Community-Scale Adaptation Community-Scale Adaptation Assessment:Assessment:

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Fieldwork methods for project impact assessment

AIACC_AF14 Project: Lessons for Climate Change Adaptation in Northern, Eastern and Sahelian Africa

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OverviewOverview

Project background

Fieldwork goals and approach

Fieldwork methods

Scoping: initial site visit

Data collection: second site visit

Validation: third site visit

S E IProject background (1): Premise and MotivationProject background (1): Premise and Motivation

Urgent adaptation needs of most vulnerable groups

Increase current coping capacity through adaptation

DCs in need of SD-consistent adaptation strategies

Existence of local coping/adaptive strategies and lessons from other disciplines (e.g., SL, disaster mitigation, natural resource management); potential for integration

Many no-regrets options and co-benefits

But, disconnect between community needs and policy process; dominance of technical/structural response

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Project background (2): GoalProject background (2): Goal

To support the process of climate change adaptation to effectively respond to the needs of vulnerable communities by documenting cases of effective community resilience-building and sharing lessons on why these cases were effective and how to support similar activity.

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3 or 4 case studies of successful SL projects in drought-prone communities

Project impact assessment (fieldwork): Has the project succeeded in building community resilience? In what ways? To what effect?

Policy process analysis: What enabling factors account for project success? What policies, conditions, etc. (micro, meso, macro-scale) are behind successful experiences? How can these be built upon/encouraged?

Project background (3): Research ScopeProject background (3): Research Scope

S E IProject background (4): StepsProject background (4): Steps

1. Background/Preparation

2. Project Impact Assessment (fieldwork)Initial site visit (scoping)

Second site visit (data collection)

Third site visit (validation)

3. Policy Process Analysis

4. Synthesis

S E IProject Impact Assessment: Goals

Measure/describe impact of successful SL

projects (change in community resilience pre-

and post-project)

In order to:

Generate lessons for pro-poor adaptation policy,

planning and implementation

S E IProject Impact Assessment: ObjectivesProject Impact Assessment: Objectives

Gain community trust, commitment and

participation in the case study

Confirm success of SL project

Develop/finalize indicators

Finalize and carry out data collection strategy

Fill data gaps and validate findings

Initiate policy process analysis

S E IProject Impact Assessment: ApproachProject Impact Assessment: Approach

Rely on community participation and expert

judgment

Develop locally relevant indicators and indicator

criteria

Blend quantitative and qualitative indicators using

adapted version of the Livelihood Asset Status

Tracking System (Bond and Mukherjee, 2002)

Develop ‘word pictures’ with associated scores to

measure changes in resilience

S E IInitial site visit (scoping)Initial site visit (scoping)Initial site visit (scoping)Initial site visit (scoping)

PURPOSE:PURPOSE:

1. garner community trust, interest in, and support

of the project and the approach

2. confirm the success of the SL activities from

community perspective

3. scope and schedule fieldwork, including

participatory framework

4. identify key stakeholders and local informants

S E IInitial site visit (2): Preparation Initial site visit (2): Preparation Initial site visit (2): Preparation Initial site visit (2): Preparation

CSR’s should be prepared to discuss:CSR’s should be prepared to discuss:

1. a particular, locally-relevant climate extreme

(signal event)

2. a set of generic, expert derived qualitative

indicators

3. a process, including selection criteria, through

which the community can consider and revise

these indicators

S E IInitial site visit (3): sample criteria for indicators Initial site visit (3): sample criteria for indicators Initial site visit (3): sample criteria for indicators Initial site visit (3): sample criteria for indicators

Cells contain locally relevant criteria reflecting the productivity, equity and

sustainability dimensions of

each of the five capital assets

TABLE 1: The five capital assets

Natural Physical Financial Human Social

ProductivitySoil fertility Irrigation

infrastructureIncome Employment Education and

training

EquityAccess to crop

landAccess to

irrigation system

Access to credit

Individual/household rights

Access to decision-making

SustainabilityLand

management

Water management

Savings and investment

Health Local institutions

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Initial site visit (4): Initial site visit (4): sample indicators sample indicators Initial site visit (4): Initial site visit (4): sample indicators sample indicators

Box 2: Quantitative/Qualitative natural capital indicators:

Land ownership/access (# ha)

Food stores (# seasons)

Fertility of land (soil quality)

Location of land (degree of slope)

Subsistence and cash crops (amounts of each; ratio)

Fodder production (amount)

Surplus seeds (ability to trade)

Access to irrigation water (type and degree of access)

Livestock holdings (# heads)

Supplemental agricultural income (type; amount)

Household food production (dairy? fruit?)

