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60participatorylearningandaction

Community-based adaptation to climate change

Participatory Learning and Action (PLA) – formerlyPLA Notes and RRA Notes – is published twice a year.Established in 1987, it enables practitioners ofparticipatory methodologies from around the world toshare their field experiences, conceptual reflections,and methodological innovations. The series is informaland seeks to publish frank accounts, address issues ofpractical and immediate value, encourage innovation,and act as a ‘voice from the field’.

We are grateful to the Swedish InternationalDevelopment Cooperation Agency (Sida) and the UKDepartment for International Development (DfID) fortheir continued financial support of PLA. The viewsexpressed in this publication do not necessarily reflectthe views of the funding organisations or the employersof the authors.

This special issue of PLA was produced incollaboration with IIED’s Climate Change Group. We would also like to acknowledge the support of theBangladesh Centre for Advanced Studies (BCAS) andPractical Action for enabling the guest editors toprovide their valuable input and expertise.

Participatory Learning and Action 60© IIED, December 2009Order no: 14573IIEDCover illustration: Regina Faul-DoyleDesign and layout: Smith+BellPrinted by: Russell Press, Nottingham, UK

Guest editors: Hannah Reid, Terry Cannon, RachelBerger, Mozaharul Alam, and Angela Milligan.

Editors: Holly Ashley, Nicole Kenton, and Angela Milligan.

Strategic Editorial Board: Nazneen Kanji, Cath Long,Jethro Pettit, Michel Pimbert, and David Satterthwaite.

International Editorial Advisory Board: Oga Steve Abah, Jo Abbot, Jordi Surkin Beneria,Ivan Bond, L. David Brown, Andy Catley, RobertChambers, Louise Chawla, Andrea Cornwall, BholaDahal, Qasim Deiri, John Devavaram, CharlotteFlower, FORCE Nepal, Ian Goldman, Bara Guèye, Irene Guijt, Marcia Hills, Enamul Huda, VickyJohnson, Caren Levy, Sarah Levy, Zhang Linyang,PJ Lolichen, Ilya M. Moeliono, Humera Malik,Marjorie Jane Mbilinyi, Ali Mokhtar, Seyed BabakMoosavi, Neela Mukherjee, Trilok Neupane, EsseNilsson, Zakariya Odeh, Peter Park, Bardolf Paul,Bimal Kumar Phnuyal, Giacomo Rambaldi, PeterReason, Joel Rocamora, Jayatissa Samaranayake,Madhu Sarin, Daniel Selener, Anil C Shah, MeeraKaul Shah, Jasber Singh, Marja Liisa Swantz,Cecilia Tacoli, Peter Taylor, Tom Wakeford, EliudWakwabubi, and Alice Welbourn.

The International Institute forEnvironment and Development (IIED)is committed to promoting social justice

and the empowerment of the poor and marginalised. Italso supports democracy and full participation indecision-making and governance. We strive to reflectthese values in Participatory Learning and Action. Forfurther information contact IIED, 3 Endsleigh Street, London WC1H 0DD, UK. Website: www.iied.org

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Participatory Learning and Action (PLA) is an umbrellaterm for a wide range of approaches andmethodologies, including Participatory Rural Appraisal(PRA), Rapid Rural Appraisal (RRA), ParticipatoryLearning Methods (PALM), Participatory ActionResearch (PAR), Farming Systems Research (FSR), andMéthode Active de Recherche et de PlanificationParticipative (MARP). The common theme is the fullparticipation of people in the processes of learningabout their needs and opportunities, and in the actionrequired to address them.

In recent years, there has been a number of shiftsin the scope and focus of participation: emphasis onsub-national, national and international decision-making, not just local decision-making; move fromprojects to policy processes and institutionalisation;greater recognition of issues of difference and power;and, emphasis on assessing the quality andunderstanding the impact of participation, rather thansimply promoting participation. ParticipatoryLearning and Action reflects these developments andrecognises the importance of analysing andovercoming power differentials which work to excludethe already poor and marginalised.

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THEME SECTION: COMMUNITY-BASED ADAPTATION TO CLIMATE CHANGE..............................91. Community-based adaptation to climate change: an overview

Hannah Reid, Mozaharul Alam, Rachel Berger, Terry Cannon, Saleemul Huq, and Angela Milligan ....................................................................................................................................................................................11

Glossary ..............................................................................................................................................................................................................................34

PART I: REFLECTIONS ON PARTICIPATORY PROCESSES AND PRACTICE ........................................392. Combining different knowledges: community-based climate change adaptation

in small island developing statesIlan Kelman, Jessica Mercer, and Jennifer J. West ..............................................................................................41

3. Children’s participation in community-based disaster risk reduction and adaptation to climate changeThomas Tanner, Mercedes Garcia, Jimena Lazcano, Fatima Molina, Grace Molina, Gonzalo Rodriguez, Baltz Tribunalo, and Fran Seballos ..................................54

4. Katalysis: helping Andean farmers adapt to climate changeStephen Sherwood and Jeffery Bentley ..................................................................................................................................65

5. Ethics and methods in research for community-based adaptation: reflections from rural VanuatuOlivia Warrick ....................................................................................................................................................................................................76

6. Participatory rice variety selection in Sri LankaRachel Berger, with Rohana Weregoda and Varuna Rathnabharathie ......................................88

7. Lessons from a transboundary water governance project in West AfricaSam Wong ..................................................................................................................................................................................................................99

Contents

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PART II: PARTICIPATORY TOOL-BASED CASE STUDIES ......................................................................................1078. Participatory three-dimensional mapping for disaster risk reduction

Jean-Christophe Gaillard and Emmanuel A. Maceda..................................................................................1099. Amplifying children’s voices on climate change: the role of participatory video

Tamara Plush ................................................................................................................................................................................................11910. Farmers become filmmakers: climate change adaptation in Malawi

Fernanda Baumhardt, Ralph Lasage, Pablo Suarez, and Charles Chadza ....................129

PART III: PARTICIPATORY TOOLS........................................................................................................................................................13911. Developing a climate change analysis

Christian Aid ..................................................................................................................................................................................................14112. Rain calendars: a tool for understanding changing rainfall patterns and effects

on livelihoodsCynthia Awuor and Anne Hammill ..................................................................................................................................149

13. Mental models: understanding the causes and consequences of climate changePetra Tschakert and Regina Sagoe ......................................................................................................................................154

14. Child-friendly participatory research tools Fatima Molina, Grace Molina, Tom Tanner, and Fran Seballos ..................................................160

15. Participatory scenario development for translating impacts of climate change into adaptations Livia Bizikova, Thea Dickinson, and László Pintér ......................................................................................167

16. Reflections on practical ethics for participatory community-based adaptationextracts from Elkanah Absalom et al., and Giacomo Rambaldi et al.....................................173

REGULAR FEATURESTips for Trainers ....................................................................................................................................................................................................17917. Communications maps

Sonal Zaveri ....................................................................................................................................................................................................18018. Rivers of life

Ziad Moussa ....................................................................................................................................................................................................183In Touch ..........................................................................................................................................................................................................................187RCPLA Network ..................................................................................................................................................................................................211

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Welcome to the new look 60th issue ofParticipatory Learning and Action! Thefocus of this special issue is community-based adaptation to climate change. Itspublication is timed to coincide with theforthcoming United Nations ClimateChange Conference (COP 15) to be held inDecember, in Copenhagen, Denmark, andevents surrounding it. The conference willbring together world leaders to try to makedecisions on four key questions: • How much are the industrialised coun-tries willing to reduce their emissions ofgreenhouse gases?• How much are major developing coun-tries such as China and India willing to doto limit the growth of their emissions?• How is the help needed by developingcountries to engage in reducing their emis-sions and adapting to the impacts ofclimate change going to be financed?• How is that money going to be managed?1

Reducing emissions of greenhouse

gases is crucial to limiting the extent offuture climate change. However, there isalso recognition that human-inducedclimate change is already happening, andthose most affected will be the estimatedone billion people living in developingcountries who are already poor andmarginalised.2 Since the industrialisedcountries are responsible for most pastgreenhouse gas emissions, they haveaccepted that they should help those whowill be most affected by climate change toadapt to its impacts (UN FrameworkConvention on Climate Change).

It is now increasingly recognised that,for poor communities, adaptationapproaches that are rooted in local knowl-edge and coping strategies, and in whichcommunities are empowered to take theirown decisions, are likely to be far moresuccessful than top-down initiatives. Inaddition, communities have the right toparticipate in decisions that affect them.

1 Source: http://en.cop15.dk2 Jessica Ayers and Saleem Huq, Community-based adaptation to climate change: anupdate. IIED briefing, June 2009.

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For these reasons, community-based adap-tation has come to the fore in recent years.

‘Good’ community-based adaptation,like other forms of participatory develop-ment, is community-driven, empowering,and strengthens local capacity. Much CBAis rooted in disaster risk reductionapproaches, designed to build the resilienceof communities to disasters, such as floodsand drought, with the difference that itshould also incorporate longer-termclimate change and its predicted impactsinto community-based planning. Broaderparticipatory community development andlivelihood approaches should also be takinginto account the effects of climate change,if development gains are to be sustained.

Communities have a wealth of knowl-edge about the local environment, and havebeen adapting to and coping with changefor years. Although this knowledge andtraditional coping mechanisms maybecome less effective as climate changeleads to greater unpredictability in weatherpatterns (e.g. rain coming at any timerather than at predictable times) and moreextreme events (e.g. droughts and floods)it remains an invaluable resource, and, inthe absence of historical written records, isoften the only source of information on e.g.rainfall trends. This is not to say that scien-tific knowledge does not have a very signif-icant role to play in helping communitiesto adapt to climate change, and many ofthe articles in this issue reflect on therespective strengths and weaknesses oflocal and scientific knowledge, and how thetwo can best be integrated.

Community-based adaptation bringstogether those working in the fields ofdisaster risk reduction, community devel-opment, and climate change science. Thereis still much work to be done to encouragethese different communities to develop acommon language, to share good practice,and to draw on the lessons of other partic-ipatory development work, in particular,the dangers of rushing to scale at theexpense of the quality of participation, as

happened with PRA in the 1990s. Theoverview for this issue reflects on differenttypes of participation, and on what ismeant by ‘good’, empowering participation.

Structure of the special issueThe special issue is divided into threesections:• The first section includes reflections onparticipatory processes and practice incommunity-based adaptation to climatechange. These have a variety of entrypoints, including participatory vulnerabil-ity analysis, disaster risk reduction frame-works, and Farmer Field Schools. The casestudies provide a rich source of experienceand lessons for CBA practitioners. • The second section focuses on participa-tory tool-based case studies. Thesedescribe a participatory process with anemphasis on the use of a particular partic-ipatory tool, such as participatory video orparticipatory mapping. They also reflect onthe strengths and limitations of these tools. • The third section, participatory tools,includes shorter, step-by-step descriptionsof how to facilitate a particular tool in acommunity, for example, rain calendarsand mental models of the drivers andeffects of climate change.

Guest editorsThe guest editors for this issue are HannahReid, Terry Cannon, Rachel Berger, Moza-harul Alam, and Angela Milligan.

Hannah Reid is a Senior Researcher inthe Climate Change Group at IIED. She isinterested in the links between climatechange and sustainable development andis a lead editor for Tiempo: a bulletin onclimate and development.

Terry Cannon works with the ClimateChange Group as a Visiting Fellow at IIED.Until recently he was Reader in Develop-ment Studies at University of Greenwich.His special interest is in community-basedvulnerability assessment and disasterreduction, and climate change adaptationin relation to rural livelihoods. He is

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currently working on projects for this inBangladesh and Vietnam.

Rachel Berger is currently climatechange policy adviser with Practical Action,a development NGO that focuses on reduc-ing poverty through enabling poor peopleto access and develop technologies appro-priate to their needs and resources. Beforeher current role, Rachel managed multi-country projects in sub-Saharan Africa andsouth Asia focusing on strengthening liveli-hoods in the face of increasing climate vari-ability, and empowering communities toaddress their problems. She currentlyworks on advocacy and policy on adapta-tion to climate change in the internationalUN climate change negotiations, as well assupporting Practical Action's countryoffices on climate change policy andprogramme work.

