climate_change_guidlelines_final_april_2011.pdf

7/27/2019 climate_change_guidlelines_FINAL_april_2011.pdf

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Indicatorstoassesscommunitylevel

socialvulnerabilitytoclimatechange:AnaddendumtoSocMonandSEMPasifika

regionalsocioeconomicmonitoringguidelines

FIRSTDRAFT

FOR

PUBLIC

CIRCULATION

AND

FIELD

TESTING

APRIL

2011


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Indicatorstoassesscommunitylevelsocial

vulnerabilitytoclimatechange:

AnaddendumtoSocMonandSEMPasifika

regionalsocioeconomicmonitoringguidelines

BySupinWongbusarakumandChristyLoper

April2011

FIRSTDRAFTFORPUBLICCIRCULATIONANDFIELDTESTING


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TableofContents

Acknowledgements....................................................................................................................................... 5

Authors

note:

...............................................................................................................................................

5

1. Whyassesssocialvulnerability?........................................................................................................... 6

2. Whydidwewritethisdocument?........................................................................................................ 7

3. Definingsocialindicators...................................................................................................................... 8

4. Socialindicatorschosenforthisaddendum....................................................................................... 10

CC1:Demographicallyvulnerablegroups............................................................................................... 14

CC2:Dependenceonvulnerableresourcesandservices....................................................................... 18

CC3:Currenthouseholdlivelihoodandincomediversity....................................................................... 21

CC4:Perceivedalternativeandsupplementarylivelihoods.................................................................. 24

CC5:Awarenessofhouseholdvulnerabilitytoclimatehazards............................................................. 26

CC6:Accesstoanduseofclimaterelatedknowledge.......................................................................... 29

CC7:Formalandinformalnetworkssupportingclimatehazardreductionandadaptation.................31

CC8:Abilityofcommunitytoreorganize................................................................................................ 33

CC9:Governanceandleadership............................................................................................................ 35

CC10:Equitableaccesstoresources...................................................................................................... 37

5.

Fromvulnerability

assessment

to

adaptation

planning

.....................................................................

39

6. Referencesandsuggestedreadings................................................................................................... 40


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Acknowledgements

TheauthorswishtoacknowledgesignificantcontributionsbyJamesHardcastle,NadineMarshall,Paul

Marshall,

Lizzie

McLeod,

Maria

Pena,

and

Caroline

Vieux.

In

addition,

the

expertise

of

Ameer

Abdullah,

NicolaBarnard,DavidObura,andJerkerTamelanderwascrucialtothecreationofthisdocument.

FundingforthispublicationwasprovidedbytheSecretariatforthePacificEnvironmentProgramme

throughtheCoralReefInitiativeSforthePacific(CRISP)andIUCN. InkindsupportwasprovidedbyThe

NatureConservancyandtheNOAACoralReefConservationProgram.

Authorsnote:

Theseindicatorstoassesscommunitylevelclimatechangevulnerabilityarepresentedhereasafirst

draftfor

field

testing,

circulation,

and

revision.

Your

comments

are

welcome,

and

we

look

forward

to

improvingthedraftasthescienceofassessingsocialvulnerabilityadvances. Pleasesendany

[email protected].


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1. Whyassesssocialvulnerability?Resourcedependentcommunitiesareparticularlyvulnerabletoclimatechange,whoseinfluenceonour

naturalsystemsisalreadybeingfelt.Projectionspointtolarge,potentiallydramaticchangesthatare

likelyinthiscentury.Formarineandcoastalsystems,thedirecteffectsofclimatechangeinclude

increasingseatemperatures,risingsealevels,shiftsinthestrengthandtimingofoceancurrents,

increasedfrequencyofseveretropicalstorms,andhigheroceanacidity.Thesealterationswillhave

impactsthatcascadethroughtheecosystem,ultimatelyaffectingnaturesabilitytoprovidethegoods

andservicesonwhichcommunitiesdepend. Socialsystemsandsectorsthatdependonthemarine

environmentwillhavetoadaptinwaysthatarelikelytoincludechangestothedistributionand

productivityofimportantfisheryspecies,potentiallossesintourismvalue(recreationandaesthetic)of

importantmarinehabitatssuchascoralreefsandbeaches,andreducedeffectivenessofprotective

featuressuchasbarrierreefsandmangroveforests.Changingclimateimpactswillalsohavelarger

effectsonsocialandculturalwaysoflifeinmanysocieties.Adjustmentswillbeneededatthesametime

peoplearecopingwithsuchdirectimpactsaschangesinavailabilityofdrinkingwater,coastalerosion,

andsaltwaterintrusionandinundationofresidentialandfarmlands,andundergroundwatersources.

Naturalresourcemanagersandotherconservationpractitionersarebeginningtoreviewtheir

approachestomarineecosystemmanagementwiththeaimofimprovingecosystemresilience to

climatechange.Inmostcases,theresilienceofecosystemsandhumansystemsareinterdependent:

Buildingresilienceinonewillincreaseitintheother.Armedwithgoodknowledgeaboutthenatureof

theselinkagesandtheimplicationsofdifferentmanagementoptions,naturalresourcemanagersand

communityleadershavethebestchanceofidentifyingstrategiesthatimproveecosystemresilience

withoutexacerbatingsocialvulnerability.

Understandingandmappingthelinkagesbetweensocialandecologicalsystemscanbecomplex,but

evenabasicunderstandingofsocialvulnerabilityanditsdriverscansubstantivelyinformfuture

planningforcoastalandmarinemanagement. Conventionalvulnerabilityassessmentshavefocused

mainlyonbiological,physical,andenvironmentalaspects.Buttherelationshipofpeopletoimpacted

physicalenvironmentsandecosystemsandtheircapacitytocopewithandadjusttothenewsituation

playafundamentalroleinthelevelofvulnerabilitytoclimateeventsandimpacts.Inotherwords,

communitieswithvaryingcapacitytorespondtoclimateeventswilllikelyyielddifferentlevelsof

vulnerability.Itisthereforeimportantthatbiophysicalandsocioeconomicassessmentsbeintegrated

andcomplementeachother,toprovideaholisticunderstandingofvulnerabilitytoclimatechange.

Herewe

present

an

approach

for

achieving

asynoptic

view

of

social

vulnerability

and

adaptive

capacity,

andtheimplicationsforthemanagementofmarinesystemsinthefaceofclimatechange.


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2.Whydidwewritethisdocument?Thepurposeofthisaddendumistoprovideaminimumsetofsocioeconomicindicatorsrelatedto

climatechange.Thesecanbeincludedinasocioeconomicassessmentofanysiteforwhichclimate

changeimpactsareanimportantissue.Theresultinginformationcantheninformcoastalmanagement

needsandadaptivemanagement.Thisdocumentisbeingaddedtoregionalsocioeconomicmonitoring

guidelinesproducedbytheGlobalSocioeconomicMonitoringInitiativeforCoastalManagement

(SocMon)1anditsPacificcounterpart,SEMPasifika,whichaimtoimprovesitemanagementofcoastal

andmarineareasbyprovidingsimple,userfriendlyguidelinesonhowtoconductasocioeconomic

assessment. Suchassessmentshelpcoastalmanagersincorporatecommunityviewsintoadaptive

managementofmarineresources.

Ithasbecomeevidentoverthelastfewyearsthatmanycoastalandislandsitesareexperiencingmore

climaterelatedeventsandimpacts,whichaddstresstocoastalandmarineresourcesaswellasthe

communitieswhosewayoflifeisintimatelyconnectedwiththem.Coastalmanagersandconservation

practitionersworldwidearebeginningtogetinvolvedineffortstounderstandandaddresscritical

climaterelatedissues,and therehasbeenagrowingneedforindicatorstohelpunderstanda

communitysvulnerabilityandadaptivecapacitytochangingclimate.Thisaddendumistherefore

intendedtoaddspecificindicators forunderstandingsocialvulnerabilityandsocialadaptivecapacityas

itrelatestoclimatechange.

Theintendedaudienceisprojectmanagers,NGOstaff,andcommunitymemberswhoareinterested

andabletoconductasocioeconomicassessmenttohelpunderstandacommunitysvulnerabilityto

changingclimate,andhowitmightplantoadapt.

1RegionalguidelineshavebeenproducedandareactivelybeingusedforSoutheastAsia,

Caribbean/CentralAmerica,SouthAsia,WesternIndianOcean,PacificIslands,andWestAfrica. Copies

ofguidelinesforallregions,includingtranslationintolocallanguages,areavailableatwww.socmon.org.

Pleaserefertoregionalguidelinesforinformationondatacollectionmethods,monitoringobjectives

otherthanassessingclimatechangevulnerability,andabroaderlistofreferences.


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3.DefiningsocialindicatorsVulnerabilityassessmentsinvolvetoolsandprocessesusedtoassessthevulnerabilityofacommunity

anditsnaturalresourcestoclimatechange.Theapproachrecommendedinmuchclimateliterature

(includingMarshalletal.2010,USAID2009,Turner2003)coversthreemainareas:exposure,sensitivity,

andadaptivecapacity,astheycollectivelydeterminethelevelofvulnerabilitytoclimatechange

impacts.Thehumandimension,whichisthefocusofthisaddendum,isgatheredtoprovidebetter

understandingofthesocialaspectsofexposure,sensitivity,andadaptivecapacityoftheassessed

community.