Access to forest produce (type and degree of access)

S E IFieldwork: Fieldwork: Second Second site visit (data collection)site visit (data collection)Fieldwork: Fieldwork: Second Second site visit (data collection)site visit (data collection)

PURPOSE:PURPOSE:

1. familiarize community with data collection

strategy

2. develop full sets of indicators (quantitative and

qualitative)

3. assemble indicator-based assessment sheets for

use in interviews

4. carry out interviews and assemble ‘word pictures’

S E ISecond site visit (2): Sample assessment sheetSecond site visit (2): Sample assessment sheetSecond site visit (2): Sample assessment sheetSecond site visit (2): Sample assessment sheet

Table 2: Word pictures of household access/ownership of natural resources (assessment sheet)

Worst case 2 3 4 Best case

Indicator 0 5 10 15 20 20-40 40-60 60-80 80 85 90 95 100

Land ownership/access

little or no land X hectares land

Food stores one or two month's food available from own land

Fertility of land red soil with low fertility more of black fertile soil

Location of land land is located on slope; rain water washes away seeds and top soil

fertile land with moisture retention capacity

Subsistence and cash crops

use of traditional seeds grows and sells cash crops; grows vegetables; availability of home grown food throughout year; grows high yielding variety seeds

Fodder production no land for growing fodder

Surplus seeds lends seeds to others

Access to irrigation water

no source of irrigation irrigation facilities available round the year

A

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S E ISecond site visit (3): Collecting data through WPsSecond site visit (3): Collecting data through WPsSecond site visit (3): Collecting data through WPsSecond site visit (3): Collecting data through WPs

Approach to survey/interviews:Approach to survey/interviews:Use household circumstances during signal event as basis of

comparison; compare with circumstances during recent or

hypothetical event

Use assessment sheets (one for each capital) as basis of interview

questions. For example:“During the signal event (e.g., 1984 drought), what level of food stores did you have (in months)? Were they sufficient? If not, how great was the deficit (in months)?During the recent drought (post-SL activity) , what level of food stores did you have (in months)? Were they sufficient? If not, how great was the deficit (in months)?

On assessment sheet, record number associated with interviewee responses to questions

From these responses, assemble word pictures for each interview

Record associated scores (for WPs pre- and post-SL activity)

Keep interview to 15-20 minutes

S E ISecond site visit (4): Second site visit (4): Resulting Word PicturesResulting Word PicturesSecond site visit (4): Second site visit (4): Resulting Word PicturesResulting Word Pictures

Pre-SL Activity Post-SL Activity

Little or no land; one or two month's food available from own land; quality of land is poor, having red soil with low fertility; land is located on a slope in such a position that rain water washes away the seed sown and the top soil and hence reduces its fertility; use of traditional seeds; some have given away land as collateral; no source of irrigation; no land for growing fodder for livestock; owns one or two livestock; no milk produced; low access to forest produce;

More of black fertile soil; more land; grows one's own fodder on one's own land; fertile land with more moisture retention power; more produce from land; grows and sells cash crops; grows vegetables; grows high yielding variety seeds; lends seeds to others; irrigation facilities available round the year; land is near the forest; access to forest produce; some have government permit to grow opium; has many fruit trees; availability of home grown food throughout the year; many livestock, high returns from livestock;

Adapted from Bond and Mukherjee (2002)

Hypothetical word picture of household’s access to natural resources Hypothetical word picture of household’s access to natural resources (natural capital)(natural capital)

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Fieldwork: Third Fieldwork: Third site visit (validation)site visit (validation)Fieldwork: Third Fieldwork: Third site visit (validation)site visit (validation)

PURPOSE:PURPOSE:

1. validate preliminary findings, using group meetings,

targeted interviews and triangulation

2. Resolve TF and Project Team questions/concerns,

conducting necessary follow-up inquiries

3. carry out inquiries for policy process analysis

Note: Third site visit activities may be conducted as part of an extended second visit.

S E IThird site visit (2): Preparation Third site visit (2): Preparation Third site visit (2): Preparation Third site visit (2): Preparation

CSR’s should be prepared to discuss:

preliminary findings of the survey process

a process for resolving key questions

a process for validating preliminary findings

a process for conducting policy analysis inquiries

S E IFieldwork Synthesis

Outline data collected on changes in

household and community resilience

Summarize changes in resilience to climate

impacts following project intervention

Discuss the validation process

Discuss the role of the project intervention in

building community resilience

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