Mozaharul Alam has recently joinedUNEP as Regional Climate Change Coor-dinator for Asia and the Pacific Region,located in Bangkok. Before joining UNEP,he coordinated the climate changeprogramme of the Bangladesh Centre forAdvanced Studies (BCAS). He hasconducted and coordinated significantamounts of research on climate changeimpacts, vulnerability, and adaptation atnational, regional, and international levels.He has also designed and implemented a

community-based adaptation project inBangladesh and provided technical inputson CBA projects in African Countries.

Angela Milligan is Co-Editor of Partic-ipatory Learning and Action. She workedwith poor farming communities in Kenya,Tanzania, and Uganda in the early 1990s,an exciting time when the use of participa-tory approaches was expanding rapidly,and the rate of innovation was extremelyhigh. She was an avid reader of those earlyissues of PLA (then RRA Notes)! Afterreturning to the UK, Angela worked as atutor and course writer for the Wye College,University of London distance learningcourses in Agricultural Development. Aftera stint communicating the research find-ings of DfID’s natural resources researchprogrammes, she joined IIED in 2001 asEditor of Participatory Learning andAction, and has been here ever since!Getting to grips with the discourse of disas-ter risk management and climate changeadaptation has been a steep learning curve,but guest editing this issue has been a greatlearning experience, and has highlightedthe importance and challenges of CBAwork.

How this issue came about The idea for this issue arose from theinvolvement of the International Institute

Flyer for the 3rd international conference on community-based adaptation to climate change.

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for Environment and Development(IIED)’s climate change programme in theFirst International Community-basedAdaptation (CBA) conference, held inDhaka, Bangladesh in 2005. More then 80experts, policy makers, NGO representa-tives, and grassroots practitionersdiscussed the possible impacts of climatechange on communities, and how to helpthem adapt in the future. Whilst the firstconference focused on firming up theconcept of CBA and gaining acceptance forit, a second and third conference (in 2007and 2009) considered issues such as thedistinction between CBA and community-based development, scaling up CBA, andhow to integrate climate science into CBAwhilst maintaining a community-drivenprocess.3 A fourth conference will be heldin Tanzania in February 2010 (see InTouch, page 199 for more details).

An invitation to submit papers for thisspecial issue of Participatory Learning andAction was circulated to PLA and climatechange networks prior to the third CBAconference, and abstracts were thenselected by the guest editors for develop-ment into full papers. These were supple-mented by directly commissioned papers,drawing on the guest editors’ suggestionsand those of staff at the Institute of Devel-opment Studies, Sussex, in particularRobert Chambers.

AcknowledgementsWe would like to thank the guest editors fortheir hard work and dedication to thisissue, despite many other demands on theirtime, as well as all who submitted articles.We would also like to thank Robert Cham-bers for pointing us towards innovativework on CBA, particularly the develop-ment of new participatory tools. Thanksalso to our editorial board for their insight-ful comments on the papers for this issue.Finally, huge thanks to our authors whohad to contend with sometimes contradic-

tory feedback from climate change ‘experts’and participation ‘experts’, and who dealtwith our requests for changes with patienceand good humour.

The rest of the issue

Tips for TrainersFor this issue we have two Tips for Train-ers articles. First, Sonal Zaveri presentsCommunication Maps, a participatory toolto understand communication patternsand relationships. Developed in Nepal, thetool provides a simple and effective way toplot and understand how children commu-nicate with the people in their lives.

Next, Ziad Moussa provides some tips onusing a tool called Rivers of Life, whichallows participants to reflect on personalexperiences and influences that have moti-vated them in their personal and professionallife. Participants are invited to use the symbolof a river to reflect on key stages in their lives,positive experiences and influences, and diffi-cult challenges. This is a fun way to introducepeople to each other in a workshop settingand was used at the RCPLA workshop inCairo last year. See the RCPLA pages for anupdate on the programme Deepening Partic-ipation for Social Change that was initiatedat the workshop.

In TouchThe In Touch section of this issue is dividedinto two sections. The first section containsa variety of books, papers, and web-basedresources on climate change adaptation,including sources of climate data, casestudies of CBA, and CBA methodologies.The second section includes resources onother participatory themes.

RCPLAFind out the latest news from partners andcolleagues from the Resource Centres forParticipatory Learning and ActionNetwork.

3 Ayers and Huq, ibid.

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PLA 59: DVDTogether with the Technical Centre forAgricultural and Rural Cooperation (CTA),we are working on a bilingual DVD whichcontains English and French versions ofthe articles in PLA 59: Change at Hand:Web 2.0 for development, as well as videodocumentaries, and a Tips for Trainers inSpanish. This will be available in January2010. PLA 59 has been extremely well-received (see under PLA online below), andwe hope that the bilingual DVD will enableyou to share the issue more widely withpartners and colleagues.

Other news

Change of formatYou have probably noticed that this issue ofPLA looks rather different from previousissues! We have been considering a changeof format for some time now as feedbackfrom readers suggested they would prefera smaller, more portable size. The new sizeshould also mean that issues of PLA siteasily on a shelf, without flopping over asthe larger size does! A further considera-tion, in these times of financial crisis, is thatthe format is a standard size, and so isconsiderably cheaper to print.

Whilst the look is a little different, westill aim to be an informal journal, withplenty of photographs and illustrations. Allour articles are peer-reviewed by membersof our International Editorial AdvisoryBoard, helping us to maintain the very highquality of the content, while also keeping afocus on practitioner-based experiences.

We would very much welcome yourfeedback on the changed format. Does itwork better for you? Are there any otherchanges you could like to see? Email us [email protected] with your views.

PLA onlineWe had a record number of downloads ofPLA 59 on Web 2.0 for development, andhave had an amazing amount of positivefeedback on the issue. There is so little

about participatory Web 2.0 that this isclearly meeting a need, and we hope thatthe issue has encouraged many of you todip a toe in the world of Web 2.0.

Don’t forget that you can also accessand download most issues of PLA freeonline. Visit www.planotes.org for moreinformation.

Next issueIn a change to our publicised schedule, ournext issue, PLA 61, will be published inJune 2010 rather than December 2009,and the issue will be a special theme one oncommunity-led total sanitation (seebelow).

PLA 61: Community-led total sanitation,June 2010This issue is being produced in partnershipwith Plan International and will be guestedited by Sammy Musyoki from Plan Inter-national and Petra Bongartz from the Insti-tute of Development Studies, UK.

In recent years, sanitation has receivedrenewed attention internationally and hasbeen acknowledged as one of the centralcomponents of development because of itsinterconnections with health, livelihoods,education, the environment, and othersectors. Its close ties with poverty reductionare being increasingly recognised.

The WHO and UNICEF reportssuggest that as many as one in three peopleworldwide lack sanitation facilities. Mostof those affected live in low-income coun-tries in Asia and Africa. Poor sanitation,lack of access to clean water, and inade-quate personal hygiene are responsible foran estimated 90% of incidences of child-hood diarrhoea (WHO). It is estimatedthat diarrhoeal diseases kill at least twomillion children in poor countries eachyear, and diarrhoea is the second highestsingle cause of child mortality (WHO).

Despite the efforts and resources thathave been poured into sanitation in the lastdecade, the millennium development goal(MDG) for sanitation (‘halving by 2015, the

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proportion of people without sustainableaccess to safe drinking water and basicsanitation’) is a distant dream for manydeveloping countries. Providing subsidiesto build toilets has not been enough andcreates a culture of dependency on exter-nal help.

In contrast, Community-Led TotalSanitation (CLTS) focuses on mobilisationof collective action and behaviour changeto ensure real and sustainable improve-ments in sanitation and hygiene. CLTS hasits origins in Participatory Rural Appraisal(PRA), drawing on simple PRA visual toolssuch as mapping, transect walks, and flowdiagrams to enable communities to analyseand learn from their hygiene habits andpractices, and come up with collectiveaction plans for sanitising their habitatwithout depending on external subsidies.

This issue will focus on recent CLTSexperiences in Africa, enabling sharing ofexperience and lessons, and improvingpractice and policy around CLTS. Practi-tioners will come together to share andreflect critically on the questions, issues,and challenges that CLTS practice throwsup, and develop articles for the issue. Thispromises to be a fascinating and timelyissue, which will be of interest to practi-tioners in Africa as well as other regions.

Editorial board newsWe would like to say farewell to two IIEDmembers of our Strategic Editorial Board.

Ivan Bond left IIED in September tojoin the UK Department for InternationalDevelopment. He will be working prima-rily on REDD (reducing emissions fromdeforestation and degradation), but willmaintain close contact with IIED. Ivantook a leading role in the development ofPLA 55 on Community conservation insouthern Africa, and he will continue to bea member of the wider PLA advisory edito-rial board. We wish Ivan well in his newposition, and look forward to receiving his

continued input on the development andcontent of PLA.

Sonja Vermeulen left IIED in Novem-ber this year to pursue other interests.Sonja has been a very valuable criticalfriend during her time on the PLA Strate-gic Editorial Board. She also guest editedPLA 53, Tools for influencing power andpolicy. This issue was developed aroundthe Power tools project, which provides‘how-to’ ideas that marginalised people andtheir allies can use to have a greater posi-tive influence on natural resources policy.4

We would like to extend our warm thanksto Sonja for all of her good-humouredsupport over the years, and look forward tokeeping in touch in future.

Final thoughts…The decisions that will be made at in Copen-hagen in December 2009 will have far-reaching repercussions for people the worldover for years to come. As we move forward,good participatory practice will play anessential role in community-based adapta-tion. We hope that this issue will encouragereaders to take into account climate changeimpacts, both present and future, in theirdevelopment or relief work with communi-ties, in participatory research, and in policy-making. We hope also that this special issuewill promote the spread of good practice,and the sharing of experiences and lessons,so that we can all help to meet the globalchallenge of climate change.

4 See www.policy-powertools.org

Community-based adaptationto climate change

THEMESECTION

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IntroductionScientists are clear that climate change ishappening, and that it is due to emissionsof greenhouse gases produced largely byindustrialised countries (IPCC, 2007).Those likely to be worst affected are theworld’s poorest countries, especially poorand marginalised communities withinthese countries. Ironically it is these poorcountries and people who have contributedleast to the problem of climate change,because of their very low greenhouse gasemissions, but who will suffer most from itsconsequences. Even if emissions areseverely curbed, climate change will stilloccur. The industrialised countries haveaccepted they have a responsibility to helppoor and vulnerable countries to adapt(UNFCCC). However, until recently, mostadaptation efforts have been top-down,and little attention has been paid tocommunities’ experiences of climatechange and their efforts to cope with theirchanging environments.

This special issue of ParticipatoryLearning and Action focuses on recent

approaches to adaptation to climatechange which are community-based andparticipatory, building on the priorities,knowledge, and capacities of local people.Community-based adaptation draws onparticipatory approaches and methodsdeveloped in both disaster risk reduction(DRR) and community development work,as well as sectoral-specific approaches suchas farmer participatory research (Berger etal., this issue) and Farmer Field Schools(Sherwood and Bentley, this issue). Inno-vative participatory methods are alsoemerging to help communities analyse thecauses and effects of climate change, tointegrate scientific and community knowl-edge of climate change, and to plan adap-tation measures.

In this overview paper to the issue, wedescribe how community-basedapproaches to climate change haveemerged, and the similarities and differ-ences between CBA and other participatorydevelopment and disaster risk reductionapproaches. Whilst CBA is a relatively newfield, some lessons and challenges are

by HANNAH REID, MOZAHARUL ALAM, RACHEL BERGER, TERRY CANNON, SALEEMUL HUQ, and ANGELA MILLIGAN

Community-basedadaptation to climatechange: an overview 1

60 � Reid, Alum, Berger, Cannon, Huq, and Milligan12

beginning to emerge, and we analyse these,drawing on the experiences contained inthe collection of articles for this issue. Manyof the articles are concerned with naturalresources, reflecting the preponderance ofsubmissions we received in this area.However, climate change will affect manyother aspects of communities’ lives, and wewould urge practitioners working in othersectors, such as human health and urbanareas, to share their experiences of commu-nity-based adaptation.