Inasocialcontext,thefollowingtermsaredefinedasfollows:

Exposure:Theextenttowhichacommunitycomesintocontactwithclimateeventsorspecific

climateimpacts.Specifically,thisincludesareasofresidencyandresourceuseexposedto

differentclimateeventsandimpacts.Forexample,housesnearthehighwatermarkmayhave

highexposuretorisingsealevels.Coastalsagopalmplantationsornearshoretaropatchesmay

havehighexposuretosaltwaterintrusionandinundation.Shallowreefsexposedtofullsunin

areasoflowwindmayhavehighexposuretoincreasesinseasurfacetemperature.

Sensitivity:Thedegreetowhichacommunityisnegativelyaffectedbychangesinclimate.

Sensitivityislargelydeterminedbytherelationshipofindividuals,households,oracommunity

toresourcesimpactedbyclimateevents,andbythedegreeofdependencyonthoseresources.

Forexample,if exposedsagopalmplantationsortaropatchesareamainsourceoffoodand

incomeforacommunity,family,orgroupofhouseholds,thentheymayhaveahighdegreeof

sensitivity.

If

the

exposed

reefs

are

the

main

area

of

fishing

that

provides

income

and

food

for

a

community,thatcommunityishighlysensitivetothemasscoralbleachingthatresultsfroma

riseinseasurfacetemperature.

Adaptivecapacity:Thepotentialorcapabilityofacommunitytoadjusttoimpactsofchanging

climate.Adaptivecapacityiscomplex.Itmaybeinfluencedstronglybyafewkeycharacteristics,

orbyawiderangeofsocialcharacteristics.Forexample,awellinformedvillagewithastrong

traditionalleaderwhoisabletodevelopgoodplansandmakedecisionsthathelpandinvolveall

membersofthecommunitywilllikelyshowhighadaptivecapacity.Ahouseholdthathas

diversifiedsourcesofincomeandsupplementarylivelihoodoptionswilllikelyhavehigher

adaptivecapacity

to

impacts

of

climate

change

than

those

that

do

not.

Socialvulnerabilitytoclimatechangeisafunctionofexposure,sensitivity,andadaptive

capacity.


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Mostindicatorsinthisaddendumarerelatedtosocialadaptivecapacity,whichisdeterminedbyawide

rangeoffactorsrelatedtoacommunityssociocultural,economic,andpoliticalconditions,aswellas

relevantgovernanceandinstitutionalarrangements.Thecomplexityofsocialadaptivecapacityrequires

ustotakeintoconsiderationdifferentsocialcharacteristicsofindividuals,households,andcommunities

simultaneously. Informationrelatedtosocialadaptivecapacityishighlyuseful,moreover,becauseit

helpsdetermine

vulnerability

of

people

to

climate

change,

and

thus

provides

guidance

on

what

really

needstobeaddressedindevelopmentplanningandimplementationtoensurethatstrategicadaptation

considerationsarewellintegrated.Anunderstandingofsocialadaptivecapacityiscrucialtoavoidingthe

negativeimpactsofpoorlyplannedactivitiesthatmaysometimesworsenimpactsonthosewhoare

mostvulnerable.Effectiveadaptationthusneedstoimproveandenhanceadaptivecapacitywhile

decreasingexposureandsensitivitytoclimateeventsandimpacts.


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4. SocialindicatorschosenforthisaddendumUsersoftheseguidelinesmayselectindicatorsanddevelopothersthatarerelevanttotheirsite.They

arealsoencouragedtorevisittheindicatorsinthemainSocMonorSEMPasifika,asseveralofthemcan

alsohelpassessdifferentfactorsofclimatevulnerability.Forinstance,theexistingindicatorperceived

conditionofresourcesiscloselyrelatedtothesensitivityfactorofvulnerability,asitprovides

informationonwhatpeoplethinkabouttheconditionofthenaturalresourcesonwhichtheydepend.

Monitoringperceivedconditionofresourcescanalsopointtotrendsandchangesintheseresources,as

wellasrevealnonclimateandcumulativeimpactsontheseresourcesthatneedtobetakeninto

considerationtoaddressadditionalclimatethreats.Themoreacommunityisdependentonaresource,

andtheworsetheconditionoftheresource,themoresensitivethecommunitywillbe.Locationof

coastalandmarineactivitiesisanotherexistingSocMon/SEMPasifikaindicatorthatprovides

informationonexposuretoclimateeventsandimpacts,asitidentifiestheareaswherelivelihood

activitiestakeplace.Severalotherexistingindicatorsinthemanagement/governanceandstakeholder

sectionsofSocMonandSEMPasifikamayberevisedtoaddresslocalclimatechangeissuesatthe

communitylevelaswell.

Eachsitehascertaincharacteristicsthatmakesomeindicatorsmoresuitablethanothersfor

vulnerabilityassessment.Alistofpossiblesocialindicatorsforeachcontributingfactortoclimate

vulnerabilitycouldbequiteextensive,especiallyinthecaseofindicatorsrelatedtoadaptivecapacity

thatdependonspecificlocalsituationsandthatmightencompassawiderangeofsocialconditions.An

expertworkshoporganizedbytheInternationalUnionfortheConservationofNature(IUCN)washeldin

December2010withrepresentativesfromNOAA,TNC,SPREP,UNEPWCMC,CSIRO,GBRMPA,and

CORDIO2toreview,discuss,andprioritizepossibleindicatorsofadaptivecapacity.Theminimumsetof

indicatorsproposedinthisaddendumreflectstheselectionsresultingfromtheworkshop. Afigure

illustratingtheproposedindicatorsinthevulnerabilityframework,atablewithexamplesofrelevant

purposes,anddetaileddescriptionoftheseindicatorswillbethefocusofthefollowingsections.

2TheNationalOceanicandAtmosphericAdministration(UnitedStates),TheNatureConservancy,theSecretariat

ofthePacificEnvironmentProgramme,UnitedNationsEnvironmentProgramWorldConservationMonitoring

Centre,CommonwealthScientificandIndustrialResearchOrganisation(Australia),GreatBarrierReefMarinePark

Authority(Australia),andCoastalOceansResearchandDevelopmentintheIndianOcean.


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Figure1:Proposedindicatorstoaddressclimatesocialvulnerabilityframework

Exposure

CC1:

Demographically

vulnerablegroups

Sensitivity

CC2:Dependenceonresourcesandservices

vulnerabletoclimatechangeimpacts

InexistingSocmon/SEMPasifika:

Perceptionof

resource

conditions

PotentialImpacts

AdaptiveCapacityCC3:Currentlivelihoodandincomediversity

ofhousehold

CC4:Perceivedalternativeandsupplemental

livelihoods

CC5:Awarenessofhouseholdvulnerability

toclimatehazards

CC6:Accessanduseofclimaterelated

knowledgeCC7:Formalandinformalnetworks

supportingclimatehazardreductionand

climateadaptation

CC8:Abilityofcommunitytoreorganize

CC9:Leadershipandgovernance

CC10:Equitableaccesstoresources

Vulnerability


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Table1: Socialindicatorsandexamplesofhowtheymightbeused

Areaand

Indicator

number

Indicatorand

data

collecting

methods3

Howinformation

might

be

used

Exposure

CC1 Demographicallyvulnerable

groups

KI,S,HH

Identifywhichgroupsandareasmayneedthe

mostassistanceinclimatechangeadaptation

Understandwhycertaindemographicgroupsincur

moreclimateassociatedrisk

Sensitivity

CC2 Dependenceonresourcesand

servicesvulnerabletoclimate

changeimpacts

S,M,BM,KI,HH

Predictorforfuturelivelihood,economic,andfood

securityimpactsofclimatechange

Pointto

livelihoods

that

are

highly

sensitive

to

particularclimatethreats

Existing

SocMon

andSEM

Pasifika

Perceptionofresource

conditions

HH

Provideinformationonnaturalresourcecondition

andabilitytoabsorbadditionalimpacts

AdaptiveCapacity

CC3 Currentlivelihoodandincome

diversityofhousehold

HH,KI,seasonalcalendar

Identifyeconomicsensitivityofcommunityto

climatechangeorotherexogenousshocks

Identifyneedtodevelopdiverselivelihoodoptions

CC4 Perceivedalternativeand

supplementallivelihoods

HH,KI

Identifyfuturelivelihoodpossibilitiesandneeded

resourcesforadaptationtoclimatechangeorother

exogenousshocks

CC5 Awarenessofhousehold

vulnerabilitytoclimatehazards

HH(S,KI)

Understandparticularareasofclimatethreat

Understandlevelofimpactofdifferentclimate

eventsonhouseholdandcommunity

Prioritizeadaptationeffortstoaddressthemost

threateningimpactsandevents

3

As in SEM-Pasifika guildelines, the following abbreviations are used for data collecting methods:o BM = Biological monitoringo FG = Focus group interview/surveyo HH = Household surveyo KI = Key informant interview/surveyo M = Mappingo O = Observationo S = Secondary data


