are undertaken without regard from erecting a wall that would have blocked to adaptation but have great potential to contribute access to a public beach. to adaptation include regeneration and protection There are indeed compelling reasons to of mangrove forests along the coastlines, seaweed believe that, if the centrality of local resource- farming, beach protection/embankment, garbage oriented groups is accepted in the city develop- collection, etc. Giving an example of the import- ment processes, these will be able to provide the ance of mangrove forests in building adaptive necessary policy and knowledge continuity. Pro- capacity, Kliver (2008) explains how researchers vided that there is strong social capital within the from the World Conservation Union (IUCN) groups, it obviates the problem of opportunists out compared the death toll from two villages that to make use of the policy gaps and ineffective reg- were hit by the giant tsunami wave in December ulatory mechanisms to undermine adaptation 2004. Whereas two people died in the settlements efforts. This way, the social capital resource can with dense mangrove and scrub forests, up to 6000 be mobilized to resist unsustainable vulnerability people lost their lives in a nearby village without increasing forms of development or livelihood similar vegetation. The mangrove forests served as practices and to raise local concerns more effec- bio-shields for the coastal settlements and reduced tively with political representatives. International Journal of Urban Sustainable Development 29 6. Conclusion being directed at developing important information communication tools such as hazard maps, vulnera- In this article, the discussion of social capital in bility assessment tools and early warning systems. the context of climate change has shown that both Using these tools in the context of social capital the city authorities and the national governments would greatly contribute towards the improvement in East Africa have a key role to play in planned of adaptive capacity of the coastal urban communi- adaptation to climate change. However, they lack ties and facilitate their adaptation to climate change. the necessary capacity to do so and are not in a Indeed, the need to identify ways and means by position to provide adequate resources and infra- which to transcend social divide and build both structure for adaptation. For this reason, they horizontal and vertical social cohesion and trust in should seek to implement adaptation in partner- addressing the effects of uncertain changes in ship with local resource-oriented groups, thus uti- climate cannot be overemphasized. lizing the social capital resource found within The findings of this study add to the existing them. These local capacities can provide a founda- knowledge on the significance of social capital in tion for effective climate change adaptation. In facilitating the effective application of a range of effect, this will not only ensure acceptability and public policies in communities and places. As effectiveness but also build the much needed many contributors have shown that social capital adaptive capacity at the range of urban scales. Fur- embedded in local associations makes significant thermore, to operate at an appropriate scale, these contributions to household welfare and poverty groups/associations have to become part of wider reduction, the study aimed at attaching new rele- networks. This will provide a stronger source of vance to this hidden resource in helping to provide support and ensure a meaningful engagement with material interventions to build adaptive capacity in the state institutions in a synergistic mutually sup- coastal East Africa cities. portive state–community relationship. The Mombasa and Dar es Salaam case study has also shown that the use of social capital Notes resource in climate change adaptation will succeed 1. Involves the cultivation of marine organisms in if viewed as an element in the wider processes of ponds filled with seawater. sustainable development and not as stand-alone 2. Integrated mangroves-shrimp/fish production. local projects concentrating on climate change. 3. The endangered marine turtles were Olive ridley turtle, Green turtle and Hawksbill turtle. This means embracing local development initia- 4. Under the UNFCCC agreement, all least develop- tives that are taken without reference to climate ing countries should develop NAPAs. change but that can help minimize climate risks 5. Visions 2030 and 2025 are blue prints aimed at while enhancing economic and political develop- transforming the Kenyan and Tanzanian’s econo- ment. It further means choosing adaptation options mies to offer high quality life to their citizens. 6. Brown agenda issues include environmental in the context of poverty-driven economic survival health and local issues such as inadequate water urbanization, as is currently the case for the two and sanitation, urban air quality and solid waste East Africa coastal cities. This vulnerability reduc- disposal. tion approach also helps in addressing present day 7. Gray agenda issues are associated with industriali- climate events (including climate variability), zation and urbanization, e.g. chemical pollution of air and water sheds. therefore making it easily communicable to relev- 8. For further understanding of environmental transi- ant stakeholders. tion and agenda issues, the reader is referred to the New and existing policies should also be works by Marcotullio et al. (2005) and McGrana- aimed at linking climate conditions with urban han et al. (2007). development, housing, land use management and 9. Some of the incentives given to voluntary groups in Africa include food, cash or tools for work. information dissemination with deliberate efforts 30 J. Kithiia 10. Wealth generally allows individuals and house- warming world, Ch. 5. Washington, DC: The holds to reduce risks, e.g. by building safer Worldwatch Institute. houses, choosing safer jobs, insuring assets. Dodman, D., Kibona, E., and Kiluma, L., 2009b. 11. 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Old notion–new relevance: setting the stage for the use of social capital resource in adapting East African coastal cities to climate change