Climate change and its impactsClimate change refers to short-, medium-,and long-term changes in weather patternsand temperature that are predicted tohappen, or are already happening as a resultof anthropogenic emissions of greenhousegases such as carbon dioxide. These changesinclude a higher frequency of extremeweather events such as drought and floods,as well as greater unpredictability and vari-ability in the seasons and in rainfall. Over-lying this increased variability are expectedlonger-term changes, such as temperatureand sea-level rises, and lower (or in somecases higher) rainfall. Annex 1 shows inmore detail how the climate is predicted tochange over the medium- and long-term(Christian Aid, 2009, based on the IPCC4th assessment report, 2007).

Why are poor people most vulnerable toclimate change?Poor countries and communities are morevulnerable to climate change because theytend to be located in geographically vulner-able areas, such as flood-prone Mozam-bique, drought-prone Sudan, orcyclone-prone Bangladesh, and in morevulnerable locations. For example, theslums and informal settlements surround-ing many developing country cities areusually sited on land prone to landslips orto flooding and river bank erosion. Wealthypeople, commerce, and industry can affordto situate themselves on safer land.

Many poor communities are heavily

dependent on natural resources for theirlivelihoods. Smallholder farmers have muchexperience of adapting to their complex,diverse, and risk-prone environments.However, farming is now becoming evenmore difficult and risky because of greaterunpredictability in the timing of rainyseasons and the pattern of rain withinseasons, making it more difficult to decidewhen to cultivate, sow, and harvest, andneeding more resources to seize the righttime for planting, and to maintain cropsand animals through dry spells. Heat stress,lack of water at crucial times, and pests anddiseases are serious problems that climatechange appears to be exacerbating. Theseall interact with ongoing pressures on land,soils, and water resources that would existregardless of climate change (Jennings andMcGrath, 2009).

Vulnerability to climate change is notjust a function of geography, or depend-ence on natural resources; it also hassocial, economic, and political dimensionswhich influence how climate changeaffects different groups (Action Aid,2005). Poor people rarely have insuranceto cover loss of property due to storms orcyclones. They cannot pay for the health-care required when climate change-induced outbreaks of malaria and otherdiseases occur. They have few alterativelivelihood options when their only cowdrowns in a flood or drought kills theirmaize crop for the year – and they do nothave the political clout to ask why theircountry’s early warning system did notwarn them of likely flooding. Climatechange will also have psychological andcultural effects, for example beliefs andtraditions associated with the seasonsbeing undermined by climate change(Jenning and McCrath, 2009).

Poor communities already struggle tocope with the existing challenges of povertyand climate shocks, but climate changecould push many beyond their ability tocope or even survive. It is vital that thesecommunities are helped to adapt.

13Community-based adaptation to climate change: an overview

Adapting to climate changeInternational climate change negotiations,multilateral and bilateral agencies, donors,and international governance and financialinstitutions such as the World Bank arepaying increasing attention to adaptationand how best to help people to adapt. Moreand more funding is available for adapta-tion.1 However, until recently, most effortsto help countries adapt focused on nationalplanning and top-down approaches basedon climate change modelling. Remarkablylittle attention has been paid to the ways inwhich poor people have been coping withclimate variability and extremes fordecades.

What is community-based adaptation? Community-based adaptation to climatechange is a community-led process, basedon communities’ priorities, needs, knowl-edge, and capacities, which shouldempower people to plan for and cope withthe impacts of climate change. As Tanneret al. and others in this issue point out,climate change is only one of a range ofnatural, social, and economic problemsthat may face poor people (such as unem-ployment, the prices of food and otheressentials, commodity prices, drugs,gambling, community conflict, and health).So it is unlikely that interventions focusingonly on climate-related risks will reflectcommunity priorities.

CBA needs to start with communities’expressed needs and perceptions, and tohave poverty reduction and livelihoodbenefits, as well as reducing vulnerabilityto climate change and disasters. In prac-tice, CBA projects look very like ‘develop-ment as usual ’ and it is difficult todistinguish the additional ‘adaptationcomponents’. For example, in a droughtyear, we cannot divide water storage meas-

ures undertaken by local communities intothose initiated as a response to ‘normal’climate variability, and those initiated as aresponse to climate change. However, thedifference is that CBA work attempts tofactor in the potential impact of climatechange on livelihoods and vulnerability todisasters by using local and scientificknowledge of climate change and its likelyeffects.

CBA may start by identifying commu-nities in poor countries that are mostvulnerable to climate change, or thesecommunities may themselves ask for assis-tance (Kelman et al., this issue). It may alsofollow on from work with communities tocope with a disaster, such as severe flood-ing. International development NGOs anddonors funding CBA usually work throughlocal partners, such as local NGOs orcommunity groups which already have thetrust of local communities.

Incorporating climate change informationCBA work needs to incorporate informa-tion on climate change and its impacts intoplanning processes. This includes: • scientific information (e.g. long-termpredictions from climate change models,seasonal forecasts, information on trendsbased on data collected at nearby weatherstations); as well as • local knowledge about trends andchanges experienced by communities at alocal level and strategies these communi-ties have used in the past to cope withsimilar shocks or gradual climatic changes.

Both these sources contribute to anunderstanding of risk. Climate changescience cannot say for certain, for example,how much rainfall a particular area willreceive over any given time – but it can givesome guidance on the probability that rain-fall will increase or decrease and to what

1 For example, funds have been established to support adaptation activities under theUnited Nations Framework Convention on Climate Change (UNFCCC) and its KyotoProtocol such as the Adaptation Fund, and the World Bank’s Pilot Program for ClimateResilience (PPCR). While such international funds are not always aimed specifically atcommunity-based adaptation (CBA), some of them, such as the Adaptation Fund, aretrying to target the most vulnerable communities.


Moveable cooking stove designed to cope with floods, 2007, near Khulna, Bangladesh.

Phot

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erry

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extent. CBA builds in this notion of riskand uncertainty into activities, with the aimof building communities’ resilience to bothcurrent climate variability and futureclimate change.

Drawing on participatory disaster riskreduction approachesThe lessons from disaster risk reduction(DRR) work are of tremendous value forclimate change adaptation, because climatechange is likely to change the magnitude,frequency, and timing of extreme eventssuch as flooding, landslides, and storms, aswell as generate new disaster events.

Disaster risk reduction is likely to be theentry point for communities suffering fromsevere shocks as a result of short-termclimate variability (Christian Aid, 2009).Many of the papers in this issue use aparticipatory DRR framework (e.g. Tanneret al., Warrick, and Gaillard and Maceda).Although different approaches and frame-works for participatory DRR exist, allinvolve working with local people to under-stand the types of hazards they face (e.g.earthquakes, droughts, floods, pests anddiseases, human diseases), the factorswhich make them vulnerable to thesehazards, and their causes. These togethergive an indication of how ‘at risk’ commu-nities are and which groups are mostvulnerable. They also help communitiesconsider what capacities they have forreducing vulnerability, and aim toempower communities to take actionthemselves to reduce the risks they face.

Many organisations working with localcommunities to reduce poverty and disas-ter risks are now trying to incorporate theeffects of climate change into their workwith communities. Kelman and Mercer(this issue), for example, describe a disas-ter risk reduction framework developedwith communities to facilitate DRR plan-

ning in small island developing states(SIDS), such as Papua New Guinea. Theythen show how the framework can beadapted to take into account the likelyeffects of climate change by drawing onexternal scientific information such asdownscaled climate projections and satel-lite images, as well as local knowledge ofhazards and vulnerabilities. Taking intoaccount these longer-term impacts is oneof the key differences between DRR andclimate change adaptation.

Livelihoods, DRR, and climate changeIn practice, all disaster risk reduction anddevelopment work should take into accountclimate change impacts if developmentgains are to be sustained in the future.Whilst development agencies may differen-tiate between DRR, climate change adap-tation, and poverty alleviation, at thehousehold level the issues converge into onecomplex interrelated problem which boilsdown to the same thing – the security andwellbeing of people’s lives, livelihoods, andassets (Oxley, 2009).2 There is increasingrecognition that, for many communitiesfacing frequent hazards, poverty, disasters,and climate change adaptation are closelylinked and cannot be viewed in isolationfrom one another.3

This points towards the need to findpractical ways of integrating DRR, liveli-hoods, and climate change adaptation.Christian Aid, for example, has developeda climate risk cycle management approachto development planning which builds onthe expertise and experience of existingDRR and livelihoods programmes, usingexisting tools wherever possible. In themodel, predictable risks are anticipated,long- and short-term risk reduction activ-ities are integrated into livelihood develop-ment, and the time spent in emergency orrehabilitation is minimised (Figure 1).

2 ESRC-funded seminar, Integrating Approaches: Sustainable Livelihoods, Disaster RiskReduction and Climate Change Adaptation, December 2009, organised by PracticalAction (www.practicalaction.org.uk). See: http://community.eldis.org/.59cc7287/3 Ibid.


These integrated frameworks are stilllargely untested and there are likely to bechallenges in handling the array of factorsto be considered, as well as in encouragingthe different support institutions needed totackle vulnerability to work together.

Participatory methods for CBAMany of the participatory tools used in CBA(see Table 1 for some examples) will befamiliar to DRR and development practi-tioners, but other innovative approaches arebeing developed for communities, develop-ment workers, and scientists to co-learnabout climate change and adaptation, aswell as for working with particular groupssuch as children (Tanner et al., this issue).

Co-learning about climate change Whilst local people are extremely aware ofchanges in their environment, they oftenhave little knowledge of the global causesand effects of climate change. The papersin this issue describe a wide variety ofparticipatory tools to help communitiesunderstand climate change and theimpacts it may have. Many use co-learningapproaches, drawing on both local andexternal scientific knowledge. Communi-cation about climate change should be inthe first language of the communityapproached and in terms it can under-stand.

In Ghana, for example, communitiesdeveloped mental models showing drivers

Figure 1: Climate risk cycle management

Source: Christian Aid (2009a)


and effects of climate change (Tschakertand Sagoe, this issue). During this process,they reinforced and expanded their ownknowledge of climate change, with theinput of external agents. In Indonesia,Climate Field Schools followed a partici-patory ‘learning by doing’ approach to helpfarmers increase their knowledge ofclimate change and observe climaticparameters themselves, such as rainfall, tohelp guide farming activities (Christian

Aid, this issue). Sherwood and Bentley (thisissue) describe a similar process in theAndes.

Children can be very effective commu-nicators of climate change causes andeffects. They often have a better under-standing of the science of climate changeprocesses than adults in the community,through school lessons, and can draw outthe implications for local livelihoods. Plush(this issue) shows how videos, produced in

4 Storian means to ‘chat, yarn, swap stories’ and is an umbrella term indicating semi-structured interview, informal interview, and opportunistic discussion as part ofobservation. See Warrick, this issue.

Table 1: Some examples of participatory tools used in CBA

PARTICIPATORYTOOL/APPROACH

Mental models

Seasonal calendars

Timelines

Community mapping andmodelling

Transect walks

Ranking

Dream maps and drawings

Theatre, poems, songs

Participatory video

Stakeholder analysis

Key informant discussions(e.g. storian)4

USES

• Drivers and effects of climate change

• Seasonality and links with livelihoods• Can be combined with timelines to show perceived changes in seasonality

over time

• Hazards and events• Trends in climate, e.g. temperature and rainfall

• Resources• Types and causes of risks and threats • Extent of vulnerable areas• Vulnerable households and individuals• Planning DRR/CC adaptation measures

• Vulnerability/risks• Land use• Resources

• Vulnerabilities and hazards• Coping and DRR strategies, e.g. water management options, crop varieties

• Vision of community or farm and how to achieve

• Awareness raising of risks and risk reduction measures• Advocacy

• Awareness raising• Farmer to farmer communication• Advocacy

• Institutions, relationships, power

• In-depth discussion of vulnerability, livelihood sources


a participatory way by children, can be apowerful means of raising awareness ofclimate change and its impacts, especiallywhere literacy rates in the community arelow. In this case, the children were firsttaught about climate change using locallyavailable materials (although Plush notesthat there is a severe lack of material thatis not too technical, or related to the urbanmitigation context). They then used thisknowledge to develop questions and carryout filmed interviews with other commu-nity members, to give a clear picture of theimpacts of climate change at the local level.