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CC6 Accessto,anduseof,climate

relatedknowledge

KI,HH

Tailortypesofoutreachandeducationprogramto

addressclimatehazards

Fillgapsininformationnetworks

Identifycurrentandpossibleusesofclimate

information

CC7 Formalandinformalnetworks

supportingclimatehazard

reductionandadaptation

KI

Identifypotentialnetworkstoserveasconduitfor

climaterelatedinformationandassistance

Collaboratewithexistingnetworksthatmight

supportadaptationandplanning

CC8 Abilityofcommunityto

reorganize

KI,HH

Measurewhetheracommunityisableto

restructureinthefaceofimpacts

Determinelevelofselfreliancewithina

community

Identify

areas

that

need

to

be

strengthened

for

adaptationwork

CC9 Leadershipandgovernance

KI,HH

Utilizelocalsupportfromcommunityleadersin

adaptationwork

Understandlevelofstakeholderparticipationin

managementanddecisionmaking

CC10 Equitableaccesstoresources

HH

Identifyvulnerablepopulationsegmentsthatmay

belessabletoadapttoclimatechange

Indicateoveralllevelofcommunityadaptation

(higherequity=higheradaptivecapacity)


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CC1:Demographicallyvulnerablegroups

Differentgroupsinthesamecommunityorregionmayexperiencedifferentlevelsofvulnerabilityto

changingclimate.Demographicallyvulnerablegroupsarethosethat,becauseoftheirparticular

demographicorsocialcharacteristics,aremorevulnerablethanothersinthebroadercommunity.

Particulardemographic

characteristics

may

result

in

varying

levels

of

exposure

to

certain

types

of

climatehazards(e.g.locationofhome,neededresourcesandinfrastructureinrelationtohazardprone

areas),howsensitivepeoplearetohazards(age,healthcondition,occupation,economicstatus,or

dependencyonimpactedresources),andtheiradaptivecapacities(attitudesandknowledge,skills,

economicstatus,socialaffiliation,andwillingnessandabilitytochange).Thesedemographic

characteristicsmayinclude:

householdsizeandstructure

age

sex

educationallevel

literacy

occupation

incomeoreconomicstatus

migrationstatus

homelocationandproximitytohazardareas

healthstatusandspecialneeds

affiliationwithcertaindemographicgroups,suchasreligious,ethnic,andlanguage

accesstolifelines(drinkingwater,electricity,healthcare,transportation,and

telecommunications)

Howtocollectthedata(KI,S,HH)Ideallythisindicatorwillbeaddressedusingbothkeyinformantandhouseholdinterviews/censusdata.

Keyinformantsshouldbeinterviewedtodeterminewhichsegmentsofthepopulationmaybemostat

risktodifferenttypesofclimateevents,wheretheyare,andhowtoreducethoserisks.Keyinformants

mightincludethevillagechieformembersofparliament,representativesfromcertaindemographic

groups(suchaswomen,elders,andethnicgroups),representativesofoccupationalgroups(fishers,

farmers),and

those

who

serve

the

community

in

certain

capacities

(such

as

health

care

workers,

utility

serviceproviders,directorsofemergencyrelieforganizations,churchleaders).Existingsecondary

sourcescanthenbeused,suchasgovernmentcensusandexistingdemographicreports,toget

informationontherelativeproportionofvulnerablegroupswithinthecommunity.


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Ifsecondarysourcedataisnotavailableandthecommunityhaslessthan100households,afullcensus

survey(interviewingallhouseholds,notjustasample)canbeconductedtoobtaindetaileddemographic

profilestogetanaccurateunderstandingofsitedemographics.Thefollowingexamplesshowhowsome

demographicdatacanbecollectedbyhouseholdsurveyquestionnaire.

Examples:

Pleasefilloutthefollowingforeachhouseholdmember.

Household

member*

Age Sex Education/

literacy

Occupation Anyspecial

healthneeds

Mother 48 F College Nurse None

Grandmother 74 F Highschool Retired Needswheelchair

Son 22 M Highschool Fisherman None

*Identifyalllivinginhousebyrole(e.g.father,mother,grandmother)

Isyourhouseexposedtoanyofthefollowingclimateimpacts:

Climatehazards* Check

ifyes

Tropicalstorm(e.g.hurricanes,typhoons)

Stormsurge

Coastal/beach

erosion

Saltwaterinundation

Flood

Climaterelatedlandormudslide

Bushfire

Other(specify_________________)

*Customizeforyoursite,assomehazardsmaynotapply,whileothersmay

applytoallhomes.

Comparedwith

other

families

in

your

community,

how

would

you

rate

the

economic

status

of

your

household?

______Belowaverage ______Average ______Aboveaverage


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Howwouldyourateyourhouseholdincomelevel,basedonyourexpenses?

______Usuallynotenoughtocoverimportanthouseholdexpense

______Justenoughtocover importanthouseholdexpenses

______Usuallyhavesomeleftafter importanthouseholdexpenses

Areyounewlymigratedintothearea?______No ______Yes,since_________

Whatisthemainlanguage(s)spokeninyourhousehold?______________________________

Whatisyourhouseholdreligiousaffiliation?_________________________________

Doesyourhouseholdhavethefollowing?

Lifelines Yesorno Ifrelevant,identifythem

1. Backup

for

electricity

2. Backupfordrinkingwater

3. Toolstocatchorgrowfood

4. Landvehicles

5. Boat/canoe

6. Radio

7. Telephone

8. Internetaccess

9. Firstaidkits

10.Accessto

shelter

11.Accesstohealthcare x

HowtoanalyzethedataKeepinmindthatwhiledemographicindicatorsmaycontributetounderstandingcommunityprofiles

andvulnerabilities,itisoftenimportanttoconsiderothersocialindicatorsaswell.Olderpeople,often

takenasoneofthemostvulnerabledemographicgroups,forexample,whomayhavelivedthrough

climatehazards,mighthavedevelopedcopingmechanismsthatgivethemmoreresiliencethanother

agegroups.

Some

people

with

low

incomes

have

secure

access

to

resources

for

subsistence,

and

so

may

bemoreadaptivethanpeoplewithhigherincomewhohavenoknowledgeorskillsforproducingor

gatheringtheirownfood.Womenmightbesupportedbydifferentsocialgroupsandnetworks,orbe

equippedwithlivelihooddiversificationstrategiesthatallowthemtobemoreadaptivetoclimate

impactsthantheircounterpartsatdifferentsitesorwholacksuchnetworksorstrategies.


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Synthesizethedatacollectedfromsecondarysourcesandkeyinformants.Aggregatethedatafromthe

householdsurveytodeterminethepercentageineachofthedemographiccategories.Comparethe

resultstoanyexistingdatatounderstandchangesovertime.Ashortnarrativeisagreattooltodescribe

thedemographicmakeupofthesite,howithaschanged,anddemographicgroupsthatarelikelytobe

morevulnerable,aswellasexplanationsofwhythismaybe.

HowtheinformationcanbeusefultomanagersVariablesthatidentifythedemographicdiversityofacommunitycanhelpmanagersunderstandthe

characteristicsofthecommunitytheyareworkingwithandplanrelevantadaptationstrategies.This

informationalsohelpspointoutgroupsthatmaybemorevulnerable,suchaspeoplewithphysicalor

mentalhealthissuesthatmakethemdependentonothers,newlymigratedfamilieswhomaynot

understandthelocallanguageandlacklocalsocialnetworks,andpeoplewitheconomichardshipsand

limitedaccesstoresources,allofwhomaregenerallylessabletoprepare,respondto,oradaptto

climatehazards.

At

the

same

time,

informal

social

networks

might

help

them

to

be

less

vulnerable

to

hazards,aswellasbeingtheironlysourceofdisasterassistance.Understandinglevelsofliteracy,

education,sex,andagecouldhelpindevelopingmoreappropriatetypesofoutreachandmethodsof

informingrespectivegroupsaboutclimateandrisks.Informationonoccupationsandeducationlevel

couldbeusefulfordevelopingprogramsthatenhanceadaptivecapacity,suchasalternativelivelihood

training. Incommunitieswherereligiousaffiliationisstrong,religiousservicesormeetingsmightbea

meansofreachingpeople,andsupportfromreligiousleadersmaybecrucialforlocalparticipationand

successofprojectimplementation.Inothercommunities,highoutmigrationofyoungpeoplecouldbe

anindicatoroffewacceptableoravailablelivelihoodoptions,whichcouldalertdecisionandpolicy

makerstodevelopprogramstoaddressthisissue.


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CC2:Dependenceonvulnerableresourcesandservices

Dependenceonresourcesandservicesisameasureofhowdependenthouseholdsareonlocal

resourcesthatarevulnerabletoclimateimpactsfortheirfoodsecurity,income,physicalprotection,or

othersocioculturalaspects.Theseresourcesmightbenatural,suchasecosystemsandtheirproducts

andservices,

or

man

made

infrastructure,

such

as

jetties,

coastal

roads,

and

other

facilities

and

services

includingschools,publichealthcenters,andutilities(e.g.powerplantsandwaterreservoirs).

