a guide for participatory communication research methods (rra, pra & par)
TRANSCRIPT
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guide for field projects on adaptive strategies
p://www.iisd.org/casl/caslguide/guidebook-home.htm[08-09-2015 , Tuesday 01:09:48 AM]
CASL Home Page
CASL Guidebook
Purpose
Underlying principles
Project Stages
Acknowledgments
The first version of this guide was drafted on the basis of
discussions at a workshop in Nairobi (September 1994)
organized for the purpose, to assist implementation of IISD's
project on adaptive strategies for sustainable livelihoods in arid
and semi-arid lands (ASALs). Originally conceived purely as a
guide to participatory research techniques for the IISD project, it
became clear that the needs of project staff were not so much
for a tools manual as for a guide that would help them apply an
abstract set of concepts in a concrete field situation and guide
the fieldwork design and implementation. There are many
sources of information on participatory research techniques in
general, and most participants had some skills and experience,
but there was little help on how to apply them in practice to the
concerns of this project.
By the time a second workshop was held in South Africa (March
1995), community and policy studies had been drafted in
relation to nine sites in five countries, although the Kenya fieldstudy was not available for circulation. We were thus able, in the
course of other tasks, to share ideas and experiences about the
conduct of the project. The first version of the guide had served
its initial purpose, and it was agreed that it would now be useful
to incorporate the insights, experiences and lessons learned
from the project in order to promote similar projects elsewhere,
and to share these with a wider community. This would serve
both to extend the understanding of the concepts of adaptive
strategies, and to strengthen the policy recommendations.
This revised version has benefited from the submission of
updated materials from project participants.
J. K. Rennie
N. C. Singh
August 31, 1995
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rpose of this guide
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Purpose of this guide
It was the guiding hypothesis of the studies on which this
guide is based, that changes over the last few decades have
led people to evolve new adaptive strategies. Such strategies- which are many and varied - can form the basis of
sustainable livelihoods. This is not to say that they already
constitute sustainable livelihoods, nor that they are a universal
solution. They may need to be further adapted, amplified or
modified by linking them to more formal, generalized scientific
knowledge. They may need to operate in a more supportive or
enabling policy environment. But any search for sustainable
livelihoods will be greatly enriched and made more relevant by
our beginning from the basis of initiatives already taken by the
people themselves. In order for any of this to happen, these
initiatives must first be identified, understood, described and
analyzed in their dynamic contexts.
Participatory field research projects to identify, describe and
understand adaptive strategies, and to make policy
recommendations to foster an enabling environment, were
undertaken in 1994-95 in an IISD project located in five
African countries. The success of this pilot project has led to
the preparation of this guide, to enable the project's wider
replication in other countries, and in other ecological and
climatic zones. Replication of this project can strengthen its
objectives, and in particular:
empower local communities by enabling them to
articulate, document, legitimize, better understand andshare their adaptive strategies;
recommend policy formulations at local, national and
international levels which strengthen successful
adaptive strategies that have the potential to support
sustainable livelihoods, to provide an enabling
environment, and to articulate these strategies to
contemporary knowledge;
contribute to sustainable livelihoods and poverty
reduction in arid and semi-arid lands (ASALs) and
other environments;
empower Non-Governmental Organizations (NGOs) in
Africa and other developing regions by engaging themin a project that can meaningfully link their field
experience with communities on the one hand, to the
development policy environment on the other.
As the project developed, it became clear that this guide could
have a wider readership for further replication, and it has
therefore been revised and expanded, taking into account
lessons learned and instructive examples from the pilot
project. We believe that this version will be of value to
prospective project implementors and to the development
assistance community involved in the design and execution of
similar field projects and policy analysis. We hope also that it
will be of interest and value to the wider developmentassistance community in promoting the understanding that, in
focusing on poverty reduction and sustainable livelihoods, it is
important to start from an understanding of what ordinary
people on the ground are already doing.
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rpose of this guide
p://www.iisd.org/casl/caslguide/Guide-Purpose.htm[08-09-2015 , Tuesday 01:10:39 AM]
CASL Home Page
CASL Guidebook
Purpose
Underlying principles
Project Stages
Acknowledgments
It is also worth stating what the guide is not intended to be, its
assumptions, and limitations. It is not a detailed manual on
how to undertake Participatory Rural Appraisal (PRA),
Participatory Action Research (PAR), policy research, or
quantitative surveys. The central concern is to ensure that
teams select an appropriate mix of available research
methods, particularly those based on participatory methods,
so as to link meaningful field studies with policy research and
thus achieve both practical results in the field, and policy
reform for an enabling environment. The strengths and
limitations of PRA are discussed, but PRA is only one of an
armory of methods to consider. The guide concentrates on the
principles to be borne in mind in executing this type of project,
with sufficient examples and other information from actual
experience to assist local project teams to make informed
decisions. The scope and locations of the IISD projects have
caused the examples and illustrations to be weighted towards
ASALs in Africa. However, one hopes that projects which use
the guide will be restricted neither to arid lands, nor to Africa.
The guide also does not dictate project design or detailed field
methodologies, which would be futile. Each organization will
have its own styles and strengths. More importantly,community-based research is highly context specific. The
style and attitude of the researcher, the ability to enter a
listening and learning mode are more influential in producing
high quality results than the ability to apply specific
techniques. What works in one situation may fail in another,
and what frustrates one researcher may be plain sailing for
another. Field methodology should therefore be driven by the
dialog and dynamic in the field situation, and not by a
prescriptive document. Common questions, more than
common methods, will ensure meaningful comparisons
between findings in different places.
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derlying principles guiding project design
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CASL Guidebook
Purpose
Underlying principles
Ecosystem-based approach
Participatory research
methodologies
Project Stages
Acknowledgments
Underlying principles guiding project
design
Two principles of project design must first be dealt with, as
they form the basis of the entire approach which follows. A
research project not based on these principles would be
essentially different from those that the guidebook is intended
to assist. These principles are:
Comparative, ecosystem-based approach
Participatory research methodology
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e ecosystem-based approach
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The ecosystem-based approach
The overall purpose of the project is to promote sustainable
livelihoods for the poor. There are many possible routes to this
end, but the method proposed here derives from the fact thatpredominantly the poor of the world depend directly on natural
resources, through cultivation, herding, collecting or hunting
for their livelihoods. Therefore, for the livelihoods to be
sustainable, the natural resources must be sustained. The
overall project approach is to conduct a number of separate
country studies focusing on selected sites representing a
single ecosystem type or family. From these studies we can
proceed to derive commonalities and differences on which to
base conclusions and policy recommendations. "Ecosystem
type" here refers to a set of ecosystems which share certain
key defining criteria. This guidebook concentrates on the
example of arid and semi-arid lands (ASALs) in Africa . Withinthe selected set of ecosystems or biome, and over millennia,
people have traditionally evolved ways of life and stores of
knowledge that enable them successfully and sustainably to
provide for their livelihood needs. (We may note here that
many traditional societies have located themselves so as to
be able to exploit several neighboring ecosystems or
ecotones.) More recently, but quite independently, global
scientific knowledge and understanding of these same
ecosystems has grown. Yet the two sets of knowledge, local
and global, have been poorly integrated, and have not
combined to inform a manageable set of policy alternatives.