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International Journal of Urban Sustainable Development Vol. 1, Nos. 1–2, May–November 2009, 17–32 TJUE Old notion–new relevance: setting the stage for the use of social capital resource in adapting East African coastal cities to climate change International Journal of Urban Sustainable Development Justus Kithiia* Department of Environment & Geography, Macquarie University, New South Wales, Sydney, Australia (Received 2 November 2009; final version recevied 11 February 2010) Previous studies have shown that limited understanding of the social needs and capabilities of specific places and communities present limitations in the progression of public policy and strategic response to climate change risks. Social capital, a mutually beneficial collective action found in communities to different extents, has the potential to facilitate urban vulnerability reduction necessary for climate change adaptation. This article explores how the notion of social capital can attain new relevance by motivating the initiation and accomplishment of measures to overcome climate change risks facing coastal East African cities. Building on the existing conceptualization of social capital and associated concepts in climate change theory and policy, this article demonstrates how, within a social capital framework, the analysis of risk and adaptation can move away from a purely top-down focus on formal organizational capacity towards an acknowledgment of the importance of informal social networks in the final directing of flow of activities as well as policy enactment. This article finds that a strong tradition of collaboration, trust and reciprocal relationships between local resource-oriented groups in the cities of Mombasa and Dar es Salaam can be leveraged to generate material interventions directed at reducing vulnerability to climate variability and change. Keywords: adaptation; vulnerability; social capital; resilience; coastal cities; climate change; collective action; adaptive capacity 1. Introduction view of these impending risks, individuals as well as city decision-makers will have to identify Projections by the Intergovernmental Panel on and implement adaptation strategies to deal with Climate Change (IPCC) indicate that developing the impacts of a warming climate (see Scott et al. countries and their cities are among those regions 2001, Moser 2006), albeit with only a limited at greatest risk to the impacts of climate change capacity to do so. One of the most common and (Parry et al. 2007). However, the governance practical resources that would contribute to the dimensions of these cities indicate a limited design and facilitation of adaptation responses capacity to deal with the impacts as well as a lim- that are specific to the needs and circumstances ited potential to perceive climate change as a of cities is the concept of social capital. salient risk issue that warrants immediate action. There has been a rapid growth in reference to African cities, especially those situated along the the term ‘Social Capital’ in recent years. The term coast, are expected to be affected in numerous captures the idea that social bonds and norms are ways by climate change (Ibe and Awoski 1991, important for sustainable livelihoods. Coleman Mahongo 2006, Dossou and Dossou 2007). In *Email: jkithiia@els.mq.edu.au ISSN 1946-3138 print/ISSN 1946-3146 online © 2009 Taylor & Francis DOI: 10.1080/19463131003607630 http://www.informaworld.com 18 J. Kithiia (1990) describes it as ‘the structure of relations national and city-level officials, Non-Governmental between actors and among actors’ that encourages Organization representatives and representatives productive activities, but it is Putnam (1995, 2000) from the Semi-Autonomous Government Agencies. who brought it into wider use. It has been shown to have relevance for facilitating the effective applica- 2. Conceptual terms in climate change tion of a range of public policies in communities adaptation science and places. For example, a comparative study of the role of local institutions in Bolivia, Burkina Faso The study of climate change and its implications and Indonesia demonstrated empirically that social has acquired the use of concepts such as adapta- capital embedded in local associations makes signi- tion, vulnerability, adaptive capacity, risks and ficant contributions to household welfare and pov- resilience, whose array of sometimes loose defi- erty reduction (see Grootaert 2001). nitions is frequently lost in the course of growing This article explores the significance of social multidisciplinary discourses. These concepts capital and its potential in providing practical have real inter-relationships and not just juxtapo- resources that can be used to generate material sitions in their application to climate change and interventions for building adaptive capacity in the the way in which its implications are shaped coastal cities of Mombasa and Dar es Salaam. The through social relations as I show in this section. allure of social capital is premised on the fact that I further show that social capital has the potential any group of people or community that can organ- to build resilience and adaptive capacity resulting ize themselves to work together to meet new chal- in reduced vulnerability of the city systems to cli- lenges has a precious resource called ‘social mate change. capital’, which they can use to realize mutual ben- efits. The application of social capital in this study 2.1. Defining vulnerability and adaptation takes into account its conceptual confusion (see Mohan and Mohan 2002). I use the concept here A summarized definition of climate change vul- to refer to the resource of collective action found nerability from literature is given by Dodman in those associations that are embodied in et al. (2009a) as the measure of the degree to resource-oriented groups with the capacity to which a human or natural system is unable to cope deliver on mutual environmental benefits, but not with adverse effects, including climate variability that which are embodied in groups such as sports and extremes. On the other hand, the IPCC Fourth clubs, denominational churches, parents–teachers Assessment Report emphasizes that adaptation associations and other similar groups. comprises actions that reduce vulnerability or In exploring the significance of the social cap- enhance resilience (Adger et al. 2007). Similarly, ital concept in the context of climate change, the adaptive capacity has been defined as the ability of article first brings into focus some of the concep- countries, communities, households and individu- tual issues that are relevant to climate change als to adjust in order to reduce vulnerability to adaptation. It then discusses the importance of climate change, moderate potential damage, cope adaptation strategies and opportunities created by with and recover from the consequences and the social capital as well as the reasons for privileging ability of a system to evolve in order to accommo- the social capital resource over other adaptation date environmental hazards or policy change and options. The study is based on an extensive field- to expand the range of variability with which it work conducted in Mombasa and Dar es Salaam in can cope by [Tyndall Centre for Climate change 2008 and 2009. This fieldwork entailed qualitative research (2006), Lim (2005) and Adger (2006), research including interviews