community-scale adaptation assessment: fieldwork methods for project impact assessment aiacc_af14...
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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
dap t
e d fr
o m B
ond
and
Muk
h erje
e (2
002)
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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