We can gain much by studying adaptive strategies of peopleto a set of ecosystems, deducing comparative knowledge that
will be of use at the local, national and international levels.
Within a set of similar ecosystems, common problems and
challenges can be identified to which the inhabitants or users
have had to devise solutions. The art of selection of sites in
which to study these strategies is important - we must ensure
that the different sites have enough in common to be
compared meaningfully with each other, and yet display
enough differences of characteristics to ensure representation
across a range, and for comparisons and differences to
emerge. The definition of the ecosystem "envelope" of the
project is therefore to hold constant a major variable. We donot yet know enough about adaptive strategies to enable us,
for example, to make meaningful comparisons between
strategies in tropical forests and those in arid lands.
ASALs provide an example of an ecosystem family. The term
"arid lands" refers to areas prone to frequent and prolonged
droughts and receiving up to 350 mm mean annual
precipitation. "Semi-arid lands" are areas receiving from 350
mm to 700 mm precipitation, in which rain-fed agriculture
combined with pastoralism is possible. The purpose of this
distinction is not to create an agricultural-pastoral dichotomy,
but to encourage, where possible, the selection within each
country of two case studies representing points sufficientlydistant on the agro-pastoralist continuum. In some areas,
typified by Burkina Faso, the distinctions are clearly
observable. For example, the Fulani specialized pastoralists
occupy the drier northern zone, often herding cattle on behalf
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e ecosystem-based approach
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of Mossi agriculturists in the more humid zone.
ASALs constitute an important set of ecosystems globally,
accounting for over a third of the land area and a seventh of
the world's population (Ahmad and Kassas, 1987: 4). In
Africa, perhaps a tenth of the continent's population, and a
much higher proportion of those considered poor, derives all
or most of their livelihoods directly from these lands. The
fragility of ecosystems in these lands and their declining
pastoral and agricultural productivity have been well
documented for decades. Livelihoods in these areas are alsohighly vulnerable to shocks and stresses, including those
arising from increases in human and animal populations, from
increased intensity of use or changes in patterns of use, and
from ecosystem change and declining natural productivity.
However, over time the peoples themselves who live in
ASALs have evolved practices and ways of life which, in past
times, enabled them to live in an environment characterized
by unpredictability and variation.
Compounding this underlying threat to the balance between
the natural resources and the livelihoods of the peoples
dependent on them, is a reduction in access caused by
changes in designated land-use through competing uses (e.g.
Berhanu 1995, p.5). These changes include establishment of
national parks - many of which are in ASALs - irrigation and
resettlement schemes, commercial cattle and game ranches,
private farms and refugee settlements. As if this were not
enough, ASALs have also often been areas heavily affected
by physical insecurity, which itself has undermined
productivity.
In Africa, ASALs frequently have been regarded as peripheral
or marginal in national politics, policies and political
geography, and have often been characterized as "problemareas". Centrally-planned development, although not without
its successes, has often failed. ASALs have been
characterized by a lack of clear and consistent central policy,
or even by "hostile" policies based on perceptions of
"traditional" ASAL farming and pastoral systems as inefficient,
unproductive, unsustainable, and destined inevitably to be
undermined by the "modern" economy. The rate of project
implementation is often extremely low. In many cases ASALs
have become net importers of food and of an increasing
proportion of the means of livelihoods, through the export of
labor - usually very poorly paid because of poor educational
attainments and low skills - and through the importation of
food and relief efforts. Under these circumstances it is not
unusual to find that development objectives, which sometimes
in the past embraced ambitions such as to turn ASALs into
major sources of national meat supply or even the bread-
basket of the country, have often become reduced to the
modest objective of ensuring merely that people can survive
there. Sometimes they are characterized by an absence of
policy, and an implicit policy assumption that over the long
term they cannot form the basis of sustainable livelihoods (cf.
Mutiso, 1995:37-40).
In the case of the IISD project, selection of different country
sites illustrating typical points along the range of variation,resulted in a broad typology with South Africa at one end and
Afars at the other. The South African example illustrated
relatively dense, top-down planned settlement, a relatively
high level of government provision of services (roads,
irrigation, electricity), high dependency on migrant wage labor
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e ecosystem-based approach
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Purpose
Underlying principles
Ecosystem-based approach
Special concerns & issues
Participatory research
methodologies
Project Stages
Acknowledgments
for household incomes (about 50 per cent); and low
dependency on livestock. The Afars example showed an area
with minimal government involvement (but planned irrigation
that would alienate traditional grazing areas) low population
density, and low integration with the wider economy. It was
possible to discern the outlines of a hypothesis that would
indicate possible paths of future historical progression from
one end of the scale to the other.
This approach could be applied to other sets of ecosystems
within the same problematic of adaptive strategies forsustainable livelihoods. For sustainable livelihoods based on
different ecosystems, but challenged by similar threats, and
people's organizing responses to combat development
threats, see the Thailand tropical forest example described by
Janet Durno (1995).
Whatever ecosystem family is selected, it will be useful as a
preliminary step to compile a brief, non-technical and insightful
summary review of the "state of the art" of knowledge on that
ecosystem family, as found in contemporary literature. In this,
it is most important to realize that human societies and
economies are part of the ecosystem. Directly and indirectly,they not only depend on ecosystems, but through their
activities and interactions they help to modify and change
them.
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d and semi-arid lands: Characteristics and importance
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Arid and semi-arid lands: Characteristics
and importance
Arid and semi-arid or subhumid zones are characterized by
low erratic rainfall of up to 700mm per annum, periodicdroughts and different associations of vegetative cover and
soils. Interannual rainfall varies from 50-100% in the arid
zones of the world with averages of up to 350 mm. In the
semi-arid zones, interannual rainfall varies from 20-50% with
averages of up to 700 mm. Regarding livelihoods systems, in
general, light pastoral use is possible in arid areas and
rainfed agriculture is usually not possible. In the semi-arid
areas agricultural harvests are likely to be irregular, although
grazing is satisfactory (Goodin & Northington, 1985).
In Africa north of the equator, arid and semi-arid zones are
bordered by Senegal, Upper Volta and Chad in the south;
and Morocco, Algeria, Libya, and Egypt in the north. Thezones extend southeast through Somalia and Northern
Kenya, South of the equator the zones cover Lesotho, parts
of the Cape, Northern Transvaal and Free State provinces of
South Africa; Botswana; Namibia; and parts of Zimbabwe.
The notion of desertification has been a contentious subject.
UNEP's Desertification Control/Programme Activity Centre
(DC/PAC) defined desertification as "land degradation in
arid, semi-arid and dry sub-humid areas resulting mainly
from adverse human impact", aggravated by the
characteristics of dryland climates. Within the context of
Agenda 21, desertification is defined as "land degradation in
arid, semi-arid and dry sub-humid areas resulting from
climatic variations and human activities". The difference
between these definitions has to do with causation. In theformer, human intervention is viewed as the central driving
force in desertification; while the latter clearly identifies both
human and climatic influences (Toulmin, 1993).