with local community respectively]. group members, key informants and documentary It is important to note that in some instances, review. Key informants interviewed included adapting to climate changes may even exacerbate International Journal of Urban Sustainable Development 19 vulnerability. For example, if the needed adaptation place, eventually reducing vulnerability to climate actions to food insecurity for the coastal urban poor change risks. will lead to dependence of credit schemes to prac- Understanding the difference between taking 1 2 tice mari-culture, aquaculture, silvo-fisheries or adaptation measures and building adaptive capa- engage in other livelihood activities, coastal flood- city is very crucial for city decision-makers, not ing will not only leave people without any source of only in East Africa but also in developing coun- income but will also leave them in debt. Therefore, tries, where adaptive capacity is limited by some adaptation measures may solve one problem resources, weak institutions, poor/inadequate infra- while creating another, and it might be necessary to structure and poor governance. The extent to which ‘adapt to the adaptation’ (Mertz et al. 2009). adaptation measures can be adopted by vulnerable According to Smit and Wandel (2006), when groups depends on their adaptive capacity. It may extreme events go beyond the coping range, the therefore be useful to view adaptation along a con- adaptive capacity may be surpassed and the system tinuum from discrete adaptation measures under- threatened. At this point, required adaptation is bey- taken by various stakeholders but geared towards ond the capacity of the people experiencing the building adaptive capacity (Figure 1). threat and assistance is needed. In this case, adapta- These very diverse set of adaptation actions tion becomes the means by which adaptive actions are stimulated by policy influences originating necessary for establishing the coping range take from many sectors. The key benefit of using social ADAPTIVE CAPACITY Biophysical/Socio-economic impacts of climate change City/Climate change governance (can reduce or increase adaptive capacity) Groups’ environmental initiatives not necessarily taken with reference to climate change Mangrove regeneration/Silvo-culture Beach enrichment/Marine conservation activities Garbage collection/Water management activities Figure 1. A framework for building adaptive capacity through social capital. SOCIAL CAPITAL (CITY-LEVEL COLLECTIVE ACTION) COASTAL CITY VULNERABILITY TO CLIMATE CHANGE 20 J. Kithiia capital in this case is the legitimacy aquired by the The emergent action from such community action whole process of planning, management and has the ability to positively alter the outcome of implementation of these discrete actions. major external perturbations such as flooding (see Gibbs 2009). At the same time, while vulnerability reduction enhances resilience, vulnerability signi- 2.2. Defining risk and resilience fies low levels rather than lack of resilience as Risk in climate science has been defined as the each system has some inherent capacity to recover probability of a particular climate outcome multi- from perturbations (Siambalala 2006). For plied by the consequences of that outcome example, despite the enormity of obstacles in East (Pittock 2003). Climate change risks may result African cities, the inhabitants continue to exhibit from hazards acting on their own or together with exceeding resilience in adapting survival strate- other factors and can be addressed through mitiga- gies. However, this resilience will have its limits tion and adaptation. It must however be remem- (low level) in the phase of predicted climate bered that the relationship between vulnerability change impacts, hence the need to identify mea- and risk is not cumulative, which means that while sures to facilitate adaptation. Dodman et al. reduced vulnerability always means reduced (2009a) sum up the relationship between the three outcome risk, reducing outcome risk does not concepts by stating that vulnerability is the basic always reduce vulnerability (Sarewitz et al. 2003). condition that makes adaptation and resilience For example, building strong structures and living necessary. in safer areas in Mombasa and Dar es Salaam cit- ies will reduce losses from flooding, but reducing 3. Why are adaptation strategies for losses from flooding does not necessarily reduce Mombasa and Dar es Salaam cities necessary? vulnerability of the cities’ residents. In other words, vulnerability to climate risks is related to Adaptation to climate change is considered espe- the social frailties of the vulnerable communities. cially relevant for coastal cities in developing Godschalk et al. (1998) simply describe resil- countries, where societies are already struggling to ient communities as being capable of bending but meet the challenges posed by the existing climate unable to break when disasters strike. Adger variability (Gibbs 2009). In this article, the signifi- (2000), on the other hand, defines social resilience cance of the development of adaptation measures as the ability of groups or communities to adapt in in Mombasa and Dar es Salaam has been grouped the face of external social, political or environ- into the following five categories: mental stress and disturbance. However, the ecological literature has moved to using the term 3.1. What climate impact science says about adaptive capacity subsuming resilience in the East African coasts definition. Resilience is enhanced by reducing vulnerabil- East Africa is predicted to warm by 2–4°C by ity. For example, when a group of people living in 2100. In the coastal areas, rainfall is predicted to a slum built on a flood plain are collectively increase by 30–50%. This increased mean rain- involved in undertaking embankment or building fall coupled with its cyclical variations is likely drainage channels they are enhancing their resil- to result in more frequent and severe flooding. ience. In this case, climate change offers an oppor- Sea level is predicted to rise by 0.10–0.90 m, tunity for the community to build resilience to and this is further expected to aggravate flooding adapt to stressors. Viewed through the social cap- (see Figure 2) with the adaptation bill rising to ital frame, community resilience is underpinned 10% of the gross domestic product (GDP) (see by individual community members acting collec- Hulme et al. 2001, IPCC 2001, Dodman et al. tively to achieve a mutually beneficial outcome. 