Howtocollectthedata(S,M,BM,KI,HH)Thefirstdatatocollectisthatwhichwillhelpidentifythetypesofresourcesandservicesvulnerableto

climatechange.Relevantdatacollectionmethodsmayinclude:

Secondarysources:Theseincludescientificreportsonclimatechange,impacts,andthreatstolocal

resourcessuchascoralreefs,beachesandcoasts,crops,andforests.

Communitymapping:Communitymembersareinvitedtocreatemapsthatshow(1)thetypesand

locationofnaturalresourcesthattheydependupon,(2)communityinfrastructureandservices,(3)

areaswherekeysocialandeconomicactivitiestakeplace,and(4)areasimpactedorthreatenedby

climatehazards(seeRambaldi2010).

Physicalandbiologicalassessmentsandmonitoring:Thisdatacanprovideanunderstandingof

physicalresources,currentbiologicalconditions,andchanges.Itcanalsohelpidentifyclimate

related

problems

and

threats

to

physical

areas,

species,

and

ecosystems.

Seasonalcalendar:Communitymembersorrepresentativesofoccupationalgroupsareinvitedto

reviewannualseasonsandclimateevents(e.g.rainy/dryseason)andassociateduseofnatural

resourcesandsocialactivities(e.g.traditionalceremoniesorlocalcustoms). Thiscanprovidean

understandingofpotentialsocialandnaturalimpactsfromchangesinseasonalevents,andhowto

preparetodealwiththem.

Havingidentifiedtheresourcesandservicesthatarevulnerabletoclimatehazards,askkey

informantstoidentifythemajoractivitiesconductedbyhouseholdsinthearea(i.e.,fisheries,

tourism,aquaculture,

etc.).

Then

ask

them

to

estimate

the

percentage

of

each

good

and

service

producedthatisusedforpersonalconsumptionorincomegeneration.Askkeyinformantsalso

abouttheimportanceofecosystemsthatmayprovidephysicalprotectiontothecommunity(e.g.,

reefsandmangroves).


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Ahouseholdsurveycanbeusedtolistresources,relatedgoodsandservices,andpercentage of

dependencyintermsofbothpersonalconsumptionandincomegeneration.Theimportanceof

culturalvalueandservicesandphysicalprotectionprovidedbytheecosystemcanalsoberecorded.

Itisimportanttokeepinmindthatmanyresourcesareimpactedorthreatenednotonlybyclimate,but

alsoby

man

made

causes

such

as

pollution,

sedimentation,

overfishing,

destructive

fishing

methods,

andcoastaldevelopment.Inareaswheresuchnonclimatefactorsarepresent,thecumulativeimpacts

needtobetakenintoconsiderationaswell.

HowtoanalyzethedataAddupthedatafromallthekeyinformantsorsurveyedhouseholdsandcalculatetheaverage

percentageofeachresourcetoseethelevelofdependencyoneach.

Example:Percentage

of

community

dependent

on

coastal

and

marine

resources

ResourceRelatedgoodsand

services%householduse %sale(incomegeneration)

Coralreefs

Fisheries 60 40

Tourism/Recreation 10 90

Culturalvalueand

servicesn/a n/a

Island

protection

n/a

n/a

Mangroves

Woodforbuilding 100 0

Woodforcharcoal 100 0

Fisheries 80 20

Upland

areasCrops 80 20

HowtheinformationcanbeusefultomanagersThe

extent

to

which

households

are

dependent

on

coastal

and

marine

goods

and

services

is

an

importantindicatorofhowsensitivetheycouldbetorelatedclimateevents.Thisinformationoffers

insightintotheimportanceofdifferentecosystemsandresourcestothecommunityintermsoffood

securityandincome,socialandculturalpractices,andotherservices.Crossreferencedwithinformation

onresourcecondition,thisinformationcanalsobeusedtoidentifythreatsandpossiblenegative

impactstoparticularresourcesonwhichthecommunitydependsheavily.Whencrossreferencedwith

informationonlivelihoodalternatives,itcanhelpmanagersunderstandtherangeofpossibilitiesand


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20

limitationsofadiversifiedeconomicstructureatthesite,andthusdevelopscenariosrelatedtofood

andincomesecuritythatmitigateproblems.Forexample,ifahouseholdssourcesofproteinandcash

incomeareprimarilydependentonfishingandharvestinginreefareas,theimpactsofmasscoral

bleachingorotherformsofreefdegradationarelikelytothreatenitsfoodsecurityandincomesource.

Alertedtothis,managersmaybeginworkingtowardadaptationstrategiesthatsupportalternative

livelihoodsthat

are

not

reef

dependent.


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21

CC3:Currenthouseholdlivelihoodandincomediversity

Livelihoodandincomediversityisthelevelofhouseholdengagementinstrategiesandactivitiesthat

supportsubsistenceandgenerateincome.Householdlivelihooddiversitymaybeshapedbythe

availabilityofresources,socialnormsandinstitutions,localcustomsrelatedtoresourceaccess,

traditionaland

local

tenures,

and

social

relations

(social

norms

related

to

gender

and

age

groups),

as

wellaseconomicopportunities(availabilityofdemand,andaccesstomarket).

Livelihooddiversificationfocusesontheprocessofcreatingdiverselivelihoodstrategies,andrelated

opportunitiesandchallenges.

Howtocollectthedata(HH,KI,seasonalcalendar) Householdsurvey. Beforedevelopingthesurveyquestionnaire,consultwithlocalresidentswho

areknowledgeableabouttherangeoflivelihoodsinthearea,andincludethesechoicesinthe

questionnaire.Therespondentmightbetheheadofhouseholdoranothermemberwhoknows

aboutthetypesoflivelihoodpursuedbyeachhouseholdmember.

Otherdatacollectingmethods,suchasseasonalcalendarandkeyinformantinterviewing,can

provideindepthinformationaboutlivelihooddiversificationstrategyinthecommunity.Inacoastal

orislandcommunity,itisnotuncommonforsomeyoungeradultstobeengagedinseasonal

employmentoutsidethevillagetoearncashincomeinacity,forexample.Aseasonalcalendarcan

provideavisualtimelinethatgathersinformationaboutwhencertainweatherpatternsnormally

occur,andwhatseasonalevents(fruitingseason,tourismseason,spawningaggregations)are

associatedwithspecifictimesofyear. Itcanalsoprovideinformationonsuchlocalpracticesas

seasonalclosuresforcertainspecies(seeexamplesofparticipatorytoolsandmethodsonclimate

riskandseasonalcalendarsinWWFsClimateWitnessCommunityToolkit,WEBGEOApplied/FAO,

andAtkinsonetal.)

Insomesites,livelihooddiversificationmightbeacriticaladaptationstrategytoclimatechangeimpacts,

whichiswhythisdatashouldbecollected.Relatedfactorsmightincludelevelofattachmenttoones

profession,skilllevel,interestandwillingnesstochangeoccupationorresidence,accesstoresources

thatwouldhelpcreatenewlivelihoods,andsocioculturalnormsthatmaysupportorinhibitlivelihood

diversification.


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Example:

Whatarethemainlivelihoodsourcesforyourhouseholdforbothcashincomegenerationandhousehold

use?)Checkallthatapply.

SourcesForhousehold

cashincome

For

household

use

Numberof

household

members

engagedinthe

activity,and

theirrole

Fishingforfinfish 2,grandfather

andeldestson

Harvestingothermarinelife 2,motherand

eldestdaughter

Farming 1,mother

Livestock

Handicrafts 1,mother

Salaryfromemployment 1,father

Moneyreceivedfromrelativesabroad

Privatebusinessownership(e.g.stores)

Pension/socialsecurity 1,grandfather

Tourism

Other(pleasespecify)

____Construction__________

1,eldestson

HowtoanalyzethedataTheindividualhouseholdsurveywillprovideinformationonthathouseholdslivelihooddiversity.Taken

together,thehouseholddatacouldalsobeaggregatedtocalculatetheproportion(percentage)of

householdengagementineachlivelihoodinthecommunity.Combineresponsestocalculatethe

proportionofhouseholdswithvariouslevelsoflivelihooddiversity,i.e.percentageofhouseholdswith

one,two,three,ormoretypesoflivelihood.Alsocrosstabulatethetypesoflivelihoodwiththenumber

ofmale

and

female

household

members

to

understand

the

gender

roles

associated

with

different

livelihoodtypes.Summarizetheinformationfromtheseasonalcalendarandkeyinformantinterviews.


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HowtheinformationcanbeusefultomanagersHouseholdsthatrelyonasingleeconomicsectorfortheirlivelihood(e.g.,tourismorfishery)aremore

vulnerabletoclimateimpactsthanthosethathaveamorediversifiedeconomy,especiallyiftheyare

highlydependent

on

sensitive

resources.

Damaged

or

degraded

resources

could

make

it

difficult

to

recoverfromanimpact.Diverseincomesourcesmayalsoindicatehigherwillingnesstochange

occupationsinthefaceofhazardsorotherimpacts. Forexample,researchhasshownthathouseholds

withhighernumbersofincomesourcesaremorelikelytoleavedecliningfisheriesthanthosewith

fewerincomesources(Cinner,Daw,McClanahan2009).Thisinformationprovidesanunderstandingof

bothhousehold andcommunitylevelvulnerability,andisusefulforlivelihooddevelopment and

intervention.