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d and semi-arid lands: Characteristics and importance
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Community Sustainability - Home
ASAL Project
ASALs
Description
Outputs
Findings
Significance
Bibliography
Some relevant resources on
ASALs and desertification:
IISD: Report on the Intl
Convention to Combat
Desertification
IDRC: Desertification
and land degradation
IDRC: Desertification -
Backgrounder for
journalists
IDRC: Water
management in Africa
and the Middle East
UNEP: Convention to
Combat Desertification
UNRISD: Reforming
Land Rights in Sub-
Saharan Africa
Another notion linked to desertification is that of desert
advance. Assertions have been made that the desert is
advancing at approximately 5km a year. This has been
disproved by Hellden (1991) whose work in the Sudan
shows no such advance and Tucker et al. (1991) who
asserts that patterns of vegetative cover in these areas are
dependent on rainfall. Hellden has further asserted that
contrary to arguments advanced, there is no evidence that
patched of desert were spreading outward from villages and
water holes into the drylands of the Sahel area, for instance.
Of significance in this debate is the recognition that the
majority of the population of arid and semi-arid lands depend
on agriculture and pastoralism for subsistence. These zones
exhibit ecological constraints which set limits to nomadic
pastoralism and settled agriculture. These constraints
include (Salih & Ahmed, 1993):
rainfall patterns that are inherently erratic;
rains which fall mostly as heavy showers and are lost
to run-off;
a high rate of potential evapotranspiration further
reducing yields;
weeds growing more vigorously than cultivated crops
and competing for scarce reserves of moisture;
low organic matter levels, except for short periods
after harvesting or manure applications; and
highly variable responses to fertilizer.
Indigenous peoples of these areas have lived within these
constraints for centuries. They have existed on the
productivity provided locally and have used their knowledge
to devise coping and adaptive strategies.
In order to assist the process of efficient resource
management in these fragile environments, UNEP's GlobalEnvironment Monitoring System (GEMS) and FAO's
Ecological Management of Arid and Semi-Arid Rangelands
(EMASAR) programmes have developed a methodology for
ecological monitoring which has been applied to rangelands
and planning for national parks in East Africa, and among
the Fulani of Senegal in West Africa. Ecological monitoring
encompasses the collection of biological and physical data at
ground, air and space levels providing information on
domestic and wild animal populations, human habitations
and populations, vegetation production and cover, soils, land
forms, climatic data and crop production. Ground level
ecological monitoring also provides information on socio-
economic practices of human populations which affect the
ecosystem and its productivity (UNSO, 1990). Work on
adaptive strategies has to focus on how this contemporary
knowledge is used to reinforce or inform traditional
knowledge around resource management issues.
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aptive Strategies for Sustainable Livelihoods in Arid and Semi-Arid Lands (ASALs) Project
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Adaptive Strategies for Sustainable
Livelihoods in Arid and Semi-Arid
Lands (ASALs) Project
Under existing conditions (of externally driven developmentpolicies, concentration on the cash economy and existing
trade relations), the typical responses of the poor have been
to appropriate common property resources, intensify
agriculture on marginal lands, increase heads of livestock
and shorten fallow periods; migrate seasonally or
permanently to cities, towns, agricultural plantations and to
more vulnerable and marginal lands; and have large
families in order to diversify sources of income and labor.
These responses generally have not provided long-term
benefits to the poor. However, there is a growing interest in
the poor as agents for their own self improvement guided by
their own knowledge base and strategies which could lead
to sustainable livelihoods. Our preparatory workshops
confirmed the need for clear and detailed documentation of
adaptive strategies that have led to sustainable livelihoods
and the policy issues that enhance or constrain the
development and implementation of these strategies. These
strategies are likely to have evolved from an interaction
between contemporary and indigenous knowledge. Hence
the initiative sought to capture these synergies and the
conditions and processes which produced and reinforced
them. It was recognized that these strategies were diverse
and included adaptations to ecological, social, political and
cultural risks and shocks.
Community Sustainability - Home
ASAL Project
ASALs
Description
Outputs
Findings
SignificanceBibliography
IISD recognized that the problems enunciated above occur
globally in diverse socio-ecological systems. It was agreed
that initially, the initiative would focus on agropastoralists in
arid and semi-arid areas with the view of using the lessons
learned from this experience to develop similar initiatives in
other regions and socio-ecological systems. Our entry point
was the identification of adaptive strategies, which are the
result of indigenous knowledge and experiences,
contemporary knowledge including scientific and
technological innovations and policy issues, and which haveled to sustainable livelihoods in arid and semi-arid lands.
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ject description
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ASAL Project
ASALs
Description
Outline & research protocolImplementation structure
Constraints & weaknesses
Outputs
Findings
Significance
Bibliography
Project description
The project focused on nine communities in five sub-Saharan
African countries during 1994-95:
Burkina FasoEthiopia
Kenya
South Africa
Zimbabwe
Within each country, local organizations were selected to
coordinate a combination of participatory field research and
policy analysis. The field researchers spent considerable time
working with the communities to identify ways in which their
livelihood systems had changed in response to both internal
and external forces over the past few decades. That
information then directed in-depth analyses of the regional,
national, and local policies which had either constrained or
supported sustainable livelihoods. In order to provide added
value to the communities, the project was structured so as to
become a mechanism for promoting local ownership of
knowledge and advocacy for necessary policy changes. While
the initial written reports have been completed, work continues
on the transmission of outputs to the communities and to
policy makers.
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ject Outline and Research Protocol
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Adaptive Strategies of the Poor in Arid
and Semi-Arid Lands: Project Outline and
Research Protocol
Section I. The Project Outline
I.A Institutional Framework
The International Institute for Sustainable Development is a
non-profit private corporation established and supported by
the Governments of Canada and Manitoba. It is a registered
charitable organization for Canadian income tax purposes.
IISD's mandate is to promote sustainable development in
decision-making within government, business and the daily
lives of individuals in Canada and internationally (see Articles
of Incorporation). As a relatively new Institute, IISD is helping
to shape initiatives which move sustainable development from
concept to practice. This requires the integration of the well-
being of people, environment and economy within the centers
of decision making in government, industry, the home and in
the community.
As a knowledge and action-based institute, IISD is committed
to producing useful and practical results, and to facilitating the
transfer of knowledge and experience. Its outputs are
expected to provoke change rather than merely highlight
problems. Consequently, IISD implements its activities in two
ways: through focused research on policy and institutional
change, and through communications and transfer ofknowledge. These processes are closely aligned because
research without broad dissemination of results is unlikely to
effect change. Also, there is consideration of the tremendous
need for the recognition of grassroots or community
knowledge and practices as a source of inspiration and
knowledge about sustainable development. IISD's
involvement in this initiative on adaptive strategies is a direct
consequence of this consideration.