2009b). The implication of this to the cities International Journal of Urban Sustainable Development 21 Figure 2. Ocean street in Dar es Salaam city will be inundated by a slight rise in sea level (e.g. 18–59 cm by 2100). Photo: Justus Kithiia. along the East African coast would be to pose a region, adding that the scale of these risks has yet great risk to infrastructure, erosion of beaches, to be documented. flooding of wetlands, and salt-water intrusion The East African region is the least urbanized into fresh water aquifers causing salinization of of the world but is urbanizing rapidly. It has the water, thus affecting fresh water supply as well world’s shortest urban population doubling time, as peri-urban agriculture and fishing activities. from 50.6 million in 2007 to a projected 106.7 mil- These adverse effects would impose pressure on lion in 2017 in less than nine years (UN Habitat the already struggling economies of Kenya and 2008). A greater proportion of this population is Tanzania. expected to settle in coastal urban areas placing According to current estimates, 17% or greater stress and impacts on social and biophysi- 4600 ha of land in Mombasa will be submerged cal systems as well as having serious implications with a sea level rise of 0.3 m. The city’s low alti- for climate change (Table 1). tude, especially the coastal plain covering 4–6 km and lying between 0 and 45 m above sea level is 3.2. Recent events exposing vulnerability an area of high vulnerability to sea level rise (Mahongo 2006, Awour et al. 2008). However, The East African coastal zone is already experi- accurate data on sea level rise are complicated by encing some coastal degradation because of ero- the fact that tidal gauge records in the East Africa sion along some sandy and low-lying beaches. In Coast region are not long enough to give conclu- Dar es Salaam, accelerated marine erosion and sive evidence. For example, some of the old sta- flooding in the past is reported to have uprooted tions such as Mombasa have significant gaps, settlements and resulted in the abandonment of whereas others have been relocated, making it dif- luxury beaches (see Ibe and Awoski 1991). In May ficult to examine trends with certainty (Mahongo 2008, media houses reported that strong winds had 2006). Huq et al. (2007), citing an IPCC report on ripped off roofs of several houses in Shelly Beach the regional impact of climate change, allude to with numerous houses in Magongo, Likoni and the lack of local analysis of the scale of risks of Kisauni being submerged in rainwater in Mombasa sea level rise and storm surges in the Africa (Nation News June 2008). Exactly one year before 22 J. Kithiia Table 1. African region’s urbanization rates, urban and total population and growth rates. (Adapted from UN Habitat (2008).) 2007 Population Average annual Average annual total (thousands) Percent Urbanization rate population growth urbanization 2007 2005–2007 Urban Total rate 2005–2010 North Africa 50.92 2.40 99.855 196.108 2.40 West and Central Africa 41.75 4.02 162.109 338.299 4.03 East Africa 20.48 5.05 50.629 247.267 3.92 South Africa 45.60 2.56 60.779 133.299 1.47 Africa 38.70 3.31 373.372 964.973 3.31 this destructive event, in May 2007, similar destruc- there was additional damage to the coastal reefs tions had been reported in the same city where from threats that may be related to climate change, strong winds and rain blew away roofs of 30 some of which included harmful algae blooms in houses, killing five people and displacing 20 others both Tanzania and Kenya and unknown fungal (Kenya Television Network News May 2007). disease of corals in Kenya and northern Tanzania In Tanzania, the 1997/1998 El Niño phenom- (Obura et al. 2002) ena was associated with floods and increased sea The current framing of climate change adapta- surface temperatures; more than 100 deaths were tion in the United Nations Framework Convention reported and over 155,000 people were left home- on Climate Change (UNFCCC) and in policy dis- less (UNEP/DGIC/URT/UDSM 2002). Similarly, courses is largely impact-driven. Even under in 1947, 1961 and 1997/1998, El Niño rains are UNFCCC, adaptation responses address the mar- reported to have led to loss of human lives, ginal impacts of climate change rather than the increased disease incidents (e.g. cholera), loss of existing or potential climate risks. Tanzania, which property and destruction of houses in Mombasa. is classified as a least developing country, followed The most affected areas were those estates located the UNFCCC’s approach in developing the National near the ocean and lacking proper drainage struc- Adaptation Programs of Action (NAPA) in 2006. tures. These disturbances have had significant Ford (2008) further explains the weaknesses of this negative implications for local economies and approach by asserting that it has a tendency to under- although they may not necessarily be linked to cli- emphasize the complex socio-economic dynamics mate change, they expose the inherent vulnerabili- that shape vulnerability to climate change. It is ties of the cities. therefore unsuitable in helping to fill the gaps that Recently, the National Environment Manage- exist in understanding the nature of urban vulnera- ment Council in Tanzania received reports that bilities and the existing opportunities for adapta- farmers in Pemba, Pangani and Rufiji areas in tion. Understanding city-wide adaptive capacity greater Dar es Salaam were abandoning their means understanding the generic capacity existing farming activities because of increased water in a society that enables self-protection and collec- salinity. Maziwa Island located about 8 km South tive action to avert or cope with climate stressors East of the mouth of Pangani River completely such as flooding, temperatures changes, droughts disappeared in 1978. According to Fay (1992), the (see Pelling and High 2005b). Therefore, even with island was originally famous for being the most the presence of UNFCCC’s prescribed NAPAs in important of East Africa’s nesting grounds for three Tanzania, protecting Dar es Salaam from the endangered marine turtles. The island with its cas- impacts of climate change will require additional uarina trees vanished because of sea level rise and/ strategies that address the vulnerability-shaping or destructive human activities. In 2001–2002, socio-economic dynamics. International Journal of Urban Sustainable Development 23 3.3. Risk in the face of socio-economic However our roles clash with those of our colleagues in the municipalities. Well, we have development similar qualifications and do the same jobs in the Mombasa and Dar es Salaam are port cities and same city. Municipal directors in the 3 munici- therefore they represent important national and palities in Dar es Salaam are not obliged to follow instructions from my city director; he is regional engines of economic development. They not their boss. It’s a little bit confusing but we are serve as major conduits of commerce between the working on proper structure. interior regions and the rest of the world. The two (Dar es Salaam city official during the interview.) cities are faced with various types of