Although it is important for communi-ties to understand the drivers andprocesses of climate change, Warrick (thisissue) warns of the dangers of disempow-ering communities, giving them a sensethat they cannot take action to deal withclimate change, even though they haveoften been dealing with highly variableclimates for many years. To avoid this, shesuggests discussing climate change in thecontext of how people have alreadyresponded to climate stress, how this haschanged over time, and on communities’own capacities to adapt.

Local knowledge about climate change Several papers in this issue look at ways inwhich familiar participatory tools can beadapted to document local knowledgeabout climate changes. For example, raincalendars were used in Malawi to analysechanges in rainfall over the past five years(Awuor and Hammill, this issue) whilstseasonal analysis charts showed changes inthe seasons in West Bengal, India over asimilar timescale (Christian Aid, this issue).Climate timelines in Sudan were used torecord extreme weather events andtemperature trends over the past 30 years(Christian Aid, this issue).

In the absence of historical localweather data, the memories of oldercommunity members are often the onlysource of information on climate trends(Berger et al., this issue). Where scientific

data are unlikely to be available, one wayforward may be to strengthen local people’sability to collect their own data (Sherwoodand Bentley, this issue).

Using scientific climate change dataThe science of climate change and predic-tions regarding future changes have a keyrole to play in adapting to climate change.Finding ways of making scientific dataaccessible to communities is crucial if theyare to adapt and remain in control of theCBA process. There are potentially manydifferent kinds of information that wouldbe useful for community planning, such asremote sensing observations, satellitepictures, downscaled climate scenarios,and seasonal and long-range weather fore-casts. Where these are available, commu-nities need to learn how to interpret them.Christian Aid (this issue), for example,describe how participatory climate forecastworkshops were held in Zimbabwe, inwhich forecasts for the coming season,expressed in terms of probabilities ratherthan firm predictions. were explained tofarmers, and then downscaled usingfarmers’ own historical rainfall data.

Integrating local and scientific knowledgeMany of the papers in this issue considerhow to integrate scientific and local knowl-edge so as to build on the strengths of each.Although this can present challenges (seelater), several papers suggest ways of bridg-ing the gap between local communities andscientists (e.g. Gaillard and Maceda).

Identifying and planning adaptationactivitiesParticipatory ways of documenting, priori-tising, and sharing risk reduction andadaptation approaches are important ifCBA is to fit with community priorities,and build on existing practices or thoseused in the past, for example traditionalrice varieties which have better salinitytolerance than more recent varieties(Berger et al., this issue). Commonly


mentioned on-farm adaptation optionsinclude diversification of the crops grown,changes in farming practices, better watermanagement, and food storage. In extremecases, for example, where droughts arelikely to be of such magnitude that cropscan no longer survive, then alternativelivelihood strategies, or even migrationmay need to be explored.

There is much scope for approacheswhich encourage the sharing of adaptationpractices. Sherwood and Bentley (thisissue), for example, describe an approachto climate change adaptation in the Andes,in which farmers learn through visits toother farms and through experimentation.As farmers learn and take action at thefarm level, the focus shifts to collectiveactions, such as sharing responsibility forcollecting weather data, and implementingsoil and water conservation measures.

Baumhardt (this issue) describes how

farmers made videos of the adaptationactivities they found most useful, whichwere then screened in nearby villages withwhich they did not have contact. Whilst thevideos were an important communicationtool for raising awareness of adaptationoptions, there are likely to be differences inabilities to adopt adaptation measures, andadditional support will often be needed iflocal people are to make these changes.

Molina et al. (this issue) describe howchildren in the Philippines developedtheatres, songs, and dances to communi-cate the potentially destructive impacts ofhazards such as flooding and river bankerosion, and were effective advocates forrisk reduction activities, such as tree plant-ing.

Gaillard and Maceda (this issue)describe how communities in a flood-pronepart of the Philippines created extraordi-narily detailed, scaled three-dimensional

Children take a class on the environment, 2007, near Khulna, Bangladesh.

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Mphunga villagers filmmaking training. Mphunga village, Salima district, Malawi – July 21st 2008. SeeBaumhardt et al., this issue.

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Children mixing cement for school retaining wall, Potrerillos, El Salvador. See Molina et al., this issue.


models of their area, made from localmaterials such as cartons and paper, whichthey used for disaster risk reduction plan-ning. They used the models to identifyimportant areas for livelihoods, e.g. fishingand hunting grounds, areas prone to differ-ent types of flooding (river, tidal), differenthouseholds, the material of their house(which affects how robust the houses are),household inhabitants, and the mostvulnerable people in the community, e.g.

young children, elderly people, pregnantwomen, and those with disabilities. Theythen identified local resources to deal withhazards, e.g. boats, vehicles, and thenplanned disaster risk reduction activities,e.g. meeting points, evacuation routes, andshelters. The information from thesemodels can also be input into GIS systemsfor use by local government or scientists(subject to the communities’ permission),and can easily be updated.

Women queue for drinking water from a filtered tank in area where salinisation is increasing due to sea-level rise.

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Lessons and challenges in community-based adaptationAlthough CBA is a very recent develop-ment, a number of lessons and challengesare already emerging, around the avail-ability and credibility of climate changeinformation and data, the quality of partic-ipatory processes in CBA, scaling up, andmonitoring and evaluation.

Issues around knowledge Good information on which to base climatechange adaptation is vital, but it is notalways available, accessible, or credible.

Scientific data Christian Aid (this issue) highlight the diffi-culties communities often experience inaccessing climate change data that they canuse in planning. Whilst climate models canhelp identify which parts of the world aremore likely to be physically vulnerable (seeAnnex 1), these predictions are often at ageographic resolution or timescale whichare of little use to local communities. Betterclimate change models, which can makepredictions that are more relevant forcommunities, are urgently needed.

There are also problems with weatherforecasts. Meteorological stations are oftenwoefully under-resourced and under-staffed, data are not computerised, anddata which would be useful for farmers arenot collected. Jennings and McGrath(2009), for example, point out that the vastmajority of analyses of meteorologicalrecords and climate model data focus onmean annual temperature and precipita-tion change rather than the timing of rainsand intra-seasonal rainfall patterns, whichare of much more interest to farmers.

Where data are available, communitiesare often not able to access them, forexample, because they lack Internet access,or the data are not passed from meteoro-logical departments to other governmentdepartments which can make use of them,such as agriculture. Finally, communitiesoften have little confidence in the data.

Access to reliable, appropriate forecasts isessential in meeting the challenge ofgreater unpredictability and increasedhazard events, and meteorological depart-ments need to be strengthened to meet thisneed. Ideally, scientific data should be veri-fied against local data, so that the scientificinformation has credibility with users(Christian Aid, this issue).

Local knowledgeWhilst communities often have little confi-dence in the reliability of information fromscientists, scientists are often equally reluc-tant to trust local knowledge, which theyregard as subjective and lacking in rigour(Gaillard and Maceda, this issue).However, in the absence of weather recordsand climate change data, CBA may belargely dependent on local knowledge ofpast climate trends for forecasting futuretrends.

Gill (1991) compared rainfall patternsrecorded by Nepali farmers using rainfallcalendars with the ‘real’ data recorded atthe nearby weather station, and found aremarkably good fit when comparingmodal rainfall. A more recent study wasable to match farmer perceptions of chang-ing timing and character of seasons againstmeteorological records and get a fit goodenough to show that farmer analysis needsto be taken seriously (McGrath, pers.comm.). However, several authors (e.g.Warrick) note that, when analysing longer-term trends with communities, morerecent events tend to overshadow moredistant ones, and this needs to be takeninto account when trying to extrapolatefrom past trends.

Many communities use traditionalsystems to forecast the coming season.Sherwood and Bentley (this issue) describehow farmers use wind patterns, cloudformations, the position of rainbows, andanimal behaviour to predict the comingseason. Berger et al. (this issue) describes atraditional weather forecasting systemcalled Litha, based on lunar cycles, and


used by communities in southern coastalin Sri Lanka to predict rainfall patterns,and the best time to plant crops. However,there are fears that these traditionalsystems will become less effective asclimate change impacts increase. Berger etal. observe that in recent years, the Lithasystem has been falling out of use, althoughwhether this is because it is less effective orbecause scientific weather forecasts aremore reliable is unclear, and this wouldmerit further investigation.

Issues around participation CBA activities demonstrate a variety oftypes and degrees of participation (seeTable 1 for one typology). Participatorytools are sometimes used as a way ofcollecting local information about vulnera-bility and climate change to be used andanalysed by outsiders (e.g. the casedescribed by Wong, this issue). Often thepriorities and interests of outsiders over-ride those of communities, and there is stilla lot of ‘doing to’ communities, rather thancommunities taking charge. Experiencefrom many different fields, including thoserelevant to climate change adaptation, suchas natural resource management and soiland water conservation, shows that if adap-tation is to be effective and sustainable, itmust draw on the knowledge and prioritiesof local people, build on their capacities,and empower them to make changes them-selves. In this overview, we have arguedthat communities, scientists, and develop-ment workers need to learn, analyse, andplan action in partnership, but thatcommunities need to be in the driving seat.

This has wide-reaching implications forprofessional behaviour, attitudes, andmindsets, and for institutional cultures andstructures. Sherwood and Bentley (thisissue), for example, point out that people-centred, community-based issues are inconflict with dominant professional behav-iour and with dominant institutionaldesigns. Outsiders are facilitators and co-learners, not ‘teachers’ or ‘experts’. Partici-

patory processes need time to develop andthey need flexible funding. They do not fitwith the pre-determined calendars,budgets, and outputs demanded by govern-ment and other organisations.

The way in which adaptation activitiesare funded may be of help here. Poornations argue that, as wealthy nations havecaused the problems of climate change, anyinternational funding streams for adapta-tion activities should be used as recipientcountries and communities see fit, and thatsuch funding should be more stable andlong-term than development funding,which is subject to the conditions andpriorities of donors. This provides anopportunity for flexible, long-term fundingof participatory community-based adapta-tion processes.

In the rush to go to scale to respond toclimate change adaptation and to spendnewly available funds, there is a dangerthat, as with PRA in the 1990s, participa-tory CBA approaches will be abused andmisused. At the end of this issue, in‘Reflections on practical ethics for partici-patory community-based adaptation,’ wehave reproduced a statement by a group ofpractitioners called ‘Sharing our concerns’(Absalom et al.), which was published inPLA (then PLA Notes) in 1994. This state-ment is essentially an ethical code forparticipatory practitioners, and with a fewamendments, it has stood the test of time.We have also included here an extractfrom an article in a more recent issue, PLA54 (Rambaldi et al., 2006) on practicalethics for participatory development prac-titioners.

Honest critical reflection – of the sortexemplified by Warrick (this issue) – isessential if CBA practitioners are to learnfrom each others’ experiences. For example,what happens when, as Warrick cautions,climate change is not seen as a priority incommunities, where a highly variableclimate is regarded as ‘normal’, or whereclimate change impacts are not yet evident,even though scientists are confident that


there will be serious impacts? Whathappens when an external organisation’sfocus and funding does not match the prior-ities raised by communities? Without theflexibility to address communities’ realconcerns, it is difficult for the process ofadaptation to be community-driven.

Difficulties with the concept of ‘community’Whilst CBA focuses on ‘the community’, itis very important to be aware of differencesin priorities, needs, vulnerability, andcapacities within communities. Tanner etal., for example, show that there aremarked differences in perceptions of the

Table 2: A typology of participation5

Table 2: Types of participation

Type of participation

Passive participation

Participation ininformation giving

Participation byconsultation

Participation formaterial incentives

Functionalparticipation

Interactiveparticipation

Self-mobilisation

Characteristics

People participate by being told what is going to happen or has alreadyhappened. It is a unilateral announcement by an administration or projectmanagement without listening to people’s responses. The information beingshared belongs only to external professionals.

People participate by answering questions posed by extractive researchers usingquestionnaire surveys or similar approaches. People do not have the opportunityto influence proceedings as the findings of the research are neither shared norchecked for accuracy.

People participate by being consulted, and external people listen to views. Theseexternal professionals define both problems and solutions, and may modify thesein the light of people’s responses. Such a consultative process does not concedeany share in decision-making, and professionals are under no obligation to takeon board people’s views.