All of IISD's projects and programs are demand driven, they
must clearly show the potential to make a significant
difference, add value and demonstrate IISD's comparative
advantage in engaging in any program activity. The IISD,
through inputs from the Nairobi and Toronto workshops in
April and November 1993, respectively, identified information -
its identification, documentation and dissemination - as one of
the critical tools of empowerment, which it has the capacity to
avail to the poor. Specifically, empowerment through
facilitating information gathering and sharing, was identified as
a major conduit of building the capacity of communities to
respond and adapt to changing social, economic and
ecological conditions that undermine their achievement of
sustainable livelihoods. The Africa Case Studies project, in
collaboration with the Synergos Institute and the African
Association for Literacy and Adult Education (AALAE),constitutes the first step in this endeavor. Engaging in the
exercise of documenting and sharing adaptive strategies of
the poor with the poor, and with policy makers including
governments, development agents and the donor community,
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ject Outline and Research Protocol
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has become a priority program area. This will be done in
partnership with local institutions and communities in five
countries in East and Southern Africa and the Sahel.
IISD experience in Africa to date is drawn from the current
poverty and empowerment program staff who have lived and
worked in Africa, two (2) board members resident in Nairobi,
the Africa Case Studies project implemented in collaboration
with Synergos Institute and the African Association for
Literacy and Adult Education (AALAE), as well as through
participants in workshops held in Nairobi, Toronto andWinnipeg . The Institute's comparative advantage in engaging
in an activity on adaptive strategies in Africa is drawn from this
experience which has given us the capacity to access a
network of institutions that work closely with the poor. In
addition, through our past work on Poverty and Empowerment
we have established an understanding of the systems
approach to impoverishment and sustainable development,
empowerment for sustainable development and policy
adjustments, poverty and sustainability, and we are now well
placed to undertake a more focused, concrete piece of work
drawing on this work. We are now prepared to work in arid
and semi-arid lands in other regions in which we might be ableto network effectively. Our capacity to leverage resources, our
experience in influencing decision-making in sustainable
development and our in-depth knowledge of the broader
issues of sustainability, offer other key advantages.
I.B Background
The conditions that were enunciated by the Brundtland
Commission, UNCED and Agenda 21 with regard to the poor
in developing countries remain unchanged. For instance,
population growth in Africa where the ecological base is fragile
and deteriorating, is projected to be the most rapid. External
and internal central urban institutions and individuals such as
governments and commercial interests continue to extend
their power, ownership and exploitation of rural areas.
Under existing conditions of externally driven development
policies, concentration on the cash economy and existing
trade relations, the typical responses of the poor have been
to: appropriate common property resources; intensify
agriculture on marginal lands; increase heads of livestock and
shorten fallow periods; migrate on a seasonal or permanent
basis to cities, towns, agricultural plantations and more
vulnerable and marginal lands; and resort to large families in
order to diversify sources of income and labor.
These responses have not provided long-term benefits to the
poor. However, there is a growing interest in the poor as
agents for their own self improvement guided by their own
knowledge base and strategies which could lead to
sustainable livelihoods. Our preparatory workshops have
confirmed the need for clear and detailed documentation of
adaptive strategies that have led to sustainable livelihoods
and the policy issues that enhance or constrain the
development and implementation of these strategies. These
strategies are likely to have evolved from an interaction
between contemporary and indigenous knowledge. Hence the
initiative seeks to capture the synergies and the conditionsand processes which produced and reinforced them. It is
recognized that these strategies are diverse and include
adaptations to ecological, social, political and cultural risks.
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I.C The Study Focus
IISD recognizes that the problems enunciated above occur
globally in diverse socio-ecological systems. Initially, theinitiative will focus on agropastoralists in arid and semi-arid
areas in Africa with the view of using the lessons learned from
this experience to develop similar initiatives in other regions
and socio-ecological systems. Our entry point is the
identification of adaptive strategies, which are the result of
indigenous knowledge and experiences, contemporary
knowledge including scientific and technological innovations
and social and economic issues, and which have led to
sustainable livelihoods in arid and semi-arid lands. (see
graphic, above).
I.D Purpose
The purpose of this project is to galvanize the transition from
poverty to sustainable livelihoods in arid and semi-arid lands.
The project seeks ways to empower communities to mobilize
their options for making the transition from poverty to
sustainable livelihoods. The project will contribute to this result
through model efforts with communities to articulate and share
relevant information on successful adaptive strategies.
Through policy analyses and assessments of the contribution
of contemporary knowledge, the project will help reinforce
such strategies and provide policy makers with information to
help them design more appropriate interventions.
The objectives are:
To document information on adaptive strategies which
lead to, or have the potential to lead to, sustainable
livelihoods.
To package and disseminate information sets on
adaptive strategies to local communities and other
interested groups.
To provide policy makers and local communities with
recommendations through the identification of key
interactions, synergies, antagonisms, etc. among
traditional and contemporary knowledge and the
relevant policy conditions under which adaptive
strategies evolved.
To identify, in a preliminary manner, indicators of
sustainable livelihoods in arid and semi-arid lands.
To provide researchers and other interested parties with
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information on the process and methodology used.
To influence the outcome of the WSSD in the areas of
poverty and sustainable development.
I.E Outputs
The Outputs will be:
documented adaptive strategies and processes that
have led or may lead to sustainable livelihoods
a model package of recommendations which can beused to reinforce adaptive strategies
a comprehensive and analytical paper on policies that
impinge on adaptive strategies
preliminary indicators of sustainable livelihoods in arid
and semi-arid lands
a report on the process and methodology of the
exercise
preliminary analytical report for submission to the World
Summit for Social Develop third preparatory committee
I.F Working Definitions
Coping and adaptive strategies
Davies (1993) draws a distinction between coping and
adaptive strategies based on the type of risk faced by
households and communities. For instance, coping strategies
are defined as "the bundle of poor people's responses to
declining food availability and entitlements in abnormal
seasons or years". Thus coping strategies are characteristic of
secure livelihood systems used only during periods of food
stress; they constitute a fall-back mechanism during periods of
decline in access to food. Adaptive strategies, on the other
hand, are characteristic of vulnerable socio-ecologicalsystems and modes of production, they constitute a
permanent change in the mix of productive activities and
require modification of community rules and institutions to
meet livelihood needs.
Sustainable Livelihoods
"A livelihood comprises the capabilities, assets (stores,
resources, claims and access) and activities required for a
means of living: a livelihood is sustainable which can cope
with and recover from stress and shocks, maintain and
enhance its capabilities and assets and provide sustainable
livelihood opportunities for the next generation; and which
contributes net benefits to other livelihoods at the local and
global levels and in the short and long term". (Chambers and
Conway, 1992)
Alternatively, we might view sustainable livelihoods as
concerned with people's capacities to generate and maintain
their means of living, enhance their well-being and that of
future generations. These capacities are contingent upon the
availability and accessibility of options which are ecological,
socio-cultural, economic and political and are predicated on
equity, ownership of resources and participatory decision
making. Both notions of sustainable development andsustainable livelihoods incorporate the idea of change and
uncertainty.