environmen- tal impacts because of rapid development activi- The institutional arrangements and policy ties mostly associated with tourism, industry, instrumentation and implementation in East African urban agriculture and fishing. As a result of these cities generally reflect city systems in ‘organized’ economic activities, the whole East African chaos, where decisions are delayed, correspond- coastal zone is heavily populated. In Tanzania, the ences lost in bureaucratic black-hole and ascrip- coastal area supports approximately 25% of the tion of responsibility is obfuscated. The above population with the majority of the people living statement by a Dar es Salaam city council official in Dar es Salaam city (Sallema and Mtui 2008). is such an example. City governance consists of On the other hand, over 70% of the coastal popu- institutions whose roles are either overlapping or lation in Kenya relies on fisheries for their liveli- present problems in the implementation of hood (MacClanahan 2007). Global sea level rise is assigned functions. This has resulted in institu- therefore a key concern for both cities as they also tional weakness and lack of enforcement and regu- contain important infrastructural facilities, e.g. lation. For example, Dar es Salaam city is divided ports, roads and airports. into three municipalities, namely, Kinondoni, Ilala Coastal tourism in East Africa accounts for a and Temeke (Figure 3), with each municipality big proportion of the countries’ GDP. In Kenya, it complete with a Mayor and Director. However, accounts for 10% of the GDP making it the third there is also Dar es Salaam city council which has largest contributor to Kenya’s GDP after agricul- a Mayor and a Chief Executive Officer (Director). ture and manufacturing (KNBS 2007). In Tanzania, Although the city council is mandated to deal with income from the tourism sector grew from cross-cutting issues, e.g. waste management and US$822 million in 2005 to US$1.3 billion in 2008 transport management, in practice the municipali- (Mwangunga 2009). Tourism has been identified as ties also claim responsibility for these functions. one of the key drivers in achieving visions of 2030 The municipalities are autonomous and are able to and 2025 in Kenya and Tanzania, respectively. But deal directly with the central government and as mentioned earlier, developments associated with other collaborators without reference to the city tourism activities have exposed these cities to vari- council. A similar scenario can be found in Mom- ous types of climate change impacts. Economic basa where responsibilities and accountability for considerations have placed coastal tourism above climate change issues among many other issues the well-being of the coast. However, building the are straddled between several institutions includ- cities’ adaptive capacity will require that the pursuit ing National Environment Management Authority, of this economic goal go hand in glove with initia- municipal Council and other government depart- tives aimed at reducing vulnerability. ments. Such institutional arrangements and weak- nesses undermine efforts to even begin to pay attention to adaptation. 3.4. Risk in the face of governance disorder Authorities in poorly governed cities are unable to initiate and motivate measures necessary We are more concerned with cross-cutting issues such as environment and physical planning. for accomplishment of climate change adaptation. 24 J. Kithiia Figure 3. Map showing the three municipalities in the city of Dar es Salaam. For example, in both cities, local authority plans providing the needed protective infrastructure and do not link changing climatic conditions with services to low-income populations, yet the qual- housing programmes, city development and land ity of housing and overall infrastructure is an use management. There is little effort to address important determinant of people’s vulnerability to the plight of the poor living in informal settlements flooding or storms and failure to device precau- who are likely to experience the greatest impacts of tionary measures through adaptation puts the climate change. City authorities have limitation in population at risk. The settlement of the urban International Journal of Urban Sustainable Development 25 poor in some of the risky areas of the city can be (UN ICCPR, Part 1 article 2 section 2, 1966). Fail- attributed to poor housing programmes and lack of ure to address both climate change mitigation and enforcements and regulations. Attempting to cor- adaptation is doing exactly that; i.e. depriving rect these failures by relocating settlers from the risky people in poor countries of water, soil and land on area may be a difficult task, especially if they have which they subsist. settled in the area for a long time. A good example is the unsuccessful eviction of squatters from the flood- 4. Rationale for using the social capital prone area of Jangwani in Dar es Salaam by the city resource in facilitating climate change authorities. Settlers have strongly resisted eviction, responses in Mombasa and Dar es Salaam cities with some seeking court injunctions. Therefore, risk reduction amidst climate change requires long-term Although cities in the high-income countries can holistic planning as opposed to ad hoc decisions allocate huge resources to building their resilience meant to correct past mistakes. to climate change effects and therefore concentrate The proliferation of local environmental action on the ‘green agenda’ issues, those in East Africa 6 7 groups in Mombasa and Dar es Salaam cities may be have to simultaneously deal with the brown, gray because of government stalling on environmental and green agenda issues. At the moment, finding issues and may have forced communities to take the best means of developing and financing urban matters into their own hands. For example, according environmental initiatives that address these agenda to records from the Mombasa district culture and issues remain a major challenge for both the social services office, there were 855 registered envi- national governments and the local authorities. The ronmental management groups in 2008 alone. Other situation in the cities is not helped by the fact that groups involved in garbage collection in the city time- and space-related impacts have transformed were registered with the municipal council, which is the timing, speed and sequencing of environmental symptomatic of the government’s/council’s inability transitions such that challenges are appearing to effectively manage environmental issues. Where sooner, growing faster and emerging more simulta- government interventions in managing city systems neously than those previously experienced by are largely absent or ineffective, usually depicting a industrialized cities (see Keiner et al. 2005). system in chaos, social