People participate by providing resources, for example labour, in return for food,cash, or other material incentives. Much on-farm research falls into this categoryas farmers provide the fields but are not involved in the experimentation or theprocess of learning. It is very common to see this called participation, yet peoplehave no stake in prolonging activities when the incentives end.

People participate by forming groups to meet predetermined objectives related tothe project, which can involve the development or promotion of externallyinitiated social organisation. Such involvement does not tend to be at early stagesof project cycles or planning, but rather after major decisions have been made.These institutions tend to be dependent on external initiators and facilitators, butmay become self-dependent.

People participate in joint analysis, which leads to action plans and the formationof new local institutions or the strengthening of existing ones. It tends to involveinterdisciplinary methodologies that seek multiple perspectives and make use ofsystematic and structured learning processes. These groups take control over localdecisions and so people have a stake in maintaining structures or practices.

People participate by taking initiatives independent of external institutions tochange systems. They develop contacts with external institutions for resources andtechnical advice they need, but retain control over how resources are used. Suchself-initiated mobilisation and collective action may or may not challenge existinginequitable distributions of wealth and power.

5 Table sourced from Pretty et al. (1995), who adapted it from Adnan et al. (1992).


importance of different hazards by age andgender in the Philippines. Men, as thefarmers in these communities, highlightedagricultural hazards such as pests anddrought, whilst women were concernedwith social hazards (gambling, drugs), andchildren had the most awareness of envi-ronmentally unsound livelihood practicesand global environmental problems.

Different sections of the communityalso vary in their capacity to undertakeadaptation activities. Women are particu-larly badly affected by the combination ofclimatic and environmental stresses, buttheir particular needs and wishes for adap-tation are less likely to be heard or actedupon (Jennings and McGrath, 2009) (seeBox 4). Children are affected by bothcurrent and future climate change impacts,yet their voices are rarely heard or consid-ered in climate change adaptation activi-ties (Plush, this issue).

In many National AdaptationProgrammes of Action (NAPAs), agricul-ture and forestry feature heavily as priorityprojects. However, McGrath and Jennings(2009) point out that, in Malawi, womenprioritised a crèche, family planning, accessto loans, credit, training, and free health-care over support for agriculture. Theyargued that without childcare and supportto start up small enterprises, they could notmake adaptation changes.

Wong (this issue) highlights the

dangers of ignoring intra-communitypower differentials when planning adapta-tion activities. Local chiefs ensured thattheir family members were included ascommunity representatives, excluding thevoices and interests of poorer farmers fromdecision-making processes. Even thoughthe project made special efforts to ensuregender balance, planned adaptation activ-ities were both poverty insensitive andserved to reinforce existing power inequal-ities.

Many articles in this issue use partici-patory approaches in a differentiated wayto capture the perspectives of differentgroups. Some make particular efforts toensure that more vulnerable households,and vulnerable individuals within house-holds, are included, for example, the partic-ipatory modelling process described byGaillard and Maceda, giving the opportu-nity to ensure that the voices of thosepeople are heard. Less is said, however,about analysing power relations withincommunities, and how differences in needsand priorities can be reconciled. We needto keep asking: Who benefits? Who loses?Who is empowered? Who is disempow-ered?6

Monitoring and evaluationMonitoring and evaluation (M&E) of CBAactivities will also be a challenge. GoodCBA should be truly participatory and

6 See ‘Reflections on practical ethics for participatory community-based adaptation,’ thisissue. Source: Rambaldi et al., 2006.

Climate change impacts have different effects on women and on men and have been well attested in manyplaces. The need to find water as well as firewood and fodder is a well-known reason for girls to be kept outof school, and male migration has been linked to the spread of HIV and AIDS.

In Nepal, increasing crop failure has increased the strategy of men migrating. Women are left alone tolook after families yet with the least access to resources to be able to adapt. They have less access tocultivable land to grow food and have to find water, wood, and fodder. Any worsening of livelihood optionshas to be made up in physical labour, one of the few resources women control. So to compensate for thedecline in food production, women are doing more daily waged labour. This is often extremely onerous –such as portering construction materials – and badly paid – women are paid only three-quarters of what aman would earn for the same work.

Box 4: Looking within the community

Source: S. Jennings and J. McGrath (2009).


devolve much of the decision-makingdown to the community level, but thismakes any centralised reporting or evalu-ation activities more difficult to coordinate.This is an important issue, because it is theresponsibility of industrialised nations tohelp poor countries adapt to climatechange, so some means of evaluating theeffectiveness of funded CBA programmesis required. But any move towardscentralised tracking and evaluatingsystems must be sure not to lose sight of theneed to facilitate genuine participatoryprocesses that empower communities toadapt to climate change in ways whichaddress locally identified priorities.

Policies and institutions for CBAWhilst CBA is focused on the communitylevel, it cannot be carried out in isolationfrom events and activities occurring atother levels, for example: • CBA is affected by the services andsupport available (or more often not avail-able) at district and national levels, forexample, long-range weather forecasts,downscaled climate scenarios, satelliteimages, information on weather forecast-ing, and agricultural and other extensionservices, and the ability of support organi-sations to integrate their activities.• Some adaptation activities have spill-overeffects on other communities, for example,

Houses raised on plinths to try and keep them above flood levels, 2007, near Khulna, Bangladesh.

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if one community builds a dam to copewith drought, this will affect communitieslower down the river. Wong (this issue), forexample, describes how communitiesparticipated in transboundary river watergovernance in Burkina Faso and Ghana,which allowed for coordination andadvance warning over the flow of water. • Policy makers at district, national, andinternational levels need to know howcommunities are being affected by climatechange, and to understand and respond tocommunities’ priorities and needs. Thismight be through participation in ‘invited’spaces, such as through participatoryscenario development workshops (Bizikovaet al. this issue)7, or through advocacy bycommunities (e.g. Plush describes howvideos produced by children influencedpolicy makers in Nepal), or by communi-ties organising and putting pressure onpowerful local actors (Dodman, Mitlin, andRayos, unpublished abstract).

Some CBA approaches explicitly buildin a multi-level approach. Action Aid, forexample, uses participatory vulnerabilityanalysis (PVA), which starts by assessingvulnerability at the community level, butthis feeds into the district, national, andinternational levels. They argue that thereare multiple determinants/causes ofvulnerability, and many of these fall outsideindividuals or communities. Hence analy-sis of vulnerability must go beyond theindividual to micro- and macro-level polit-ical processes. Similarly, Practical Actionhave been developing a framework forunderstanding, analysing, and addressingthe multiple factors – lack of resources;fragile livelihoods; hazards; climatechange; political marginalisation; and,weak institutional support mechanisms –that contribute to vulnerability in an inte-grated and holistic manner (Pasteur,2009).

ConclusionThe theory and practice of CBA are still intheir infancy. Both are likely to grow veryrapidly, however, as needs increase as aresult of intensifying climate changeimpacts and as interest in and support foradaptation grows at national and interna-tional levels.

Although funding is increasingly avail-able for adaptation activities, simplyproviding poor country governments withmore money does not mean that it willreach the poor and those who are mostvulnerable to climate change, let aloneincrease their ability to adapt. Suchcommunities are often marginalised,remote, and receive limited services andlittle support from their governments evenwhen they are able to articulate whatsupport they need. Reaching thesehundreds of millions of people andsupporting their genuine participation inany decision-making about resource allo-cation for CBA will be an immense chal-lenge for any international or nationalprogramme or funding mechanism focus-ing on adaptation.

Whilst CBA initiatives are increasing innumber and information sharing on theseactivities is developing, translating theseactivities and documentation intoimproved policy responses and scaled upCBA initiatives worldwide remains a chal-lenge. Power structures are at the heart ofclimate change vulnerability and it isimportant to find ways to allow poorvulnerable people to influence policy andbe heard in key policy arenas, such as theUNFCCC negotiations.

To be successful, community-basedadaptation programmes will need toensure that communities are able toparticipate in identifying priorities, bothlocal and regional, and in planning, imple-menting, monitoring, and reviewing adap-

7 Participatory scenario development workshops engage those most directly concerned(e.g. community members, local officals) in discussions about how the future maydevelop, and about possible adaptation pathways, and their pros and cons. Theconclusions may feed into local, district, and national planning.


tation. Such programmes should providesupport and link communities to relevantdecision-making institutions. They willalso need to build the capacity of localorganisations and local governments toenable them to effectively take part in deci-sion-making processes.9

CBA draws on a number of differentfields, including disaster relief work,community development work, andclimate science. These different areas ofknowledge and expertise often employdifferent languages and concepts, andthere is still much work to be done indeveloping a common understanding andlanguage, and sharing experiences andgood practice.

Continuing to document CBAprocesses in an honest and critical way isvery important, both to improve practiceand to share experience in little-docu-mented areas, such as incorporatingclimate change adaptation into healthpolicy. You will find a list of resources onCBA, including websites, later in this issue.Other important opportunities for experi-ence-sharing include the InternationalConferences on Community-Based Adap-tation (see Box 3), and the two-day Devel-

opment and Climate Days event, held eachyear during the Conference of Parties(COP) to the UNFCCC. This event has adedicated CBA session to share informa-tion on CBA with negotiators andobservers at the international climatechange negotiations.10 CBA practitionerscan also benefit from the rich literaturethat is available on participation.11

Final thoughtsWe face increasing pressure to meet themyriad challenges that a changing climatepresents. As this new community of prac-tice emerges and matures, the ethics andquality of participatory processes will becentral to the success of community-basedadaptation to climate change – and thereare both opportunities and dangers. AsAbsalom et al. wrote in 1994,

The opportunities are to initiate and sustainprocesses of change: empowering disadvan-taged people and communities, transformingorganisations, and reorienting individuals.The dangers come from demanding too much,in a top-down mode, too fast, with too littleunderstanding of participatory developmentand its implications.

8 The second and third conferences were run by the Bangladesh Centre for AdvancedStudies. See www.bcas.net for more information. See www.iied.org for moreinformation on the forthcoming 4th CBA conference in Tanzania.9 ESRC-funded seminar, Integrating Approaches: Sustainable Livelihoods, Disaster RiskReduction and Climate Change Adaptation, December 2009, organised by PracticalAction (www.practicalaction.org.uk). See: http://community.eldis.org/.59cc728710 These events are run by the International Institute for Environment and Development.For more information see: http://tinyurl.com/iied-COP15-d-c. Full URL:www.iied.org/climate-change/key-issues/climate-negotiations-capacity-building/cop15-development-and-climate-days11 See, for example, www.planotes.org for back issues of Participatory Learning andAction. Recent issues include PLA 54: Mapping for change: practice, technologies, andcommunication, and PLA 55: Practical tools for community conservation in southernAfrica. PLA 50: Critical reflections, future directions looks at participation in a wide rangeof different fields, as well as focusing on good participatory practice and ethics. IIED’sParticipatory Learning and Action: A Trainers Guide is also an invaluable resource onparticipatory approaches, processes, and methods.

The second and third International Conferences on Community-Based Adaptation were held in Dhaka,Bangladesh, in February 2007 and February 2009. This will become an annual event at which practitioners,policy makers and researchers can share information on methodologies for CBA, upscaling CBA,communicating CBA, CBA in different ecosystems, funding for CBA etc. The next will be held in Dar esSalaam, Tanzania in February 2010. The conferences involve field visits to CBA projects in differentecosystems and regions so people can see CBA activities on the ground.8

Box 3: Sharing information on CBA


CONTACT DETAILSHannah ReidSenior ResearcherClimate Change GroupInternational Institute for Environment and Development (IIED)3 Endsleigh StreetLondon WC1H 0DDUKEmail: [email protected]

Mozaharul AlamProject ManagerUnited Nations Environment Programme (UNEP)Regional Office of the Asia and Pacific (ROAP)BangkokThailandEmail: [email protected]

Rachel BergerPractical ActionThe Schumacher Centre for Technology and DevelopmentBourton on DunsmoreRUGBYCV23 9QZUKEmail: [email protected]

Terry CannonVisiting FellowClimate Change GroupInternational Institute for Environment and Development (IIED)3 Endsleigh StreetLondon WC1H 0DDUKEmail: [email protected]

Saleemul Huq Senior FellowClimate Change Group International Institute for Environment and Development (IIED)3 Endsleigh StreetLondon WC1H 0DDUKEmail: [email protected]

Angela MilliganCo-EditorParticipatory Learning and Action seriesInternational Institute for Environment and Development (IIED) 3 Endsleigh StreetLondon WC1H 0DDUKEmail: [email protected]

As we move forward with community-based adaptation to climate change, wehope that this issue of Participatory Learn-ing and Action will contribute to learningand experience sharing around CBA – andhelp to promote good participatory practice.