I.G Criteria for Community Selection
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Communities which possess many of the following
characteristics as available will be chosen:
particular adaptive processes and strategies which lead
to sustainable livelihoods
multiple vulnerability (ecological, political, economic,
social, etc.)
existing information on adaptive strategies including
links and contacts
available human resources and institutional
arrangements for implementationrelative accessibility
a community that is representative of communities in
arid and semi-arid lands, for example, population
density relative to resource base and socio-economic
variation
communities that have experienced significant internal
and external changes in the recent past (10 - 15 years)
and have adapted.
I.H Participating Countries
These include:
Burkina Faso
Ethiopia
Kenya
South Africa
Zimbabwe
I.I. Project Strategy and Implementation
Arrangements
The overall design of the project strategy and implementation
arrangements is aimed at ensuring ownership of the results bythe local communities as well as to give policy makers insights
into communities' perceptions of sustainable livelihoods.
The lead implementing agency will be the IISD. However, IISD
will work in close collaboration with other institutions such as
UNDP, IDRC, UNEP and locally based Non-government
organizations. The Institute will act as convener and facilitator
of the project management team meetings, coordinate the
process with the project coordinator resident in the region and
vet the quality of work produced.
The Project Management Team includes:
IISD Staff
The UNDP
A locally based RegionalProject Coordinatorhas
been selected from the African Association of Adult
Literacy and Education (AALAE), to ensure that the
project is effectively anchored and managed in the
study region. AALAE is a continental federation of
national associations, institutions, non-government
organizations and individuals involved in adult
education. The thrust of AALAE's activities is aimed at
equipping individuals and communities with skills to
deal with political, socio-economic and environmental
change, through building capacities of members in theareas of research, training and evaluation; and through
facilitation of intra-continental and intercontinental
cooperation.
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The International Advisory Group(IAG)will bring expertise
in the areas of policy, community engagement, ecology, socio-
economic and political issues, communications, and small
business development skills. The IAG will provide guidance
and advise on the overall implementation strategy, the design
and final quality of the outputs. Members of the IAG include
Charlie Shackleton from the University of the Witwatersrand
Rural Facility in South Africa; Costantinos Berhe of
Environment and Development Society in Ethiopia; Anil Gupta
of SRISTI in India; Walter Luisigi from the World Bank,
Eugene Aw, regional coordinator for Africa 2000 network;Joachim Voss from IDRC and representatives from CIDA and
UNEP.
Lead institutions in participating countries will provide local
project coordinators, who will in turn, put together a
multidisciplinary team to conduct the research. The skills
within each research team must at the minimum include
economics, sociology, ecology, agriculture and anthropology.
The lead institutions or local partners include ENDA-
Zimbabwe, Wits Rural Facility, Environment and Development
Society and KENGO. The fifth local partner from Burkina Faso
is still to be named.
I.J Project Review, Reporting and Evaluation
This project will be subject to review by IISD and UNDP six
months after implementation. IISD, in collaboration with the
UNDP and local partners, will prepare a report for submission
to the preparatory committee of the World Summit on Social
Development.
Additional continuous review of progress will be done by the
International Advisory Committee which will meet twice during
the implementation period. At the end of the project cycle, an
evaluation will be done to capture the experiences andlessons learned, and to monitor the impact of the exercise and
the outputs on communities and policy makers.
I.K Ownership of Results
The project is designed to encourage local ownership of the
results, especially outputs 1 and 2. As far as possible,
ownership will reside with the local communities and this will
be appropriately acknowledged. This, however, will not
prevent IISD from further using the information in whatever
way it may see fit.
Ownership of the other outputs will reside with IISD.
Appropriate quantities of the reports will be available to
international and local partners and their contribution to the
project will be duly acknowledged.
Appropriate arrangements will be made with other partner
institutions
Section II. The Protocol
This research protocol is intended as a concise statement of
what is expected of each in-country program. It presentsquestions, guidelines and issues which each study site must
address and adhere to.
In order to realize the goals and objectives of the adaptive
strategy initiative, researchers will seek to capture the
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synergies arising out of the interaction between contemporary
and indigenous knowledge, and the conditions and processes
which produce and reinforce adaptive strategies.
II.A. The Role of the RPC and LPCs
TheRegional Project Co-ordinator (RPC)will manage the
implementation of the project at national levels, liaise with
local project co-ordinators, monitor progress and synthesize
policy reviews from the five participating countries.
The Local Project Co-ordinators (LPCs) will be the lead
researchers who must work directly in the field with other
researchers and the community; and must reside within the
community together with team members over the duration of
fieldwork. Delegation at this level will be inconsistent with the
thrust of the project.
II.B Time-Frame
The actual field implementation of the project commences in
October of 1994 and will end in August of 1995. Preliminary
reports are expected in mid-December to allow for inputs intothe World Summit for Social Development (WSSD) third
preparatory committee meeting in January, 1995.
II.C Structure and Content
This section describes the questions which the research
report should address, and indicates the structure and
contents of the report.
1) Context
The context provides the national historical and macro-policyenvironment in which communities exist and function and will
largely be based on existing literature, but can be
supplemented by interviews with appropriate individuals.
Special emphasis should be placed on those policies which
impact on communities.
1.a) Historical context
Key question: What kinds of ecosystem, socio-economic and
political changes have occurred in the project countries?
(Time-frame - emphasis might be placed on the post-colonial
period. However, other strategic issues may be considered.)
In this section researchers need to describe the signals and
indicators of change. Consider a tabular presentation of
national and community data to put community data in
perspective. Examples of indicators follow:
Ecosystem indicators i.e., agro-ecological zones;
climatic variables including rainfall patterns and major
droughts; soils status; extent of desertification; siltation
rates; vegetation types and cover, etc.
Socio-economic indicators i.e., the nature of
enterprises; income sources and their distribution;
migration and other demographic factors; employment;
human health indicators (e.g., mortality rates); animal
health indicators; rights, including grazing, land-tenure,
tree tenure and land-use.
Political indicators i.e., the nature of government; the
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extent of centralization and decentralization of political
authority (i.e. local self-government); system of
procurement of goods and services including trade,
and financial flows to communities.
1.b) Macro-policy context
Key question: What national and international policies, i.e.,
agricultural, economic, environmental, social, impede or
facilitate the achievement of sustainable livelihoods?
Policies to be considered include macro-policy adjustments
including structural adjustment programs, trade policy, and the
role of the formal and informal sectors.
2) Community Profile
2.a) Defining community
Specify the size (density, size of territory), nature (ethnicity,
agro-pastoralist vs. pastoralist), migration patterns and
relationships with other communities.
(It may be necessary to use a sampling design.)
2.b) Indicators of change
In addition to indicators outlined in (1.a) above, use
community knowledge to describe the following indicators of
change:
(Note here that the time boundary may be as far as
communities can recall.)
Ecosystem
biomass, species and water availability andaccess
(Biomass availability is a function of herd
species composition, i.e. mix of cattle,
sheep, and goats. Is herd mix a survival
strategy? Is the strategy sustainable?
What about the composition of human
diet as an indication of ecosystem
stress?)
indicator species
vegetative cover - note seasonal variations
water quality and availability as indicators of
ecosystem healthSocio-economic
infrastructure, credit, labor
incidence of animal disease
commodity markets - links to foreign markets,
procurement, zoning and other restrictions
2.c) Common property institutions
Issues to consider include boundary rules, resource allocation
rules, and mechanism for conflict resolution and enforcement
(sanctions).