groups in effect could take The key issue for climate change adaptation in over as a substitute for external intervention (see also these cities will be how well to demonstrate the Bhattarai and Haming 2001). links between the green, brown and gray agendas as well as other socio-economic issues so that the implications of climate change are not just seen as 3.5. Risk in the violation of human rights ‘green issues’ but also as social and economic Modern society has an obligation to ensure that well-being of the city residents. This will require citizens live in homes and that communities pro- innovative city planning keen on adopting policy vide a basic level of protection from the threat of trends that value the knowledge and capacities of climate change. Therefore, the governments of local people and build on resources that include Kenya and Tanzania have the responsibility to social capital. These are likely to be more facilitative monitor the vulnerabilities of those whose rights of development initiatives leading to sustainable are most at risk by addressing their vulnerabilities, cities because the problems that impede socio- e.g. those living in informal settlements, flood economic development are often the same as those plains as well as those who depend on coastal that increase vulnerability to climate stress. resources for their livelihoods. This is in line with City planners and decision-makers in East Africa the international covenant on civil and political seem to view climate change through the lens of the rights which state in part, ‘. . . in no case should a global policy agenda, whose consequences will be in people be deprived of its own source of existence’ the long-term. This is evidenced by the lack of cli- 26 J. Kithiia mate change response planning and/or failure to pro- National and city governments in East Africa vide for climate change adaptation planning within lack the resources to invest in infrastructure that the overall municipal development planning. Indeed, would minimize climate change impacts. For the low funding priority given to climate-related example, according to a report from the Vice Pres- activities in both the national and the municipal ident’s Office (VPO 2003) in Tanzania, the cost of budgets is a significant sign of its low political signif- protecting the whole coastline of Dar es Salaam icance. The challenges posed by climate change are (about 100 km) by building a sea wall would be viewed as marginal compared with other socio-eco- US$270 billion, far beyond what the national eco- nomic problems facing city planning and develop- nomy can afford. It has been suggested by Thoma- ment, e.g. infrastructure, public health, education, lla et al. (2006) that well-accumulated social housing and energy, all of which feature prominently capital has the potential to help minimize the cost in the municipal plans. Similarly, shifting attention of adaptation thus offering some savings to the from the politically correct mitigation frame to adap- state, although in the real sense, social capital tation is seemingly a source of ambiguity for both the should never be reduced to the function of saving national and the city-level decision-makers with costs. Hence, enhancing adaptation would be more respect to guidance for city planning. However, what successful, if it were to use pre-existing local is important is that whatever the drivers of urban capacities operating at an appropriate scale to development are, these should be adjusted to make address climate change risks. This calls for the them take into account climate change risks and initiation, support and sustenance of locally driven hence manage their growth in a manner that adaptation initiatives that seek to engage social enhances their resilience to climate variability and groups and their networks as critical loci of city change (Huq et al. 2007). This can only be done development. through robust policy instrumentation and planning Data describing the changing environmental processes, both at the national and at the city levels conditions of places in East Africa are limited that view adaptive capacity as an emergent property because of lack of local analysis. Moreover, even of social systems, which is continuously being the most comprehensive climate change models shaped through social relationships. provide local decision-makers with little informa- At the municipal/local authority levels, tion about the most efficient or effective way to environmental planning is still aligned with models adapt to climate change. Such information can of economic efficiency and rationalization, whereas only be based on local knowledge, and develop- in some other instances, it is conservation at all ment of local knowledge requires different associ- costs. However, adaptation measures will most ations, methods and tools (Pelling and High likely require decisions that fall outside this para- 2005a, Patwardhan 2006). Besides, some local digm (see Gibbs 2009), mainly because adaptation groups could be more resilient than modeling processes are slow, are multi-scalar, have long time studies can suggest because many aspects of adap- scales and involve multiple players, all of which are tive capacity are known to reside in networks and inconsistent with neo-liberal planning. However, social capital of groups that are likely to be affec- social capital perspectives use endowments inher- ted (Adger 2003). Therefore, using social capital ent in ‘non-state agents’ or what others have called in adaptation measures will mean allowing for ‘civic virtue’ thus operating outside the markets local community initiatives to generate material forces as well as government control mechanisms. interventions directed at vulnerability reduction or For this reason, social capital perspectives could response to climate stressors in the city. function as enablers to avoid static bureaucratic Already, there are many local groups in Dar es conceptions of administrative scale and sector to Salaam and Mombasa working on different indicate the importance of social networks acting aspects of environmental conservation/manage- across boundaries for vulnerability reduction. ment including mangrove regeneration, solid International Journal of Urban Sustainable Development 27 waste management, marine protection, greening of It is of course possible to achieve coordinated open city spaces, seaweed production, turtle con- actions among groups of people possessing no servation, etc. The strong tradition of collabora- social capital. The problem with this is that it tion within and among groups and their almost always entails offering incentives, addi- federations, which is sustained by bonds of trust, tional transaction costs in monitoring and regula- reciprocity and connectedness existing mostly tion, as well as in enforcing formal agreements. among the