Theinformationonlivelihooddiversificationstrategiesprovidedbyaseasonalcalendarorkeyinformant

interviewsisusefulforidentifyingchangesinnormalseasonalpatternsthatmaybeassociatedwith

climatechange,

and

to

consider

the

impacts

of

future

climate

scenarios

on

seasonal

events.

It

can

also

provideinsightintohowresourcescanbestbemanaged,andwhattypeofadaptationshouldbe

plannedwithseasonallimitationsandopportunitiestakenintoconsideration.


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CC4:Perceivedalternativeandsupplementarylivelihoods

Alivelihoodismadeupofthecapabilities,activitiesandassets(includingbothmaterialandsocial

resources)thatcontributetoameansofliving(Carney1998).Alternativelivelihoodsareactivitiesthat

householdmemberscouldengageintosupporttheirfamiliesiftheywerenolongerabletopursuetheir

currentlivelihood.

Supplementary

livelihoods

are

activities

that

might

add

to

existing

livelihoods.

Sustainabilityoflivelihoodandincomesourcesisacriticalissuewhenahouseholdfacesgrowing

impactsandchallengestothatlivelihoodactivity.Alivelihoodisconsideredsustainablewhenitcan

copewithandrecoverfromstressesandshocksandmaintainorenhanceitscapabilitiesandassetsboth

nowandinthefuture,whilenotunderminingthenaturalresourcebase(CarneyinIMM2008).Theless

sustainableahouseholdscurrentlivelihoods,themoreimportantitistodevelopalternativeand

supplementarylivelihoodswherethisiswithinthehouseholdsmeans,knowledge,andcapabilities.

Understandinghouseholdsperceivedlivelihoodoptionscangreatlyinformadaptationstrategies.

Howtocollectthedata(HH,KI)

Conductahouseholdsurveyinwhichrespondentsareaskedtoidentifypossiblealternativeand

supplementarylivelihoodsfortheirhousehold,and(optionally)whyeachalternativelivelihoodwas

selected.Recordanystoriesoranecdotesthatillustratewhyfamilymembersareorarenotengagedin

certainlivelihoodactivities.Findoutfromkeyinformantswhetherthelivelihoodoptionsareseasonal,

temporary,orpotentiallylongterm. Alsoaskkeyinformantswhethertheremightbepotential

livelihoodoptionsatthecommunitylevelofwhichhouseholdsarenotyetaware(suchasasustainable

aquacultureprojectunderdevelopment,oragovernmentprojectonaquaormariculture).

Howtoanalyzethedata

Makealistofthesupplementaryandalternativelivelihoodsidentified,andorderthemfromthemostto

leastoftenmentioned.Summarizetherequirements,opportunities,andconstraintsofeachlivelihood

optionanditspotentialsustainability.

Howtheinformationcanbeusefultomanagers

Theavailabilityofalternativeandsupplementarylivelihoods,andthedegreetowhichtheyare

dependentonresourcespotentiallyimpactedbyclimate,couldinfluencetheadaptivecapacityofa

householdanditslevelofvulnerability.Researchhasshownthattheavailabilityofalternative

livelihoodsseemstolowerperceivedvulnerabilityandincreaseperceivedresilience;householdswith

alternativelivelihoodsdonotratetheirvulnerabilitytoextremeeventsashighasthosewithout

(Wongbusarakum2010). Anunderstandingofavailablealternativeandsupplementarylivelihoodscan


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alsoassistmanagersindesigningnewmanagementandadaptationstrategiessothatnewlivelihoods

canbedevelopedandexistingonesenhanced.Thegatheredinformationcanalsopointtothetypesof

trainingandcapacityneeded,whichmightbeusefulfordesigningalivelihoodprogramthatcanhelp

reducepressureonimpactedcoastalresourcesbyusingmoreresilientoruntappedresources. A

communitysmorevulnerabledemographicgroupsmightbebettersupportedtoachievealternativeor

supplementallivelihoods.


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CC5:Awarenessofhouseholdvulnerabilitytoclimatehazards

Awarenessofhouseholdvulnerabilityofclimatehazardsmeasuresahouseholdsknowledgeof

susceptibilitytoclimatehazardsanditsabilitytocopewith,recoverfrom,oradapttothosehazards.

Climatehazardsareclimaterelatedeventsthathavethepotentialtocauseharm.Householdsmaybeat

riskfor

different

types.

Some

may

be

transientcharacterized

by

rapid

onset

and

identifiable

termination(suchasastorm,flood,ordrought).Othersmayresultfromalongertermchangein

climaticvariables(suchastemperatureorprecipitation),begradual,orresultinrelatedeventssuchas

sealevelrise,masscoralbleaching,oroceanacidification.Householdvulnerabilitytoclimatehazardsis

afunctionofthreemainfactors:exposure,sensitivity,andadaptivecapacity.Itisimportanttokeepin

mindthatdifferenthouseholdsinthesamecommunitymayexperienceeachofthefactorsatadifferent

level,andthushavedifferentlevelsofawarenessabouttheirvulnerabilitytothesametypesofhazard.

Howtocollectthedata(HH)Asurveycanbeusedlistingpossibleclimatehazards,whererespondentsareaskedtocheckthetypesof

hazardthatarerelevanttotheirhousehold,andthenratetheirperceivedlevelof vulnerabilitytoeach

(low,medium,orhigh).Areasofvulnerabilityinclude(1)levelofhouseholdexposure(frequencyand

severity)toaparticularhazard;(2)levelofhouseholdsensitivitytothehazard;and(3)degreetowhich

thehouseholdisabletocopewiththehazard.

Tocompareawarenessofhouseholdvulnerabilityandrecordedclimatehazardimpacts,informationcan

begatheredfirstaboutlocalclimatehazards(types,character,frequency,anddegreeofcommunity

impact)fromexistingsecondarysourcessuchasmeteorologicalservices, newspaperarticles,scientific

research,climatereports,hazardmitigationplans,andemergencydeclarations. Interviewscanalsobe

conductedwithpeoplewhohaveknowledgeofclimateeventsandtheimpactsoverthepastseveral

decades,suchaslocalresidents,technicalexperts,climatescientists,andotherswhohavebeen

involvedinworkingwiththecommunitytoprepareforandrecoverfromclimatedisasters(village

leaders,communityelders,governmentofficials,disastermitigationofficers,longtermprojectstaff,

etc.).

HowtoanalyzethedataTheratingofeachcomponent(AD)foreachhazardcanbeanalyzedandcomparedwithotherhazards.Inthe

followingexample,thishouseholdratessealevelriseandcoastalerosionasveryfrequentandsevere,andits

ownadaptivecapacitytobotheventsaslow(i.e.,highrateofdifficultycoping).Intermsofhazardtype,the

householdratesitselfasbeingmorenegativelyaffectedbycoastalerosionthanbysealevelrise,andthis

rankingisreflectedinthehouseholdsoverallscore,whichplacescoastalerosionabovesealevelrise.


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27

Climatehazards

andimpacts

Whichofthe

followingclimate

eventshasyour

household

experiencedin

thepast50

years?(Checkall

thatapply)

A:Howwould

youratethe

frequency

ofthis

occurrence?

3=high,

2=medium,

1=low

B:Howwould

youratethe

severity

ofthis

hazard?

3=high,

2=medium,

1=low

C:Howwould

youratethe

degreeof

negative

impacton

your

household by

thishazard?

3=high,

2=medium,

1=low

D:Howwould

youratethe

difficultyof

copingwith

thishazard,

foryour

household?

3=high,

2=medium,

1=low

Total

vulnerabil

rating

(sumof

columnsA

throughD

Tropicalstorm

Stormsurge

Sealevelrise 3 3 1 3 10

Coastal/beacherosion 3 3 3 3 12

Saltwaterintrusion

intogardens/fields

2 1 3 3 9

Saltwaterintrusion

intowells

2 2 1 1 6

Changesinrainyand

dryseasons,leadingto

changesinplanting

seasons,etc.

Drought

Flood

Climaterelated

landormudslide

Brushfirecausedby

heatanddryness

Increasedwatersurface

temperature

1 2 1 2 6

Coralbleaching 1 3 1 2 7

Hotterclimate

Coolerclimate

Other(specify)

_________________


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HowtheinformationcanbeusefultomanagersItisimportantformanagerstounderstandhouseholdawarenessandperceptionofvulnerabilityto

differenttypesofclimatehazardssothatthisinformationcaninformthechoiceofadaptation

strategies.Forexample,ifthereislittleawarenessofclimatethreats,programsneedtobedevelopedto

informpeople

and

help

them

prepare

to

cope.

Priority

in

adaptation

planning

should

be

given

to

those

hazardsthathavesevereimpactsatthehouseholdlevel,withaspecialfocusonhouseholdsthathave

identifiedthemselvesasbeingunabletocopewiththem.