(Include, for example, traditional institutions of managing
quarantine as opposed to modern quarantine rules which
restrict the free movement of livestock.)
2.d) Values, beliefs and practices
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What are the values, beliefs and practices of communities
which support or impede adaptive strategies? What relevant
cultural changes have occurred over time and how have these
impacted on values and livelihood systems?
It should be recognized that values, beliefs and practices are
dynamic. In some instances beliefs may not be translated into
practices and in others merely used for convenience or as
excuses.
2.e) Technological innovations
Identify and describe local technological innovations such as
water conservation, soil stabilization, etc.
(It has been suggested that weather prediction is the most
important technological need of communities. Are
meteorological forecasts available to them? What are the
traditional methods of weather prediction?)
2.f) Possible indicators of sustainability
Net worth resilience, i.e. depletion and replenishment
cycle in response to perturbation. Note that this may
not be necessarily sustainable
Time and energy spent on meeting basic needs
Change in age and sex composition of community. Note
the implications for who tends the cattle and the
distance covered in cattle herding
Herd size to family size ratio, e.g., six herd per family of
six a threshold level
Shift in size and composition of herd. (Major increases
in sheep may be unsustainable)
Trends suggestive of reduction in carrying capacity, i.e.,
depletion of groundwater table (note that long-term hydrological cycles have not yet been
determined);
water quality;
degradation of common lands;
Trends in shift from household labor to hired labor;
Shift in composition of expenditure on consumption
baskets.
2.g) Community responses
What has been the impact of ecosystem, socio-
economic and political changes on livelihoods in thestudy area?
What are the demographic, socio-economic, cultural
and political responses (adaptive strategies) of
communities to these changes? Are there differential
responses between men and women?
What informs these responses - traditional,
contemporary knowledge and practices or the
integration of the two; internal and external
technological innovations?
Have these responses led to sustainable livelihoods?
or, Do they have the potential to lead to sustainable
livelihoods?
What kinds of interventions (communication and
outreach strategies, technological innovation etc.) are
needed to enhance communities responses so that
they lead to sustainable outcomes?
What is the process by which communities and external
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ASAL Project
ASALs
change agents integrate contemporary and indigenous
knowledge in pursuit of adaptive strategies that lead to
sustainable livelihoods?
3) Identification of adaptive strategies that lead to
sustainable livelihoods
What economic, ecological, social, cultural, or political
environment contributes to the evolution of successful
adaptive strategies (best practice)?
To what extent does this environment impact positively
or negatively on poverty alleviation, employment
generation and social cohesion?
What indicators can be used to measure progress
towards sustainable livelihoods?
What role can external agents play in developing
indicators and reinforcing adaptive strategies?
What kinds of policy changes are needed to support the
evolution or enhancement of adaptive strategies that
lead to sustainable livelihoods?
4) Community Methodology
The country researchers will utilize, as desirable,
participatory action research approaches and a
multidisciplinary team of which two members will be
senior students with complementary skills from local
universities.
Within communities, agreed upon methodologies will be
used in in-depth interviews with elders, community
leaders and community members preceded by country
and community profiles.
Interviews at the community level will be conducted in
local languages.
The information gathered will be complemented by aliterature review of adaptive strategies.
The participatory methodology mixes used to collect
local information will have to utilize an iterative process
to maximize effectiveness as experience is gained on
the ground.
Agreed upon methodology will be made available. This
manual provides just one aspect of the methodology
mixes which the LPCs will require to answer all the
questions outlined here and will hopefully assist them
in decision making and keeping the Project on track.
5) Policy review analysis
A separate but closely linked review of policy will be
conducted, which will follow the following process:
5.a) Identification of policy priorities
The LPCs will identify policy priorities one month after
commencement of field work, i.e., at the end of October. They
will also reflect on how policy has affected communities, for
example, the impact of policies on incentives/disincentives to
utilize certain adaptive strategies; and then have communities
respond.
5.b) National seminars
The Regional Project Co-ordinator (RPC), the International
Advisory Group (IAG), and LPCs will help to identify the
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Description
Outline & research protocol
Implementation structure
Constraints & weaknesses
Outputs
Findings
Significance
Bibliography
author of a lead policy paper for each participating country;
and appropriate policy makers and analysts to participate in a
seminar held in February, 1995.
The outputs of the seminars will be two-fold:
A comprehensive and analytical paper on policies that
impinge on adaptive strategies
The generation of reasonable responses to policy
issues raised by the studies.
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ASALsProject Description
Outline & research protocolImplementation structure
Intl. advisory group membersIntl. workshop participantsImplementing agenciesProject coordinators' terms ofreference
Constraints & weaknesses
OutputsFindingsSignificanceBibliography
Project implementation structure
Our management strategy was to have early involvement andbuy-in at the international, national and local levels.
At the international level, we involved major developmentagencies such as UNDP, the World Bank, IDRC, CIDA andUNEP as members of an International Advisory Group whichincluded leading individuals in the field from other institutions.Apart from helping to guide the project with their vastexperience, we were also setting the stage for them to want touse the results at the end of the project. We also sought andobtained financial resources (US$175K) from UNDP to helpwith the field work.
At the national level, we held workshops with seniorgovernment officials including for example the Vice Presidentof Ethiopia and the Premier of the East Transvaal Region inSouth Africa, to gain their perspectives on our proposed workand to set the stage for them to understand the policyimplications of the work and hopefully to use the insightsgained at the end.
Our key implementing partners in each country were the localNGOs, and the communities who were at the heart of theproject. In each country, we selected a local projectcoordinator (LPC) from the collaborating NGO partner. In co-operation with the LPCs, we selected policy analysts in eachcountry. The local NGO was responsible for fielding a
multidisciplinary team which conducted the participatoryexercises with the local project coordinator in charge. Thepolicy analysts were required to work closely with the LPC andthe teams.
We held an orientation workshop to ensure commonconceptual and methodological understanding and clarityamong the LPCs at the beginning of the projectimplementation. A review workshop was held half way throughthe project cycle to review progress, clarify difficulties, ensureall were on track and agree on the format and contents of theoutputs.
IISD provided management, logistical and intellectual supportthroughout the project. We have also undertaken the finalchecking, editing and publishing of the outputs.
The success of our strategy is already evident from thefeedback from our local NGO partners as well as the usealready being made of the project concept and approach forexample by UNDP; the Government and NGOs in Ethiopia,and indications of possible financial support from otheragencies for further related work. At a recent meetingorganised by UNDP in Harare, the 5 UNDP ResidentRepresentatives expressed interest in using the project's
approach in their country programs.
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ASALs
International Advisory Group (IAG)
members
The International Advisory Group draws together persons who
combine a very wide range of rich experiences relevant to the
Project and its goals, with extensive knowledge of the issues.
They also bring to the project a wide range of institutional links
and network affiliations.