urban poor, can be used to facilitate the Incentives, regulations and enforcements may launch of an effective city-wide adaptation change the behavior of group members but fail to strategy. The Turtles Conservation Group in change their attitude. Community groups normally Kigamboni in Dar es Salaam searches and protects revert back to old ways when incentives are not sea Turtle nests. The group has developed a sense forthcoming or regulations enforced (see Fuku- of ownership of the area and maintains surveil- yama 2001, Pelling and High 2005a). Besides, the lance to ensure that Turtle nesting areas are low-income countries of Eastern Africa lack protected. The Mtoni Kijijini Conservation Group financial resources to offer incentives and have in Temeke, Dar es Salaam, checks the illegal weak urban governance structures incapable of harvesting of mangroves trees and is active in undertaking effective monitoring and regulation. replanting more mangroves to restore the coastal In Mombasa and Dar es Salaam, the poor ecosystem. In Mombasa, local Beach Management urban population lives in the riskiest parts of city. Units work collaboratively to ensure sustainable In Dar es Salaam, this category of the population use of coastal resources in their areas of operation. accounts for about 70–75% of the city’s total All these collective group actions indicate the population (United Republic of Tanzania 2004, existence of social capital. Dodman et al. 2009b) whereas in Mombasa, the number of poor people is known to have increased by 38.82% between 1994 and 1997 (Republic of 5. Building adaptive capacity through Kenya 2002). One of the most important lessons opportunities created by social capital learnt from the devastation of New Orleans by Literature is replete with examples where social Hurricane Katrina in 2005 was that even where capital has provided the exploratory power risks have been reduced through decades of specific in the area of environmental management, investment in housing, infrastructural design, especially where common property resources flood defences and well-resourced emergency (water, forests, grazing areas, etc.) are concerned services, these can still be overwhelmed by the (Adger 2001, 2003, Grootaert 2001, Salick and forces of disruption, with the poor households Byg 2007). However contribution of social capital in being the most affected (see Huq et al. 2007, providing critical material support for environmental Dodman et al. 2009a). Engaging resource-oriented management elsewhere cannot be generalized to marginalized groups is a fundamental form of include East Africa. Instead, successful implemen- encouraging the participation of the poor and tation of adaptation options using social capital in enablement of community education about the Mombasa and Dar es Salaam will require an value of adaptation, as well as providing an understanding of the groups, association and/or empowerment and compelling mechanism for networks involved, i.e. the location and activities transmission of ideas and claims from the bottom-up of those groups or units that serve as loci for mutu- (Allen 2006). ally beneficial activities. From the start, the most The adaptation measures initiated by low- important attributes of these groups, association income cities like Mombasa and Dar es Salaam and networks should be their functional capacity should be underpinned on the premise that both the to collectively identify problems, take decision local groups and the city-level policy-makers have and act by allocating resources. the motivation, but generally lack the capacity to 28 J. Kithiia implement more ambitious adaptations strategies their exposure to the effects of the wave. Similar to address uncertain climate change. Even so, messages were reported in the 2008 Burma this has to begin with the planners/authorities catastrophe where the removal of mangroves accepting the central role of local groups and ecosystem played a part in increasing vulnerability networks in the process of city development and of communities to storm surge and floods (Kliver economic growth first (Revi 2008). The poten- 2008). tial for social capital to deliver material inter- In addition to achieving adaptation through ventions for adaptation lies not in the number of city-wide environmental management initiatives, associations involved but in their ability to cre- social capital’s relationships of trust, reciprocity ate and maintain linkages that would enable and connectedness can be drawn upon in respond- them to achieve resources and access to power ing to non-climate-related stressors. For example, necessary to shift the rules of the game in their Weru (2004) explains how exchange visits favor. Synergistic interactions with governing between group-saving schemes in Nairobi slums institutions cause them to evolve in a process helped in coping with a fire disaster. When fire often characterized as policy learning. These can burned down one of the informal settlements, it then build trust and legitimacy and help promote was the savings scheme members who first long-term decisions on adaptation even when responded, bringing money and food. Resource there are urgent and divisive conflicts over groups and their networks can act also as a political short-term interests (Narayan 1999). For force to mobilize for policy changes at the city example, assisted by a local Non-Governmental level and higher levels of government. As Organization, the Majaoni Youth Group in consumers of material goods and resources found Mombasa has teamed up with the departments of in the coastal cities, e.g. fish, urban agricultural Fisheries and Forests to rehabilitate and protect products and mangroves/their products, they can mangrove forests in the areas, as the group prac- collectively enact behavioral changes that are con- tices silvoculture. The group has helped to stop sistent with the needed adaptation measures (see loggers from further destroying the mangroves Moser 2006). Further, the groups’ strong local by keeping vigil as well as eliminating illegal opinion can secure conservation gains by resisting farming activities that previously took place inappropriate development. For example, in Mom- close to the highest water mark. basa one of the Beach management groups suc- Examples of such activities in Mombasa and cessfully prevented a wealthy private developer Dar es Salaam that are undertaken without regard from erecting a wall that would have blocked to adaptation but have great potential to contribute access to a public beach. to adaptation include regeneration and protection There are indeed compelling reasons to of mangrove forests along the coastlines, seaweed believe that, if the centrality of local resource- farming, beach protection/embankment, garbage oriented groups is accepted in the city develop- collection, etc. Giving an example