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CC6:Accesstoanduseofclimate-relatedknowledge

Accesstoanduseofclimaterelatedknowledgemeasureshouseholdaccesstodifferentsourcesof

informationrelatedtoclimatechange,climatevariability,anditsimpacts,andhowthisinformationis

used.Italsoincludesaccesstoanytypeofearlywarningsystemandcanincludepastexperience,

traditionalor

local

knowledge

of

climate

patterns

and

events,

as

well

as

other

sources

of

education,

media,andcommunications.

Howtocollectthedata(KI,HH)Askkeyinformantstolistallpossiblesourcesofclimateinformationthatareavailablelocallyorthatcan

beaccessedfromadistance.Thislististhenusedtocreateahouseholdsurveyquestionnaire.

Respondentsidentifywhichofthesourcesisusedbytheirhouseholdtoaccessclimateinformation,

thenaskedtoexplainhowtheinformationisused.

Example:

Sourcesofclimaterelated

knowledge

Checkifyougetclimateinformationfromthissource,

andn/aifthesourceisnot

availableforyourhousehold

Checkifyouusethisinformation,

describingbrieflyhowthe

informationisused

Meteorologicalservices n/a

Newspapers

Radio

Not

to

go

to

sea

when

there

is

a

comingstorm

TV

Internet n/a

School/teachers Notused

Visitingclimate

scientists/experts

Villageleaders Todigouttherivermouthto

preventflooding

Fromfamilyandfriends Notused

Governmentinformation

Other(pleasespecify)

___________________


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Ifyouhaveaccesstoclimateinformationsources,butdonotusetheinformation,pleasetellus

why.

Pleasetellusifthereareanytypesofinformationthatyouneedbutcannotaccess,andwhatthe

barriersaretoaccessingtheinformation.

HowtoanalyzethedataTogetanideaofhowmanypeopleaccessaresourceforclimaterelatedknowledge,calculatethe

percentageofpeoplewhoaccesstheresourcefromthetotal.Toseetheproportionofsourcesused,

addupforeachthetotalnumberofpeoplewholistthesource.Theextenttowhichpeoplewhoaccess

asourceusethatinformationcanbecalculatedasapercentage,bydividingthetotalnumberwhouse

informationfromasourcebythenumberwhoaccessit.

HowtheinformationcanbeusefultomanagersBesidesprovidinghouseholdlevelinformation,theaggregateddataprovideanoverviewofa

communitysaccesstoclimateinformation.Thistellsmanagershowbesttoreachthecommunityor

particularhouseholds.Italsohelpsidentifygapsandproblems. Greateraccessto,anduseof,climate

relatedinformationshouldincreaseadaptivecapacitybybetterpreparingcommunitymemberstocope

withclimatechange.


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CC7:Formalandinformalnetworkssupportingclimatehazardreductionand

adaptation

Formalandinformalnetworksareinstitutionalandsocialnetworksthatsupportpreparednessfor

climatehazardsandadaptation.Formalinstitutionalnetworksmayincludethosethatareformalized

withclearstructureandsupportedbygovernmentalauthoritiesorinstitutions,suchashazard

mitigationnetworks,healthservicenetworksorprotectedareanetworks.Informalnetworksareoften

formedthroughsocialconnectionsinagroupthatsharescommonvalues,interests,engagement,or

purpose.Theycouldbelargefamilies,clans,churchgroups,womensgroups,oroccupationalgroups.In

somecommunities,suchnetworksmayhavebeeninplaceforalongtime,butonlyrecentlybegunto

addressclimatehazards.Inothercommunities,suchnetworksmayhavealreadydealtwithclimate

relatedhazardsthatregularlyimpactthecommunity.InthePacific,suchasonNamdrikAtollinthe

MarshallIslands,traditionalleadershipinstitutionsarebeingreinforcedastheyareusedtoreconnectto

ancestralpracticesthathelpthecommunitydealwithclimatehazards(Ishoda2011).

Howtocollectthedata(KI)Identifykeyinformantsandaskthemtodescribeformalandinformalnetworks,theirsupportingrolein

climateadaptationandhazardmitigation,theirhistoryandlengthoftimeofsupportingpreparationfor

climatehazards, andtheireffectiveness.Keyinformantsmayincludemembersorleadersofthe

networksthemselves,communityleaders,andrepresentativesfromgroupswithfirsthandexperience

withclimateimpactsandadaptation.Informationonprocesses,opportunities,problems,andchallenges

inrelationtotheroleofnetworksshouldberecorded.Inthecaseofformalnetworkswhosepurposeis

hazard

mitigation

or

climate

adaptation,

it

is

important

to

learn

from

both

those

who

implement

activitiesandthosewhoareaffectedtheperceptionofthequalityandeffectivenessoftheprogram.

HowtoanalyzethedataNotesfromthekeyinformantinterviewscanbesynthesizedandsummarizedintabularformat,asinthe

examplebelow.

Networkssupporting

climatechange

preparedness

(sincewhen)

Numberof

members

%ofcommunity

membersin

this

group

Scopeofclimate

changeissues

addressed

Gaps/needsofgroup


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HowtheinformationcanbeusefultomanagersInmanysocieties,formalandinformalnetworkscontributegreatlytopreparedness,response,and

recovery.Knowingtheavailabilityandqualityofthesenetworkscouldhelpgaugeacommunitys

adaptivecapacity,asthesenetworkswillprovidesecurityduringtimesofchange(shelterduring

disasters,financial

support,

and

basic

social

support

during

difficult

times).

If

no

networks

are

available,

orexistingnetworkshavechallengesorproblems,theseareareasthatcouldbeaddressedtoimprovea

communitysadaptivecapacity.

Considerthetotalityofclimatechangeissuesfacingthecommunity. Isthereanetworkorcommunity

groupadequatelyaddressingeachissue? Forexample,ifthecommunityisfacingsealevelriseandcoral

bleaching,butthereisonlyanetworktowatchforcoralbleaching,theremaybeaneedforagroupthat

canmonitorsealevelrise.


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CC8:Abilityofcommunitytoreorganize

Abilityofacommunitytoreorganizereferstothedegreetowhichitisablecollectivelytolearn,plan,

andmakenecessarychangestocopewithclimaterelatedimpactsinsuchawaythatthemainfunctions

ofthe

community

are

sustained.

This

may

require

restructuring

organizations,

changing

plans,

shifting

priorities,adjustingroles,carryingoutactivitiesinadifferentway,orapplyinglessonsfromthepastto

betterfaceaclimatehazard.Degreeofcommunityreorganizationisacriticalindicatorofresilienceto

changingclimate.Levelofcommunityreorganizationisafunctionoffactorsincludingcooperationand

collaborationamongcommunitymembers,planningforclimatechange,levelofcollectivisminthe

culture,communityleadership,sharedgoalsandresponsibilities,andaccesstoandsupportfromother

sourcesinreorganization.

Howtocollectthedata(KI,HH)Keyinformantsshouldbethosecommunitymembersandleaderswhoareinvolvedincollective

activities,andtheyshouldbeinterviewedonissuesrelatedtotheinterestandabilityofcommunity

memberstoworktogethertoaddressexternalstresses.Thesecouldberelatedtoclimateornatural

hazards.Thekeyinformantsareaskedtosharetheirperspectiveonhowwellthecommunityisableto

reorganizeinworkingcollectivelytoconfronttheconsequencesofclimatehazards,howitcoordinates

andcollaborates,andthenatureofsharedgoalsandresponsibilitiesamongtheleadersandmembers.

Surveyquestionscanbeincludedifahouseholdsurveyisconductedtotestwhethercommunity

memberssharethesameperspectiveaskeyinformants.

Example:

Onascaleofagreementfrom1to5(1=stronglydisagree,2=disagree,3=neutral,4=agree,and5=

stronglyagree),pleaseratethefollowing:

Ourcommunityhasplansinplacetodealwithclimaterelatedevents(suchasacoralbleaching

responseplan)_______

Ourcommunityisabletocoordinateactivitiestorespondquicklytotheimpactsofanatural

event/hazard

_______

Ourcommunityisabletoreorganizetorespondtoanewsituation_______

Ourcommunityhasinstitutionsthatsupportuswhenweneedtoreorganizetocopewithnew

situationsorproblems_______

Ourcommunitymembersworkwellwitheachother_______

Ourcommunityisabletoaccessoutsidesupportwhenneeded_______


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Howtoanalyzethedata

Ifdataiscollectedinasurvey,tabulatethepercentagesofrespondentsineachcategory. Ifdatais

collectedonlyfromkeyinformants,thetablebelowmightbeausefulwaytoorganizeresponses.

(Strongly)Agree Medium (Strongly)DisagreeOurcommunityhasplansinplaceto

dealwithclimaterelatedevents(such

asacoralbleachingresponseplan)Lowcapacityof

planningagencies

Ourcommunityisabletocoordinate

activitiestorespondquicklytothe

impactsofanaturalevent/hazardGoodatresponding

tostorms;not

equippedfor

tsunamis

Ourcommunityisabletoreorganizeto

respondtoanewsituationStronglocal

leadership

Ourcommunityhasinstitutionsthat

supportuswhenweneedtoreorganize

tocopewithnewsituationsor

problems.