ACKNOWLEDGEMENTSSpecial thanks to Holly Ashley for her careful reading of this overview,many helpful suggestions, and support during the writing process.Thanks also to Michel Pimbert for insights around the quality ofparticipation.

REFERENCESAbsalom, E. et al., (1995). ‘Sharing our concerns and looking to the

future.’ In PLA Notes 22, February 1995. IIED: London. Online:www.planotes.org/documents/plan_02201.PDF

Action Aid International (2005). Participatory vulnerability analysis: astep-by-step guide for field staff, Action Aid International

Adnan, S., A. Barren, S.M. Nurul Alam, and A. Brustinow (1992).People's participation: NGOs and the flood action plan. Researchand Advisory Services: Dhaka, Bangladesh

Anuchiracheeva, S. and T. Pinkaew (2009). Case Jasmine Rice in theWeeping Plain: Adapting Rice Farming to Climate Change inNortheast Thailand. Oxfam Disaster Risk Reduction and ClimateChange Adaptation Resources, Oxfam GB

Chambers, R., N. Kenton and H. Ashley (2004). Participatory Learningand Action 50 Critical reflections, future directions. IIED: London.Online: www.planotes.org/documents/plan_05003.pdf

Christian Aid (2009a). ‘Module I: Framework and Approach.’Christian Aid Adaptation Toolkit: Integrating adaptation toclimate change into secure livelihoods, p.13. Christian Aid: UK

Christian Aid (2009b). ‘Module II: Developing a climate changeanalysis.’ Christian Aid Adaptation Toolkit: Integrating adaptationto climate change into secure livelihoods. Christian Aid: UK

Corbett, J., G. Rambaldi, P.K. Kyem, D. Weiner, R. Olson, J. Muchemi,M. McCall, and R. Chambers (2006). ‘Overview: mapping forchange – the emergence of a new practice.’ Participatory Learningand Action 54 Mapping for Change: practice, technologies andcommunications. IIED: London and CTA: Wageningen. Online:www.planotes.org/pla_backissues/54.html

Gill, G. (1991). ‘But how does it compare with the REAL data?’ In PLANotes 14, IIED: London. Online:www.planotes.org/pla_backissues/14.html#AB1

Intergovernmental Panel on Climate Change (IPCC) (2007). FourthAssessment Report, United Nations

Jennings, S. and J. McGrath (2009). What Happened to the Seasons?Oxfam GB Research Report: UK

Pasteur K., (2009). ‘Practical Action’s Vulnerability to ResilienceFramework’ to be presented at Frameworks for Integration:challenges and opportunities for bringing together Disaster RiskReduction, Climate Change Adaptation, and SustainableLivelihoods, 4th Livelihoods Seminar ito be held in December2009. http://community.eldis.org/.59cc7287/

Pretty, J., I. Guijt, J. Thompson, and I. Scoones (1995). ParticipatoryLearning and Action: a trainer’s guide. IIED ParticipatoryMethodology Series, IIED: London

Rambaldi, G., R. Chambers, M. McCall and J. Fox (2006). ‘Practicalethics for PGIS practitioners, facilitators, technology intermediariesand researchers.’ In Participatory Learning and Action 54Mapping for Change: practice, technologies andcommunications. IIED: London and CTA: Wageningen. Online:www.planotes.org/pla_backissues/54.html


Annex 1: Predicted impacts of climate change, vulnerability, and adaptive capacity byregion

Region

Africa

Asia

Likely regional impacts of climate change

• By 2020, between 75 million and 250 millionpeople are projected to be exposed to increasedwater stress due to climate change. Coupled withincreased demand, this will adversely affectlivelihoods and exacerbate water-related problems.

• Agricultural production, including access to food, inmany African countries and regions is projected to beseverely compromised by climate variability andchange. The area suitable for agriculture, the lengthof growing seasons and yield potential, particularlyalong the margins of semi-arid and arid areas, areexpected to decrease. This would further adverselyaffect food security and exacerbate malnutrition inthe continent. In some countries, yields from rain-fedagriculture could be reduced by up to 50% by 2020.

• Local food supplies are projected to be negativelyaffected by decreasing fisheries resources in largelakes due to rising water temperatures, which may beexacerbated by continued overfishing.

• Towards the end of the 21st century, projected sea-level rise will affect low-lying coastal areas with largepopulations. The cost of adaptation could amount toat least 5-10% of Gross Domestic Product (GDP).Mangroves and coral reefs are projected to be furtherdegraded, with additional consequences for fisheriesand tourism.

• Glacier melt in the Himalayas is projected toincrease flooding, rock avalanches from destabilisedslopes, and to affect water resources within the nexttwo to three decades. This will be followed bydecreased river flows as the glaciers recede.

• Freshwater availability in Central, South, East, andSouth-East Asia, particularly in large river basins, isprojected to decrease due to climate change which,along with population growth and increasingdemand arising from higher standards of living, couldadversely affect more than a billion people by the2050s.

• Coastal areas, especially heavily populatedmegadelta regions in South, East and South-EastAsia, will be at greatest risk due to increased floodingfrom the sea and, in some megadeltas, flooding fromthe rivers.

Vulnerability, adaptive capacity

• Most vulnerable due to multiplestresses and low adaptive capacityis low due to low GDP per capita,widespread poverty (the number ofpoor grew over the 1990s),inequitable land distribution, andlow education levels. There is alsoan absence of safety nets,particularly after harvest failures.

• More than one quarter of thepopulation lives within 100 km ofthe coast and most of Africa’slargest cities are along coastsvulnerable to sea-level rise, coastalerosion, and extreme events.

• Individual coping strategies fordesertification are already strained,leading to deepening poverty.

• Dependence on rain-fedagriculture is high.

• Adaptive capacity is likely to begreatest in countries with civil order,political openness, and soundeconomic management. Someadaptation to current climatevariability is taking place; however,this may be insufficient for futurechanges in climate.

• Adaptive capacity varies betweencountries depending on socialstructure, culture, economic capacity,and level of environmentaldegradation.

• As a region, poverty in both ruraland urban areas has decreased inAsia.

• Capacity is increasing in someparts of Asia (for example, thesuccess of early warning systems forextreme weather events inBangladesh), but is still restraineddue to poor resource bases,inequalities in income, weakinstitutions, and limited technology.


Annex 1 (continued): Predicted impacts of climate change, vulnerability, and adaptivecapacity by region

Region

Asia(continued)

Latin America


• Climate change is projected to impinge on thesustainable development of most developingcountries of Asia, as it compounds the pressures onnatural resources and the environment associatedwith rapid urbanisation, industrialisation, andeconomic development.

• It is projected that crop yields could increase byup to 20% in East and South-East Asia while theycould decrease up to 30% in Central and South Asiaby the mid-21st century. Taken together, andconsidering the influence of rapid populationgrowth and urbanisation, the risk of hunger isprojected to remain very high in several developingcountries.

• Endemic morbidity and mortality due todiarrhoeal disease primarily associated with floodsand droughts are expected to rise in East, Southand South-East Asia due to projected changes inthe hydrological cycle associated with globalwarming.

• Increases in coastal water temperature wouldexacerbate the abundance and/or toxicity ofcholera in South Asia.

• By mid-century, increases in temperature andassociated decreases in soil water are projected tolead to gradual replacement of tropical forest bysavannah in eastern Amazonia. Semi-aridvegetation will tend to be replaced by arid-landvegetation. There is a risk of significant biodiversityloss through species extinction in many areas oftropical Latin America.

• In drier areas, climate change is expected to leadto salination and desertification of agricultural land.Productivity of some important crops is projected todecrease and livestock productivity to decline, withadverse consequences for food security. Intemperate zones soya bean yields are projected toincrease.

• Sea-level rise is projected to cause increased riskof flooding in low-lying areas. Increases in seasurface temperature due to climate change areprojected to have adverse effects on Mesoamericancoral reefs, and cause shifts in the location of south-east Pacific fish stocks.

• Changes in precipitation patterns and thedisappearance of glaciers are projected to


• Some social indicators haveimproved over the 1990s,including adult literacy, lifeexpectancy, and access to safewater.

• Other factors such as infantmortality, low secondary schoolenrolment, and high incomeinequality contribute to limitingadaptive capacity.

• Some countries have madeefforts to adapt, particularlythrough conservation of keyecosystems, early warningsystems, risk management inagriculture, strategies for flooddrought and coastalmanagement, and diseasesurveillance systems. However,the effectiveness of these effortsis outweighed by: lack of basicinformation, observation andmonitoring systems; lack ofcapacity building and appropriate

33

Annex 1 (continued): Predicted impacts of climate change, vulnerability, and adaptivecapacity by region

Region

Latin America (contiued)

Small IslandStates

significantly affect water availability forhuman consumption, agriculture, and energygeneration.

• The projected sea-level rise of 5 mm/yr forthe next hundred years would cause enhancedsoil erosion, loss of land, poverty, dislocationof people, increased risk from storm surges,reduced resilience of coastal ecosystems,saltwater intrusion into freshwater resourcesand high resource costs to respond to andadapt to changes.

• Coral reefs would be negatively affected bybleaching and by reduced calcification ratesdue to higher carbon dioxide levels; mangrove,sea grass bed, and other coastal ecosystemsand the associated biodiversity would beadversely affected by rising temperatures andaccelerated sea-level rise.

• Small islands, whether located in the tropicsor higher latitudes, have characteristics whichmake them especially vulnerable to the effectsof climate change, sea-level rise and extremeevents.

• Deterioration in coastal conditions, forexample through erosion of beaches and coralbleaching, is expected to affect local resources,e.g. fisheries, and reduce the value of thesedestinations for tourism.

• Sea-level rise is expected to exacerbateinundation, storm surge, erosion, and othercoastal hazards, thus threatening vitalinfrastructure, settlements, and facilities thatsupport the livelihoods of island communities.

Climate change is projected by mid-century toreduce water resources in many small islands,e.g. in the Caribbean and Pacific, to the pointwhere they become insufficient to meetdemand during low-rainfall periods.

• With higher temperatures, increasedinvasion by non-native species is expected tooccur, particularly on mid- and high latitudeislands.

political, institutional, andtechnological frameworks; lowincome; and settlements invulnerable areas, among others.

• Adaptive capacity of humansystems is generally low in smallisland states, and vulnerabilityhigh; small island states arelikely to be among the countriesmost seriously impacted byclimate change.

• Declines in coastalecosystems would negativelyimpact reef fish and threatenreef fisheries, those who earntheir livelihoods from reeffisheries, and those who rely onthe fisheries as a significant foodsource.

• Limited arable land andextensive soil salination makeagriculture on small islands, bothfor domestic food productionand cash crop exports, highlyvulnerable to climate change.

• Tourism, an important sourceof income and foreign exchangefor many islands, would facesevere disruption from climatechange and sea-level rise.


Source: Adapted from IPCC (2007).


Community-based adaptation to climate change: an overview

34

AdaptationAdjustment in natural or human systems inresponse to actual or expected climatestimuli or their effects, which moderatesharm or exploits beneficial opportunities.Various types of adaptation can be distin-guished, including anticipatory and reactiveadaptation, private and public adaptation,and autonomous and planned adaptation(IPCC).

Adaptive capacityThe ability of a system to adjust to climatechange, including climate variability andextremes; to moderate potentialdamages; to take advantage of opportu-nities; or to cope with the consequences(IPCC, 2007).

Climate changeA change of climate which is attributeddirectly or indirectly to human activity thatalters the composition of the global atmos-phere and which is in addition to naturalclimate variability observed over compara-ble time periods (UNFCCC).

Climate change mitigationTechnological change and substitution thatreduce resource inputs and emissions perunit of output. Although several social,economic, and technological policies wouldproduce an emission reduction, with respectto climate change, mitigation means imple-menting policies to reduce greenhouse gasemissions and enhance sinks (see alsoGreenhouse gas) (IPCC, 2007).