of the import- ment processes, these will be able to provide the ance of mangrove forests in building adaptive necessary policy and knowledge continuity. Pro- capacity, Kliver (2008) explains how researchers vided that there is strong social capital within the from the World Conservation Union (IUCN) groups, it obviates the problem of opportunists out compared the death toll from two villages that to make use of the policy gaps and ineffective reg- were hit by the giant tsunami wave in December ulatory mechanisms to undermine adaptation 2004. Whereas two people died in the settlements efforts. This way, the social capital resource can with dense mangrove and scrub forests, up to 6000 be mobilized to resist unsustainable vulnerability people lost their lives in a nearby village without increasing forms of development or livelihood similar vegetation. The mangrove forests served as practices and to raise local concerns more effec- bio-shields for the coastal settlements and reduced tively with political representatives. International Journal of Urban Sustainable Development 29 6. Conclusion being directed at developing important information communication tools such as hazard maps, vulnera- In this article, the discussion of social capital in bility assessment tools and early warning systems. the context of climate change has shown that both Using these tools in the context of social capital the city authorities and the national governments would greatly contribute towards the improvement in East Africa have a key role to play in planned of adaptive capacity of the coastal urban communi- adaptation to climate change. However, they lack ties and facilitate their adaptation to climate change. the necessary capacity to do so and are not in a Indeed, the need to identify ways and means by position to provide adequate resources and infra- which to transcend social divide and build both structure for adaptation. For this reason, they horizontal and vertical social cohesion and trust in should seek to implement adaptation in partner- addressing the effects of uncertain changes in ship with local resource-oriented groups, thus uti- climate cannot be overemphasized. lizing the social capital resource found within The findings of this study add to the existing them. These local capacities can provide a founda- knowledge on the significance of social capital in tion for effective climate change adaptation. In facilitating the effective application of a range of effect, this will not only ensure acceptability and public policies in communities and places. As effectiveness but also build the much needed many contributors have shown that social capital adaptive capacity at the range of urban scales. Fur- embedded in local associations makes significant thermore, to operate at an appropriate scale, these contributions to household welfare and poverty groups/associations have to become part of wider reduction, the study aimed at attaching new rele- networks. This will provide a stronger source of vance to this hidden resource in helping to provide support and ensure a meaningful engagement with material interventions to build adaptive capacity in the state institutions in a synergistic mutually sup- coastal East Africa cities. portive state–community relationship. The Mombasa and Dar es Salaam case study has also shown that the use of social capital Notes resource in climate change adaptation will succeed 1. Involves the cultivation of marine organisms in if viewed as an element in the wider processes of ponds filled with seawater. sustainable development and not as stand-alone 2. Integrated mangroves-shrimp/fish production. local projects concentrating on climate change. 3. The endangered marine turtles were Olive ridley turtle, Green turtle and Hawksbill turtle. This means embracing local development initia- 4. Under the UNFCCC agreement, all least develop- tives that are taken without reference to climate ing countries should develop NAPAs. change but that can help minimize climate risks 5. Visions 2030 and 2025 are blue prints aimed at while enhancing economic and political develop- transforming the Kenyan and Tanzanian’s econo- ment. It further means choosing adaptation options mies to offer high quality life to their citizens. 6. Brown agenda issues include environmental in the context of poverty-driven economic survival health and local issues such as inadequate water urbanization, as is currently the case for the two and sanitation, urban air quality and solid waste East Africa coastal cities. This vulnerability reduc- disposal. tion approach also helps in addressing present day 7. Gray agenda issues are associated with industriali- climate events (including climate variability), zation and urbanization, e.g. chemical pollution of air and water sheds. therefore making it easily communicable to relev- 8. For further understanding of environmental transi- ant stakeholders. tion and agenda issues, the reader is referred to the New and existing policies should also be works by Marcotullio et al. (2005) and McGrana- aimed at linking climate conditions with urban han et al. (2007). development, housing, land use management and 9. Some of the incentives given to voluntary groups in Africa include food, cash or tools for work. information dissemination with deliberate efforts 30 J. Kithiia 10. Wealth generally allows individuals and house- warming world, Ch. 5. Washington, DC: The holds to reduce risks, e.g. by building safer Worldwatch Institute. houses, choosing safer jobs, insuring assets. Dodman, D., Kibona, E., and Kiluma, L., 2009b. 11. Unlike other forms of capital, social capital Tomorrow is too late: responding to social and cli- increases with use and decreases with disuse. mate vulnerability in Dar es Salaam, Tanzania. Case study prepared for cities and climate change: global reports on human settlements 2011. Available from: http://www.unhabitat.org/grhs/2011 [Accessed 20 Notes on contributor September 2009]. Justus Kithiia is completing his Ph.D at Macquarie Uni- Dossou, K.M.R. and Dossou, B.G., 2007. The vulnera- versity in Sydney, Australia. His higher degree research bility of climate change of Cotonou (Benin): the rise area of concentration is climate change risk responses in in sea level. Environment and urbanization, 19, 65. Fay, M.B., 1992. Maziwa Island off Pangani (Tanza- coastal urban areas in East Africa. He also possesses post- nia): history of its destruction and possible graduate qualifications in Disaster Management studies causes. 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Journal

International Journal of Urban Sustainable Development – Taylor & Francis

Published: Jan 1, 2009

Keywords: adaptation; vulnerability; social capital; resilience; coastal cities; climate change; collective action; adaptive capacity

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