MostKIsplacedthe

communityhere,

butcouldnotsay

why

Ourcommunitymembersworkwell

witheachother

Someconflictshave

occurred

inthepast

Ourcommunityisabletoaccess

outsidesupportwhenneeded

Strongrelationship

withlargegrant

organization

HowtheinformationcanbeusefultomanagersTheresultscanhelpmanagersprioritizewhichareaswithinthecommunityneedtobestrengthened.

Forexample,ifthereisnoplanorsupportingorganization,theycanbedeveloped.Ifpeopledontwork

welltogether,managerscanexploretherootcausesandworktoreduceconflictsbysponsoring

collectiveactivities.Ifaccesstooutsidesupportiscriticaltoreorganizationbutlackinginthe

community,managersmayprioritizegrantwritingorsolicitationoftechnicalsupportfromoutside

organizations.

Ifthehouseholdsurveyrevealsdifferentperspectivesthanthoseofcommunityleaderinformants,it

couldindicateadisconnectbetweenthecommunityanditsleaders,anissuethatperhapsshouldbe

explored,suchasbysharingtheresultsofthehouseholdsurveywithcommunityleaders/key

informants.


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CC9:Governanceandleadership

Governanceisaverybroadindicatorthatmeasuresavarietyofcharacteristicsthattogetherindicate

howprocessanddecisionsaremadetoservethebestinterestsofthecommunityandstakeholders.We

focushereonleadershipandstakeholderparticipationinmanagementanddecisionmaking. Leadership

measuresthe

presence

of

community

leaders

or

government

officials

who

can

mobilize

climate

change

responsesandresourcestosupportadaptation,andtheireffectivenessorcredibility. Thisindicatoris

importantbecausecommunitieswithstrong,trustworthy,effectiveleaderswillbemoreabletoadapt.

Stakeholderparticipationinmanagementanddecisionmakingiscriticaltobuyinofanynewprogram

relatedtoclimatechange.

Howtocollectthedata(KI,HH)Thisindicatorisbestmeasuredthroughbothkeyinformantinterviewsandhouseholdsurveys. Askkey

informantswhichcommunityleadersareengagedinclimatechange,includingwhichsectorsthey

represent

(private

sector,

environment,

technology,

grassroots

organizing,

etc).

Consider

asking

about

theseleadersapproachesandachievementsinhandlingclimaterelatedissues,dependingonthe

sensitivityofthisquestioninthelocalcontext. Then,inahouseholdsurvey,askaseriesofattitude

questionstoassesswhetherhouseholdrespondentsperceivetheexistenceofcommunityleaderswho

caneffectivelyguideanddirectmemberstoprepare,respondto,andadapttoclimatehazards;who

theyare;andhoweffective/trustworthy.Alsoaskaboutthelevelofstakeholderparticipationin

management,andtheirsatisfactionwiththedecisionmakingprocess.

Example

Foreachstatement,rateyourlevelofagreement.

1=stronglydisagree,2=disagree,3=neitheragreenordisagree,4=agree,5=stronglyagree

_____Ourcommunityleadershavesuccessfullyledusthroughclimatehazardsinthepast.

_____Ourcommunityleadersareinterestedinclimatechangeissuesandtheimpactsonour

community.

_____Ourcommunityhasleaderswhohaveknowledgeandskillstoeffectivelytakechargeofclimate

changeadaptation.

_____Itrustourleaderstoleadthecommunitythroughclimatechangeadaptation.

_____Ourcommunityleaders/governmentofficialsinformusofnationalorregionalclimatechange

policyorinitiativesthatmayimpactourcommunity.

_____Ourcommunityleadersinformuswherewecangetclimaterelatedinformation.

_____Our

leaders

suggest

to

us

what

we

can

do

to

adapt

to

changing

climate.

_____Ourleaderscanprovideuswiththeresourcesweneedforclimateadaptationactivities.

_____Ourleadersencouragecommunitymemberstotakepartinclimateadaptationplanning.

_____Myvoiceisheardincommunityplanningforclimatechangeadaptation.

_____Ihavehadtheopportunitytoparticipateincommunityleveldecisionmaking


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HowtoanalyzethedataTabulatetheresponsessothatyouknowwhatproportionofhouseholdsstronglyagreeoragree,

versusstronglydisagreeordisagreetoeachstatement. Ingeneral,thehigherthelevelof

agreementwiththestatements,thehigherthecommunitysadaptivecapacity. Intheexamplebelow,a

relativelyhigh

proportion

of

respondents

agreed

that

their

community

leaders

have

led

them

through

climatehazardssuccessfullyinthepast,buthighpercentagesindicatedthattheleadersdonotinform

themsufficiently,indicatingthattheremightbequestionsaboutthegivenleadersabilityto

communicateanddistributeinformation.

Selectedstatements

Strongly

agreeAgree

Neither

agreenor

disagreeDisagree

Strongly

disagree

Ourcommunityleadershavesuccessfullyled

usthroughclimatehazardsinthepast.

40% 30% 12% 7% 11%

Ourcommunityleaders/governmentofficials

informusofnationalorregionalclimate

changepolicyorinitiativesthatmayimpact

ourcommunity.

19% 16% 4% 23% 38%

Ourcommunityleadersinformuswherewe

cangetclimaterelatedinformation.

10% 10% 10% 34% 36%

Itrustourcommunityleaderstoleadour

communitythroughclimatechangeadaptation

15% 45% 2% 22% 16%

Myvoiceisheardincommunityplanningfor

climatechangeadaptation.

5% 10% 7% 33% 45%

HowtheinformationcanbeusefultomanagersThewaydecisionsaremadehassignificantbearingontheoutcomeofthosedecisions. The

effectivenessofleadershipwillimpacthowchangeisundertakenwithinacommunity. Trustof

governmentwillimpacthowreceptivecommunitiesaretonewadaptationstrategiesandlivelihood

initiatives.Meaningful

participation

of

community

members

in

the

management

process

will

improve

thechancesofsuccessinanynewclimaterelatedinitiatives,asitensuresthatallhaveavoicein

decisionsthatcouldaffecttheirlives.


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CC10:Equitableaccesstoresources

Equityreferstowhowinsandwholosesasvariousclimatechangeadaptationpoliciesareconsidered

(Adger2005).Equitableaccesstoresourcesmeasureswhethercommunitymembersperceive

themselvesashavingthesamerightsandabilitytousenaturalresourcesasothercommunitymembers.

Equitableaccess

by

all

demographic

groups

to

services,

knowledge,

social

networks,

livelihood

opportunities,decisionmakingprocesses,etc.mayplayaveryimportantroleinacommunitysadaptive

capacity. Equitableaccesstoresourcescanalsoencompassaccesstoservicesandbenefitsavailableat

thecommunitylevel.

Howtocollectthedata(HH)Thisindicatorisbestmeasuredinhouseholdinterviewswithaseriesofperceptionbasedquestionsthat

addressaccesstonaturalresourcesandtobenefitsprovidedbygovernmentorcommunityassistance

programs(such

as

cash

benefits,

training

in

alternative

livelihoods,

information

about

climate

change,

disasterrelief).

1. Comparedwithotherhouseholdsinmycommunity,myhouseholdhasa. moreaccesstomarineresources

b. lessaccesstomarineresources

c. thesameaccesstomarineresources

2. Comparedwithotherhouseholdsinmycommunity,myhouseholdreceives

a. morebenefitsfromgovernmentsassistanceprograms

b. less

benefits

from

governments

assistance

programs

c. thesamebenefitsfromgovernmentsassistanceprograms

HowtoanalyzethedataComputethepercentagesforeachresponse.

Statement %of

respondents

1. Comparedwithotherhouseholdsinmycommunity,myhouseholdhas

a. moreaccess

to

marine

resources

33%

b. lessaccesstomarineresources 47%

c. thesameaccesstomarineresources 20%

2. Comparedwithotherhouseholdsinmycommunity,myhouseholdreceives

a. morebenefitsfromgovernmentsassistanceprograms 25%

b. lessbenefitsfromgovernmentsassistanceprograms 50%

c. thesamebenefitsfromgovernmentsassistanceprograms 25%


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38

HowtheinformationcanbeusefultomanagersCommunitiesthathaveahigherproportionofmemberswhofeeltheyhavelessaccesstomarine

resources,service

benefits,

and

opportunities

than

others

have

lower

perceived

equity.

This

information

canbeusedtocomparecommunitieswithdifferentmanagementregimesortomeasurechangeover

timeifcollectedinatimeseries. Itcanalsohelpidentifyparticularlyvulnerablehouseholds,whichmay

needmoreattentionintheeventofaseriousclimateevent.Dataonaccesstoresourcesamong

differentsocioeconomicgroupscanalsobecomparedwithperceptionsofresourcecondition(an

indicatorinexistingSocMonandSEMPasifika)orlevelofclimateknowledge;thismayhighlightkey

areastotargetforadaptationstrategies.Forexample,iftheleadingclanclaimsresourcesaregood,but

otherswhodonothaveaccesstothebestreefsclaimthatresourcesarepoor,wehaveidentifiedakey

issue.Thiskindoffeedbackmayalsohighlightwherecertaingroupshavebetteraccesstoresources,

andinformationaboutthoseresources,thanothers.Notonlycanthishelpdetermineadaptation

actionsrelated

to

equity,

it

can

also

help

identify

those

with

the

deepest

understanding

of

the

resource,

tohelpinformanddevelopadaptivestrategies.