Eugenie Aw (Senegal)
Africa 2000 Network
United Nations Avenue
Gigiri, Block B
Nairobi, Kenya
Elizabeth Migongo-Bake
UNEP, DC/PACP O Box 30552
Nairobi, Kenya
Costantinos Berhe-Tesfu
Environment and Development Society of Ethiopia
P O Box 8632, Addis Ababa, Ethiopia
Steve Blais
CIDA
200 Promenade du Portage
Hull, Quebec, Canada
K1G 3H9
Anil Gupta
Indian Institute of Management
Vastrapur, Ahmedabad 380 015, India
Walter Lusigi (Kenya)
World Bank
1818 F Street, NW
Washington DC, USA
Charlie Shackleton
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Joachim Voss
IDRC
250 Albert St.
Ottawa, Ontario, Canada
K1G 3H9
Helen Hambly
Associate Officer
International Service for National Agricultural Research
(ISNAR)
P.O. Box 93375
2509 AJThe Hague
The Netherlands
tel. 31-70-349-6100
fax. 31-70-381-9677
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Project Description
Outline & research protocol
Implementation structure
Intl. advisory group members
Intl. workshop participants
Implementing agencies
Project coordinators' terms of
reference
Contraints & weaknesses
Outputs
Findings
Significance
Bibliography
Alioun Sall
UNDP
One United Nations Paza
New York, NY 10017 USA
Alternates at second meeting:
Chris George (for Steve Blais)
First SecretaryCanadian High Commission
Harare, Zimbabwe
Nigel Motts (for Joachim Voss)
IDRC Regional Office for Southern Africa
P O Box 477
Wits 2050, South Africa
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International workshop participants
The following individuals attended the first and second
international workshops of the Adaptive Strategies for
Sustainable Livelihoods in Arid and Semi-Arid Lands Project
undertaken by the International Institute for SustainableDevelopment. These workshops were held in Nairobi,
September 1994 and at the Wits Rural Facility, South Africa,
March 1995. The Guidebook for Field Projects on Adaptive
Strategies was one of the outputs of these workshops.
(Participants marked + attended both workshops. Participants
marked * attended the Nairobi workshop only.)
Alexander Amuah5458 85th Avenue #102New Carrolton, MD 20784 USA
Kassahun Berhanu
Department of Political Science
Addis Ababa University
P O Box 1176
Addis Ababa, Ethiopia
Costantinos Berhe-Tesfu
LEM Environment and Development Society
P O Box 8632
Addis Ababa, Ethiopia
John Gear
Wits Rural Facility
Private Bag X420Acornhoek 1360, South Africa
Chris George
First Secretary
Canadian High Commission
Harare, Zimbabwe
David Gylywoychuk
IISD
161 Portage Avenue East - 6th Floor
Winnipeg, MB R3B 0Y4 Canada
Ken JeenesWits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Peter Karinge*
KENGO
P O Box 48197
Nairobi, Kenya
Bowdin King
ENDA-Zimbabwe
1 Waterfield Road, Mount Pleasant
P O Box 3492Harare, Zimbabwe
Elizabeth Migongo-Bake
UNEP, DC/PAC
P O Box 30552
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ernational workshop participants
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ASALs
Project Description
Nairobi, Kenya
Nigel Motts
IDRC Regional Office for Southern Africa
P O Box 477
Wits 2050, South Africa
Samuel K Mutiso
Department of Geography, Faculty of Social Sciences
University of Nairobi
P O Box 30197Nairobi, Kenya
Fanuel Nangati
7 Queensgate
Mount Pleasant
Harare, Zimbabwe
Sharon Pollard
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
J. Keith Rennie+3047 Meeting Street
Falls Church, VA 22044, USA
John Reynolds*
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Charlie Shackleton
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Sheona Shackleton
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Naresh Singh+
IISD
161 Portage Avenue East - 6th Floor
Winnipeg, MB R3B 0Y4, Canada
Phosiso Sola
ENDA-Zimbabwe
1 Waterfield Road, Mount Pleasant
P O Box 3492
Harare, Zimbabwe
Jonathan Stadler
Wits Rural Facility
Private Bag X420
Acornhoek 1360, South Africa
Dumisayi Takavarasha*
ENDA-Zimbabwe
1 Waterfield Road, Mount Pleasant
P O Box 3492Harare, Zimbabwe
Shibru Tedla+
ECO-Consult
P O Box 5998
-
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ernational workshop participants
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Outline & research protocol
Implementation structure
Intl. advisory group members
Intl. workshop participants
Implementing agencies
Project coordinators' terms of
reference
Contraints & weaknesses
Outputs
Findings
Significance
Bibliography
Addis Ababa, Ethiopia
Daniel Thieba+
GREFCO
01 BP 1895
Ouagadougou 01, Burkina Faso
Vangile Titi+
IISD
161 Portage Avenue East - 6th Floor
Winnipeg, MB R3B 0Y4, Canada
Christophe Zaongo
GREFCO
01 BP 1895
Ouagadougou 01, Burkina Faso
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cal NGO and community partners
p://www.iisd.org/casl/ASALProjectDetails/LocalPartners.htm[08-09-2015 , Tuesday 01:14:00 AM]
Outline &
research
protocol
Implementation
structure
Intl. advisory
group
members
Internationalworkshop
participants
Implementing
agencies
Project
coordinators'
terms of
reference
Contraints &
weaknesses
Local NGO and community partners
During 1994-5 IISD worked with five institutions in the following African
countries:
Country Organization Location (Ethnic Group)
Burkina
FasoGREFCO
Noungou, Oubrutenga (Mossi)
Menegou, Oudalan (Fulani-Rimaibe)
Ethiopia LEMMelka Worere (Afar)
Areri and Dubluk Medds (Borana)
Kenya KENGOKitengela, Kajaido (Maasai)
Tigania (Meru)
South AfricaWits Rural
Facility
Tshunelani, Gazankulu, E. Transvaal
(ethnically diverse: Sotho, Tsonga,
migrants, refugees, etc.)
Zimbabwe ENDAMlambapehle, Gwanda (Ndebele)
Makaha, Mudzi (Shona - Budga)
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D project on adaptive strategies in ASALs: Terms of reference
p://www.iisd.org/casl/ASALProjectDetails/TermsofReference.htm[08-09-2015 , Tuesday 01:14:13 AM]
ASALs
Project Description
Outline & research protocol
Implementation structure
Intl. advisory group members
Intl. workshop participants
Implementing agencies
Project coordinators' terms of
reference
Contraints & weaknesses
Outputs
Findings
Significance
Bibliography
IISD project on adaptive strategies in
ASALs: Terms of reference
Regional Project Coordinator (RPC)
The RPC is responsible for the management of the project in
the region. He/she will:
Coordinate and monitor five country studies
Assist in the organization of the orientation and training
and other project related meetings
Ensure the delivery of drafts and final documents on
schedule
Review and analyze policy conditions under which
selected adaptive strategies evolved
Participate in national policy meetings
Prepare a report on the process and methodology of
the exerciseAssist in the dissemination of outputs to communities
and monitor utilization
Local Project Coordinator (LPC)
The five LPCs are responsible for the management and
implementation of the project in their respective countries.