Climate hazardPotentially damaging physical manifesta-tions of climatic variability or change, suchas droughts floods, storms, episodes ofheavy rainfall, long-term changes in themean values of climatic variables, potentialfuture shifts in climatic regimes, and so on(Brooks, 2003).

Climate impactsConsequences of climate and climatechange on natural and human systems.

Climate modelA numerical representation of the climate

Glossary

35� Glossary

system based on the physical, chemical, andbiological properties of its components,their interactions and feedback processes,and accounting for all or some of its knownproperties. The climate system can berepresented by models of varying complex-ity (i.e. for any one component or combina-tion of components a hierarchy of modelscan be identified, differing in such aspectsas the number of spatial dimensions, theextent to which physical, chemical, orbiological processes are explicitly repre-sented, or the level at which empirical para-meterisations are involved (IPCC, 2007).

Climate trendThe general direction in which climatefactors, such as average annual temperatureor rainfall, tend to move over time.

Climate variabilityThe UNFCC makes a distinction between‘climate change’, attributable to humanactivities altering the atmospheric compo-sition, and ‘climate variability’, attributableto natural causes.

Coping capacityThe ability of people, organisations, andsystems, using available skills and resources,to face and manage adverse conditions,emergencies or disasters (UNISDR, 2009).

Disaster risk managementThe systematic process of using adminis-trative directives, organisations, and oper-ational skills and capacities to implementstrategies, policies, and improved copingcapacities in order to lessen the adverseimpacts of hazards and the possibility ofdisaster (UNISDR, 2009).

DisasterAn event, either natural or man-made, thatcauses great distress or destruction. It is asocial crisis which occurs when a hazardcoincides with a vulnerable situation, result-ing in significant loss of life, severe life-threatening disruption, and substantial

physical damage (Tearfund).

Disaster risk reductionThe concept and practice of reducing disas-ter risks through systematic efforts toanalyse and manage the causal factors ofdisasters, including through reduced expo-sure to hazards, lessened vulnerability ofpeople and property, wise management ofland and the environment, and improvedpreparedness for adverse events (UNISDR,2009).

Early warning systemThe set of capacities needed to generate anddisseminate timely and meaningful warninginformation to enable individuals, commu-nities, and organisations threatened by ahazard to prepare and to act appropriatelyand in sufficient time to reduce the possibil-ity of harm or loss (UNISDR, 2009).

El Niño – or El Niño Southern Oscillation(ENSO)A complex interaction of the tropical PacificOcean and the global atmosphere thatresults in irregularly occurring episodes ofchanged ocean and weather patterns inmany parts of the world, often with signifi-cant impacts over many months, such asaltered marine habitats, rainfall changes,floods, droughts, and changes in stormpatterns (UNISDR, 2009).

El Niño and La Niña are defined assustained sea surface temperature anomaliesof magnitude greater than 0.5°C across thecentral tropical Pacific Ocean, El Niño beinga warming and La Niña a cooling event. ElNiño events are associated with wetterweather in Peru/Ecuador and East Africaand drier conditions in South-East Asia,northern Australia, and Southern Africa. LaNiña events generally cause the opposite andare associated with increased Atlanticcyclones. Climate change may increase thestrength and frequency of the oscillation.

Extreme weather eventAn event that is rare within its statistical

6036

reference distribution at a particular place.Definitions of ‘rare’ vary, but an extremeweather event would normally be as rare asor rarer than the 10th or 90th percentile. Bydefinition, the characteristics of what iscalled ‘extreme weather’ may vary from placeto place. Extreme weather events may typi-cally include floods and droughts (IPCC,2007).

ForecastDefinite statement or statistical estimate ofthe likely occurrence of a future event orconditions for a specific area (UNISDR,2009).

Geographic information system (GIS)A computer-based system designed tocollect, store, manage, and analyse spatiallyreferenced information and associatedattribute data. Participatory GIS (PGIS)facilitates the representation of localpeople’s spatial knowledge using two- andthree-dimensional maps. These maps canbe used to facilitate decision-makingprocesses, as well as support communica-tion and advocacy. Unlike traditional GISapplications, PGIS places control overaccess and use of culturally sensitive spatialdata in the hands of those communities thatgenerated it (Corbett et al., 2006).

Greenhouse gasA gas that absorbs radiation at specific wave-lengths within the spectrum of radiation(infrared radiation) emitted by the Earth’ssurface and by clouds. The gas in turn emitsinfrared radiation from a level where thetemperature is colder than the surface. Thenet effect is a local trapping of part of theabsorbed energy and a tendency to warmthe planetary surface. Water vapour (H2O),carbon dioxide (CO2), nitrous oxide (N2O),methane (CH4), and ozone (O3) are theprimary greenhouse gases in the Earth’satmosphere (IPCC, 2007).

Hazard impactsImpacts related to dangerous phenomena,

substances, human activities or conditionsthat may cause loss of life, injury or otherhealth impacts, property damage, loss oflivelihoods and services, social andeconomic disruption, or environmentaldamage (UNISDR, 2009).

Indigenous knowledgeAlso referred to as local knowledge, is theancient, communal, holistic, and spiritualknowledge that encompasses every aspectof human existence (Brascoupé and Mann,2001).

Institutions Institutions are humanly created formaland informal mechanisms that shape socialand individual expectations, interactions,and behaviour. They can be classified asfalling into public (bureaucratic adminis-trative units, and elected local govern-ments), civic (membership and cooperativeorganisations), and private sectors (serviceand business organisations) (Uphoff andBuck, 2006). Understanding how localinstitutions and their organisational formsshape the adaptation practices of poorcommunities is important for strengthen-ing communities’ adaptive capacities.

LivelihoodsA livelihood comprises the capabilities,assets (stores, resources, claims, and access),and activities required for a means of living.A livelihood is sustainable when it can copewith and recover from stress and shocks,maintain or enhance its capabilities andassets, and provide sustainable livelihoodopportunities for the next generation; andwhich contributes net benefits to otherlivelihoods at the local and global levels inthe long- and short-term (Chambers andConway, 1992).

MaladaptationActions that increase vulnerability toclimate change. This includes makingdevelopment or investment decisions whileneglecting the actual or potential impacts

37� Glossary

of both climate variability and longer-termclimate change (Burton, 1998).

Maladaptation feedbacksConsequences of actions taken to reduceshort-term vulnerability which then accel-erate medium or long-term vulnerability toclimate change.

National Adaptation Programmes ofAction (NAPAs)Documents prepared by least developedcountries identifying urgent and immediateneeds for adapting to climate change. TheNAPAs are then presented to the interna-tional donor community for support(UNFCCC).

Remote sensingThe process of gathering information aboutthe Earth from a distance. Such data iscommonly gathered by satellite or air(aerial) photography (IAPAD).

ResilienceThe ability of a system, community orsociety exposed to hazards to resist, absorb,accommodate, and recover from the effectsof a hazard in a timely and efficient manner,including through the preservation andrestoration of its essential basic structuresand functions (UNISDR, 2009).

RiskExpected damage or loss due to the combi-nation of vulnerability and hazards.

ScenarioA plausible and often simplified descriptionof how the future may develop, based on acoherent and internally consistent set of

assumptions about driving forces and keyrelationships. Scenarios may be derivedfrom projections, but are often based onadditional information from other sources,sometimes combined with a narrative story-line (IPCC, 2007).

TriangulationThe verification of information gained fromone source or methodology with that gainedfrom one or more other sources or method-ologies.

VulnerabilityThe extent to which a natural or socialsystem is susceptible to sustaining damagefrom hazards caused by climate change, andis a function of the magnitude of climatechange, the sensitivity of the system tochanges in climate, and the ability to adaptthe system to changes in climate. Hence, ahighly vulnerable system is one that ishighly sensitive to modest changes inclimate and one for which the ability toadapt is severely constrained (IPCC, 2007).

SOURCEChristian Aid (2009a). ‘Module I: Framework and Approach.’Christian Aid Adaptation Toolkit: Integrating adaptation to climatechange into secure livelihoods. Christian Aid: UK

Definitions and figures that are unattributed were generally based onoriginal material, multiple information sources, and/or adaptedsubstantially to ensure they relate to the Christian Aid context (or acombination of these).

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REFERENCESBrascoupé, S. and H. Mann (2001). A community guide to protecting

Indigenous Knowledge. Research and Analysis Directorate,Department of Indian Affairs and Northern Development: Canada

Brooks, N. (2003). ‘Climate change, growth and sustainability: theideological context.’ Tyndall Centre Briefing Note 8. Online:www.cru.uea.ac.uk/~e118/publications/TynBNote08.pdf

Burton, I. (1998). ‘Adapting to Climate Change in the Context ofNational Economic Planning and Development.’ In P. Veit (ed.)Africa’s Valuable Assets: A Reader in Natural ResourceManagement. World Resources Institute: Washington DC

Chambers R. and G. Conway (1992). ‘Sustainable rural livelihoods:practical concepts for the 21st century.’ Institute of DevelopmentStudies: Brighton. Online:www.eldis.org/vfile/upload/1/document/0708/DOC12443.pdf

Corbett, J., G. Rambaldi, P.K. Kyem, D. Weiner, R. Olson, J. Muchemi,M. McCall, and R. Chambers (2006). ‘Overview: mapping forchange – the emergence of a new practice.’ Participatory Learningand Action 54 Mapping for Change: practice, technologies andcommunications. IIED: London and CTA: Wageningen. Online:www.planotes.org/pla_backissues/54.html

IAPAD (Integrated Approaches to Participatory Development website).Online community mapping glossary:www.iapad.org/glossary/default.htm

IPCC (2007). IPCC 4th Assessment Report 2007. IntergovernmentalPanel on Climate Change. Online: www.ipcc.ch

IPCC online glossary: www.ipcc.ch/pdf/glossary/tar-ipcc-terms-en.pdfTearfund online glossary:

http://tilz.tearfund.org/Publications/Glossary.htmUNFCCC (United Nations Framework Convention on Climate

Change). Website: http://unfccc.intUNISDR United Nations International Strategy for Disaster Reduction

(2009). UNISDR Terminology on Disaster Risk Reduction. Online:www.undp.org.ge/new/files/24_619_762164_UNISDR-terminology-2009-eng.pdf

Uphoff, N. and L. Buck (2006). ‘Strengthening rural local institutionalcapacities for sustainable livelihoods and equitable development.’Paper prepared for the Social Development Department of theWorld Bank: Mimeo

Reflections onparticipatory processesand practice

PART I39

40

Articles in this section have a variety ofentry points, including participatoryvulnerability analysis, disaster riskreduction frameworks, and FarmerField Schools. The case studies providea rich source of experience and lessonsfor CBA practitioners.

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41

by ILAN KELMAN, JESSICA MERCER, and JENNIFER J. WEST

Combining differentknowledges:community-basedclimate changeadaptation in smallisland developingstates

2

IntroductionThroughout history, indigenous peoplesaround the world have successfullyadjusted to social and environmentalchanges. However climate change is under-mining many existing livelihoods based onnatural resources and challenging the rele-vance of indigenous knowledge on whichthose livelihoods are based. Similarly,current scientific knowledge about climatechange and weather patterns is limited,and can rarely provide all that is needed fordealing with change. The challenge is tofind ways of combining indigenous andscientific knowledge to help in successfuladaptation at community level.

This paper describes a community-based

framework for combining different types ofknowledge to address climate change. Itbuilds on earlier work by Mercer to developand pilot a framework for addressing disas-ter risk reduction in Small Island Develop-ing States (SIDS).1 The 52 SIDS face similarsustainability challenges, including excep-tional vulnerability to climate change.

The framework also draws on an assess-ment of climate change impacts, vulnera-bility, and adaptation across SIDS preparedby Kelman, West, and colleagues under theMany Strong Voices (MSV) programme.2

The MSV assessment work indicates thatmany SIDS communities have extensiveindigenous knowledge and traditionalskills that have helped them to deal with

1 The United Nations International Strategy for Disaster Reduction defines disaster riskreduction as ‘systematic efforts to analyse and manage the causal factors of disasters,including through reduced exposure to hazards, lessened vulnerability of people andproperty, wise management of land and the environment, and improved preparednessfor adverse events’. See Kelman and Gaillard (2008) for one discussion about similarities,differences, and linkages between disaster risk reduction and climate change.2 The programme is supported by a consortium of donors including the Government ofNorway and is led by UNEP/GRID-Arendal and the Center for International Climate andEnvironmental Research – Oslo (CICERO), for whom two of the authors work. MSV seeksto catalyse local action about climate change through capacity building, research,education, and outreach. See www.manystrongvoices.org for more details.