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5. FromvulnerabilityassessmenttoadaptationplanningSocialvulnerabilityassessmentisaprocessthatengagesthosewhoareimpactedbychangingclimateto

provideinputontheirstrengths,weaknesses,opportunities,andlimitationsinaddressingclimate

eventsandimpacts.Theindicatorsaboveprovideafirststeptowardassessingaspectsthatmay

contributetocommunityvulnerabilityandadaptivecapacity.Theyaremeanttobedirectionaland

relative,allowingforcomparisonsamongdifferentsocioeconomicgroupswithinacommunityoramong

communities,aswellaschangesovertime.Theseindicatorswillneedtoberefined.Somelocally

developedindicatorsmaybemoreappropriate,andcanbeelaboratedbasedonourmodels.Theeffort

todevelopsuchsocialandeconomicindicatorsshouldbearewarding,collaborativeexperienceand

provideacriticalcomponenttotheoverallvulnerabilityassessmentprocess. Thecommunity

engagementthatinformstheseindicatorswillvaryindepthandpurposeaccordingtolocalityand

context.Sharingtheresultsofanyassessmentwiththeparticipatingcommunityisveryimportant.

Theseindicatorscanpotentiallyhelpcommunicatewhycertainadaptationstrategiesarerecommended.

Feedbackcanalsohelpempowerpeopletotakeactionandmobilizetheirownresourcesandskillsfor

thebenefitofthecommunity.

Thereisnosinglethresholdthatdetermineswhetheracommunityisconsideredvulnerabletoclimate

change. Thatiswhysocialindicatorscanhelpidentifywheretoinvestlimitedresources. Forexample,

ifassessmentshowsthatmanywithinacommunityareunawareofpotentialclimatechangeimpacts,

butdohavediversesourcesofincome,perhapsaclimatechangeawarenesscampaigniscalledfor.On

theotherhand,ifsomedemographicallyvulnerablegroupsareawareofclimatechangeimpactsbut

havefewerincomesourcesandperceivetheircommunitytobelessequitable,climateadaptation

strategiesmayinvolveimprovingaccesstoresourcesandsupplementallivelihoodoptions. Overtime,

socioeconomicmonitoringcanhelpmeasurewhetheradaptationstrategieshavemadeapositive

impacton

reducing

vulnerability:

whether

awareness

of

climate

change

impacts

has

been

raised,

or

whethervulnerabledemographicgroupshavebetteraccesstoresourcesandmorediverselivelihood

strategiesinplace.

Forcoastalmanagers,resultsofthesocialvulnerabilityassessmentwillprovideabetterunderstanding

oftheconditionsandcharacteristicsofresourcedependentcommunitiesattheirsite,andpointto

opportunitiesforclimateadaptationaswellasproblemareasthatneedtobeaddressed.Buttofully

developlocallyappropriateadaptationstrategies,andcontinueadaptivemanagementthattakes

changingclimateanditsimpactsonthecommunityandthelocalnaturalresourcesintoconsideration,

anintegratedassessmentismostlikelyrequired.Socialinformationshouldcomplementclimate

predictiondata

and

information

on

the

physical

and

biological

impacts

of

changing

climate.

Such

an

integratedapproachallowsforamorecompletepictureofthedifferentfacetsofsitevulnerability,well

informedmanagementdecisions,andholisticadaptationplanningforclimatechange.


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6.Referencesandsuggestedreadings**indicatesreferencesforcommunity-basedparticipatorytoolstocollectdata

AdgerW.N.,ArnellN.W.,TomkinsE.L. 2005.SuccessfulAdaptationtoClimateChangeacrossScales.

GlobalEnvironmental

Change

15:

77

86.

http://research.fit.edu/sealevelriselibrary/documents/doc_mgr/422/UK_Successful_Adaptation_to_CC_

_Adger_et_al_2005.pdf.

*AtkinsonS.R.,GombosM.,WongbusarakumS.2011.AManagementandAdaptationPlanningGuide

forNaturalResourceManagers.DevelopedbythePacificIslandsManagedandProtectedArea

Community(PIMPAC).www.pimpac.org.

*CareInternational.2010.CommunityBasedAdaptationToolkit.

http://www.careclimatechange.org/files/toolkit/CARE_CBA_Toolkit.pdf.

CarneyD.(Ed.).1998.SustainableRuralLivelihoods:WhatContributionCanWeMake?UK:Department

forInternationalDevelopment(DFID).

CinnerJ.M.,DawT.M.,McClanahanT.2009.SocioeconomicFactorsthatAffectArtisanalFishers

ReadinesstoExitaDecliningFishery.ConservationBiology23:12430.

http://www.uea.ac.uk/polopoly_fs/1.82175!cinner%20et%20al%20resubmitted%20080409%20

%20socioecon%20and%20fishery%20exit.pdf.

DowningT.E.,PatwardhanA.2005.AssessingVulnerabilityforClimateAdaptation.AdaptationPolicy

Frameworksfor

Climate

Change:

Developing

Strategies,

Policies

and

Measures.

B.

Lim,

E.

Spanger

Siegfried,I.Burton,E.MaloneandS.Huq.(Eds.).CambridgeUniversityPress,CambridgeandNewYork.

6790.http://content.undp.org/go/cmsservice/stream/asset/?asset_id=2200850.

IntergovernmentalPanelonClimateChange(IPCC).2007.SummaryforPolicymakers.In:Climate

Change2007:Impacts,AdaptationandVulnerability.ContributionofWorkingGroupIItotheFourth

AssessmentReportoftheIntergovernmentalPanelonClimateChange.M.L.Parry,O.F.Canziani,J.P.

Palutikof,P.J.vanderLindenandC.E.Hanson(Eds.).CambridgeUniversityPress,Cambridge,UK.722.

http://www.ipcc.ch/publications_and_data/ar4/wg2/en/contents.html.

IntegratedMarineManagement.2008.SustainableLivelihoodEnhancementandDiversificationSLED:AManualforPractitioners.IUCN,InternationalUnionfortheConservationofNature.

http://icran.org/pdf/SLED%20Manual%20Final%20%20Low%20Res.pdf.

Ishoda,A.2011.NamdrikAtollRapidCoastalHazardAssessment.Unpublishedreport.


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LimB.,SpangerSiegfriedE.,BurtonI.,MaloneE.,HuqS.(Eds).2005.AdaptationPolicyFrameworksfor

ClimateChange:DevelopingStrategies,PoliciesandMeasures.CambridgeUniversityPress:Cambridge.

http://www.undp.org/climatechange/adapt/apf.html.

MarshallN.A.,MarshallP.A.,TamelanderJ.,OburaD.,MalleretKingD.,CinnerJ.E.2009.AFramework

forSocial

Adaptation

to

Climate

Change:

Sustaining

Tropical

Coastal

Communities

and

Industries.

Gland,

Switzerland:InternationalUnionfortheConservationofNature. http://data.iucn.org/dbtw

wpd/edocs/2010022.pdf.

*RambaldiG.2010.ParticipatoryThreedimensionalModelling: GuidingPrinciplesandApplications.

CTA,Wageningen,theNetherlands.http://www.iapad.org/publications/ppgis/p3dm_english_web.pdf

TurnerB.L.,II,KaspersonR.E.,MatsonP.A.,McCarthyJ.J.,CorellR.W.,ChristensenL.,EckleyN.,

KaspersonJ.X.,LuersA.,MartelloM.L.,PolskyC.,PulsipherA.,andSchillerA.2003.AFrameworkfor

VulnerabilityAnalysisinSustainabilityScience.ProceedingsoftheNationalAcademyofSciences.

http://yaquivalley.stanford.edu/pdf/turner_matson_2003.pdf.

TwigJ.2007.SustainableLivelihoods:ToolsforMainstreamingDisasterRiskReduction(GuidanceNote

10).Geneva,Switzerland:ProVentionConsortiumSecretariat.

http://www.proventionconsortium.org/themes/default/pdfs/tools_for_mainstreaming_GN10.pdf.

U.S.AgencyforInternationalDevelopment(USAID).2009.AdaptingtoCoastalClimateChange:A

GuidebookforDevelopmentPlanners.SustainableCoastalEcosystemsProgram,CoastalResources

Center,UniversityofRhodeIsland,USA.http://pdf.usaid.gov/pdf_docs/PNADO614.pdf

*WEBGEOApplied/FAO.

Session

5:

Participatory

Tools

and

Methods.

http://www.webgeo.de/fw_22/

WongbusarakumS.2010.ClimateRelatedSocioeconomicAssessmentinAmericanSamoa.Unpublished

report.Honolulu:EastWestCenter.

*WWF.2009.ClimateWitnessCommunityToolkit.

http://wwf.panda.org/about_our_earth/aboutcc/problems/people_at_risk/personal_stories/share/publ

ications/?162722/ClimateWitnessCommunityToolkit

climate_change_guidlelines_final_april_2011.pdf

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