Each LPC will:
Participate in the orientation and training workshop
Convene an interdisciplinary team
Orient the team to the project concept and in the use ofparticipatory action research methodologies
Convene and facilitate national meetings
Prepare background material on the participating
communities, including location, history, sources of
livelihoods and adaptive strategies employed
Identify policy priorities relevant to adaptive strategies
and prepare a brief policy issues paper
Conduct fieldwork
Ensure the delivery of drafts and final documents on
schedule
Translate the results of fieldwork into English
Participate in the regional meeting to consolidate the
results from participating countries
Disseminate outputs to communities and monitor
utilization
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ject constraints and weaknesses
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ASAL Project
ASALs
Description
Outline & research protocol
Implementation structure
Constraints & weaknesses
Outputs
Findings
Significance
Bibliography
Project constraints and weaknesses
The major constraint was the short time in which the project
was implemented. Participatory work requires virtually open-
ended approaches which permit the development of trust and
understanding between researchers and community. Topartially alleviate time constraints, we selected partners and
communities who had a history of trust and familiarity with
each other. However, this has the disadvantage of reducing
the open mindedness required to work with new approaches
and to develop new insights.
Our policy analysts were not involved in the first orientation
workshop which discussed concepts and methodology in
detail nor in the field work. In retrospect they should have
been. While the workshop focused largely on participatory
methodologies applied to adaptive strategies and sustainable
livelihoods, we needed to build a team approach from theinception with the policy analysts included. Their grasp of the
concepts remained weak until a late stage in the project which
resulted in difficulties in making all the necessary linkages
between policy, technology and local adaptive strategies.
The local teams which conducted the participatory community
work did not give enough attention to the contribution of
external technology, except perhaps the South African team.
This seems to be due to the composition of teams which were
somewhat under represented in agricultural extension
knowledge and skills, but also to the non-technological culture
of groups who work with local communities. The remedy is in
identifying this possibility early and addressing it in both teamcomposition and orientation.
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ject Outputs
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Project Outputs:
Completed Outputs
The two primary outputs of this project were:
The analytical frameworkfor community adaptation
and sustainable livelihoods - This framework involves
an understanding of the interaction of science, local
knowledge, and policy in determining how communities
adapt to change in a sustainable manner. It is
presented in the introduction to IISD's CASL program.
Further testing and revision of the model for more
general application are currently underway.
The guidebook on participatory research for
sustainable livelihoods- This is a detailed guide,
based on our field experience on how to apply existing
participatory research tools and policy analyses to
adaptive strategies and sustainable livelihoods
projects. The guidebook will be useful to both
practitioners and researchers interested in conducting
work in this field. It is not a PRA/RRA type manual, but
rather a guide to using the integrated approach we
have developed, which brings together policy and
community initiatives. In the process of creating these
outputs, a number of other documents were prepared.
These included reports written by our collaborating
partners on the community-articulated adaptive
strategies and policies researched in each of the five
countries. Summaries of their findings have been
compiled into a working paper which may be of interestto other researchers working in these countries.
Work in Progress
Discussions on the development of popular forms of the
results for community use, to further test our
hypothesis of self empowerment of communities
through validation of their adaptive strategies and
knowledge systems and informing them of policy
issues.
Dissemination of outputs and presentation of findings to
major players such as UNDP, WB, etc.
Analysis of the outputs to identify possible genericprinciples and prepare an overall report on the project.
Community Sustainability -
Home
ASAL Project
Follow-up discussions have been initiated for possible
collaboration with specific groups such as UN Capital
Development Fund, UNSO, Regional Bureau for Africa,
Regional Bureau for Asia, Bureau for Policy and Program
Support, Technical Cooperation among Developing Countries
(TCDC) Units.
Discussions with the World Bank have led to an invitation to
present the project concept and results to an in-house
seminar in the Africa Division of the Bank. Discussions at this
meeting are likely to focus on the implications of the project
findings for:
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ject Outputs
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ASALs
Description
Outputs
Findings
Significance
Bibliography
policy making and policy-makers
project development and design
understanding the context of proposed development
interventions
development thinking related to agro-pastoralists in arid
and semi-arid lands in Africa
community empowerment
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ject findings
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ASAL Project
ASALs
Description
Outputs
Findings
Diversity among pastoral groupsKey stresses
Adaptive strategies
Policies which affect adaptive
strategies
Significance
Bibliography
Project findings
The documentation of adaptive strategies of people living in
arid and semi-arid land reveals that people have evolved
complex adaptive strategies to deal with their environments in
a sustainable way. Various pressures are forcing an everincreasing rate of change, necessitating the adoption of new
strategies for survival. Thus some of the adaptive strategies
identified are relatively new, while others have been passed
on from one generation to the next.
These findings are not surprising. It is clear that in searching
for insights into the promotion of sustainable livelihoods, the
adaptive strategies which need close inspection are the ones
which are entrenched in the traditional systems, because,
unlike the modern statutory systems, they tend to be explicit in
the norms and regulations which guide people in their
interaction with natural resources. The policy debate has yetto pay sufficient attention to the arrangements within
traditional systems which enable the development of adaptive
strategies which are attuned to the long-term survival of the
environment. The different support systems and decision-
making processes of the various groups of pastoralists need to
be taken into account to support lessons learned from local
adaptive strategies for policy, as well as for sustainable
livelihoods.
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versity among pastoral groups
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ASAL Project
ASALs
Description
Outputs
Findings
Diversity among pastoral groups
Key stresses
Adaptive strategies
Policies which affect adaptive
strategies
Significance
Bibliography
Diversity among pastoral groups
The nine communities studied are all located in arid and semi-
arid regions (ASALs) of Sub-Saharan Africa. However, it is
important to note that while there are many similarities in the
types of stresses and adaptive strategies faced, there are alsosignificant differences which affect their livelihoods. The most
stark difference probably emanates from the fact that some of
the communities are completely sedentary, e.g., Mudzi in
Zimbabwe and Tshunelani in South Africa, while others are
migratory pastoralists, settling in their villages for part of the
year and moving with their herds as the seasons and
availability of water and grazing for their livestock demands.
Such is the case with the Afar and Boran in Ethiopia, and the
Maasai of Kenya. However, in general there is a movement
towards a more settled lifestyle. In some cases, such as in the
Mlambaphele Village case, only some members of the village
move with the livestock to alternative water sources as thewater near the village becomes insufficient to supply all
human and animal requirements.
The above is important in trying to extract insights, especially
for policy, because it underscores the fact that not all
pastoralists in Sub-Saharan Africa face the same kind of
lifestyle, and that indeed there is a certain dynamism in the
lives of inhabitants of the ASALs. There is clearly a need to
distinguish more among different types of pastoral
communities in designing policy intervention, rather than just
referring to a "homogenous" group of "African pastoralist", as
is often done in the literature.
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y stresses
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ASAL Project
ASALs
Description
Outputs
Findings
Diversity among pastoral groups
Key stresses
Adaptive strategies
Policies which affect adaptive
strategies
Significance
Bibliography
Key