60 �Kelman, Mercer, and West42

Figure 1: Map of PNG illustrating village locations

change for centuries (CICERO andUNEP/GRID-Arendal, 2008). That assess-ment provided the baseline for applyingthe disaster risk reduction work directly toclimate change as reported in this paper.

We begin this paper by describing theframework developed for addressing disas-ter risk reduction (DRR), highlightingsome of the participatory approaches used.

We then show how the framework could beadapted to address climate change.

DRR framework scope and methodThe framework was originally developedwith indigenous communities in PapuaNew Guinea (PNG), one of the 52 SIDS.Subsistence agriculture is the main liveli-hood for the majority of PNG’s population,

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43Combiningdifferentknowledges:community-basedclimatechangeadaptation insmall island developingstates

which is 87% rural (PNG National Statis-tical Office, 2003). More than 400 cropspecies are grown for food across thecountry – mainly on land passed downthrough families for generations – reflect-ing the country’s enormous environmen-tal variations (Department of Lands andPhysical Planning, 2005). Indigenousknowledge and indigenous practices arebeing undermined by a combination of‘modernisation’, national pressures includ-ing urbanisation, and global changesincluding climate change.

Mercer carried out fieldwork in PNG in2006-2007 in three rural villages, Singas,Kumalu, and Baliau (Figure 1). Respec-tively, these communities are affected byfloods, floods and landslides, and an erupt-ing volcano. The villages were selectedbased principally on their previouslyexpressed interest in participating indisaster risk reduction activities aftercommunity members had approachedPNG authorities for assistance. Through-out the work, rapport and trust were builtby participating in community tasks,including gardening, cooking, playing withchildren, and going to market to buy andsell goods.

In each village, with the communitymembers’ agreement, the fieldworkmethod used was ‘guided discovery’ inwhich an external facilitator helpscommunity members draw on past expe-riences and local knowledge to seek newrelationships, connections, and ideas thatassist them to take action. Guided discov-ery was supplemented with other partici-patory techniques, including mappingexercises, timelines, and matrix rankings(see Mercer et al., 2008, 2009a, b). In eachcontext, these exercises must be selectedin consultation with the population, espe-cially regarding literacy levels.

As part of the guided discovery,communities developed a process frame-work (Figure 2). This helped guidecommunity members through an in-depthexploration of factors contributing to their

disaster vulnerability and the use ofindigenous and external scientific knowl-edge to reduce that vulnerability. Foursteps were used (Mercer et al. 2009a, b),as described below.

Step one: collecting backgroundinformationMercer collected background informationthrough participatory group work (Figures3 and 4), identifying general communityinformation, interests, and goals. Eachgroup session, and in the other steps too,was attended by community representa-tives selected themselves and covering avariety of ages within the ethnicallyhomogenous villages. Genders were gener-ally segregated and then brought togetherto present to each other (Figure 4),because in PNG men usually dominatediscussions whereas this work soughtinput from both genders.

The results from the group sessionswere presented to the entire community ata community meeting to confirm or reviseinformation. Examples of the informationgleaned were village history, hazard andevent timelines, maps, and environmentaland social trends, with examples given inFigure 5.

Step two: identifying underlying vulnerabilityfactorsWith this baseline, communities identifiedunderlying vulnerability factors, bothexternal and internal. External factors arethose beyond a community’s control, suchas storms and volcanic eruptions. Internalfactors can be controlled by the communityto a large extent, such as changing crops orcropping patterns.

Although climate change was not thiswork’s focus, climate change wasmentioned as an external factor in all threevillages. That is, through guided discovery,the villagers – not outsiders – determinedthat climate change was an important issuethat should be addressed. This conclusionwas reached during discussions about the


Figure 2: The original process framework developed and used in PNG

Source: Mercer et al. (2009b) with some text adjusted.

Communityengagement:

• Collaborationwith communityand stakeholders

• Identification ofcommunity goals

• Establishingrapport and trust

Indigenous strategies:

• Past and present• Examples may include land use

planning, building methods,food strategies, social linkages,and environmental strategies

Scientific strategies:

• Past and present• Examples may include land

use planning, buildingmethods, food strategies,social linkages, andenvironmental strategies

STEP 1:COMMUNITY

ENGAGEMENT

STEP 2:IDENTIFICATION

OF VULNERABILITYFACTORS

STEP 3:IDENTIFICATION OF INDIGENOUSAND SCIENTIFIC STRATEGIES FOR

VULNERABILITY REDUCTION

Identification ofinternal and externalcomponentscontributing tovulnerability.Determined through:

• Community situationanalysis

• Identification ofpriorities

Figure 3: An intense focus group discussion in Kumalu church where participants were discussing the impact oflandslides and flooding upon Kumalu village.

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natural resources that sustain their liveli-hoods. Villagers in all three locationsdiscussed weather patterns, raised the issueof recently changing weather patterns, andconnected those experiences to climatechange. Whilst climate change was identi-fied by the villagers as an external factor, itwas not discussed in depth. Rather, thedisaster risk reduction framework outlinedhere focused on the consequences ofclimate change internally and how theseconsequences could be addressed. Theprocess highlighted the need to revise theframework to consider climate change, asthis paper does.

Step three: identifying strategies forvulnerability reductionCommunity members separated into groupsto identify past and present indigenous andscientific strategies used to cope with theinternal vulnerability factors identified. Thedistinction between ‘external’ science and‘internal’ indigenous, traditional, or localknowledge(s) is not always straightforward.

Figure 4: Men and women in Singas discussing maps drawn of the village and associated hazards.

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Integrated strategy:

• Addressing internalcomponents tohazards

• Dependent oneffectiveness levelof each strategyidentified

Reducedvulnerability

Ongoing revision and evaluation

STEP 4:INTEGRATEDSTRATEGY


Differences frequently highlighted are thedifferent methods used to investigate andinterpret the surrounding world along withscience’s attempts to separate knowledgefrom context compared to indigenousknowledge being deeply rooted in particu-lar contexts. Community members them-selves distinguished between the categoriesthrough identifying the knowledge, strate-gies, and resources available to them andthrough determining the source of each.Once strategies for vulnerability reductionwere identified, community membersscored the effectiveness of each strategy inreducing vulnerability.

Step four: prioritising vulnerability reductionstrategiesCommunity members prioritised possiblevulnerability reduction strategies, based onthe scoring. The scores were seen as a guiderather than as being absolute. On occasion,the scoring results led to qualitative discus-sion that further revised the scoring toreflect community members’ views. Thus,the process was iterative and factored inintangible, qualitative views rather thanrigidly adhering to numbers – an impor-tant principle within the framework. Iden-tifying and prioritising the most effectivestrategies represented the integratedapproach for reducing vulnerability bycombining indigenous and scientificknowledge (Figures 5, 6 and 7).

Feedback from community membersindicated that this approach enabled themto identify strategies that they felt wereachievable using existing resources. Theprocess also enabled them to identifyvarying stages and forms of vulnerabilitythrough time and how their own decisions,such as changing land use practices andbuilding materials, could have contributed.

Guided discovery through the frame-work therefore focuses on the principle ofencouraging awareness and responsibilitywithin the communities to address theirown vulnerabilities by themselves, espe-cially the internal factors, but within the

context of external factors. However, whilstapplying and using the framework hasbeen described for disaster risk reduction,follow-up work has yet to be completed forevaluating outcomes and for measuringover the long-term any discernible reduc-tions in vulnerability.

2006 – Major eruption, ash fall.

2005 – Major eruption, ash fall.

2004 – Major eruption causesevacuation of whole Island includingBaliau Village. Chief of villagereturned after a month followed by agradual return of villagers. Whilstmost of Baliau village have returneda large part of the islanders stillreside in care centres on themainland.

2002 – Landslide and flooding on theboundaries of Baliau village.

2001 – Strong winds flattened crops.

1997 – Drought.

1996 – Major eruption, 13 peopledied, evacuation.

1992 – Lava flow destroys villages onother side of island from Baliau.Baliau village only affected by ashfall.

1957 – Major eruption andevacuation of whole island.

1937 – Major eruption.

Figure 5: Example of field results fromimplementing the framework fordisaster risk reduction. Hazard timelinedeveloped by Baliau communitymembers, highlighting several climate-and non-climate-related events.

(Mer

cer

et a

l., 2

009a

b).


Figure 6: Example of field results from implementing the framework for disaster riskreduction. Cause-effect vulnerability tree developed by Singas community membersoutlining what they considered to be ‘internal’ and ‘external’ vulnerability factors.

Leads toincreasedvulnerabilityto floods

SINGAS

}Loss of land/bush

HouseLocation

Sickness

Loss of wildlife

Hunger

Death of cashcrop –- buai

Introduction ofnew diseases

Land boundaries

Climatechange– excessrainfall

Hazard:flooding

High populationlevels/growth

Mosquitoes

Geographicalstructure/naturalenvironment:• Soft soil• Situated

between rivers• Drinking water

source

Vulnerablehouses –buildingon ground

Erosion

Competitionwith nearbyvillages –gardens andpopulation

Changes intraditionalvalues/structure

Increasedlandclearancefor gardens

Decreasededucation/lossof knowledge

EFFECTS

CAUSES

Globalisation:• Introduction of medicines• Missionary influence (loss

of old ways)• Change of diet,

introduction to newvegetables

• Increased access tooutside community withroads

• Interaction with outsidecommunity

• Marriage outside

Erosion

Limitededucation


Figure 7: Example of field results from implementing the framework for disaster riskreduction. Example of a pairwise ranking grid completed by Kumalu communitymembers to prioritise pre-identified vulnerability factors.

Limited knowledge

Construction of houses in dangerous places

Lack of diversification of income sources

Minimal outside support

Land clearance (loss of bush/trees)

No community planning

Land loss (gardens and coffee due to hazards)

Vulnerable housing

Hunger

Changes in farming practices (coffee, vegetables etc.)

Garden accessibility

Market access

Notes:•After discussion, people from Kumalu decided that ‘limited knowledge’ was more important than previouslyidentified and so the priority list order was changed to move ‘limited knowledge’ to number 5.•N/A (meaning ‘not applicable’) is used throughout the centre of a grid to avoid two of the same factors beingcompared against each other.

Priority list order1 Vulnerable housing

2 Land loss

3 Land clearance

4 Construction of houses indangerous places

5 Garden accessibility

6 Hunger

7 Market access

8 Changes in farming practices

9 Lack of diversification ofincome sources

10 No community planning

11 Lack of knowledge

12 Minimal outside support

Key:


Using the framework to address climatechangeThe framework for disaster risk reductiontargeted mainly floods, storms, landslides,and volcanic eruptions that the communi-ties had previously experienced. Climatechange is likely to alter the timing, severity,and frequency of some environmentalhazards along with affecting weatherseasonality. Consequently, the frameworkprovides a useful entry point for discussinghow and why communities could bevulnerable to, and could deal with, longer-term climate change. The framework hasnot yet been applied in the field for onlyclimate change.

Figure 8 shows how the framework couldbe revised to address climate change. It incor-porates knowledge gained from the MSVassessment (CICERO and UNEP/GRID-Arendal, 2008) of climate change impacts,vulnerability, and adaptation on SIDS.

Step oneStep one of the process remains unchanged,as it is important for determining commu-nities’ own priorities and concerns. In ourexperience, climate change is a priority forSIDS communities. SIDS communities arereporting climate change challenges.3 Theyare actively seeking and supporting endeav-ours to address climate change, as shown byMSV. However, this may not be the case forcommunities elsewhere. If communities donot consider climate change to be a concernyet scientific evidence suggests otherwise –an unlikely occurrence for SIDS – thenpractitioners involved in using the frame-work will need to decide ethically and prac-tically the appropriateness of trying tointroduce, or force, climate change onto thecommunity.

Step twoIn step two, a global situation analysis iscarried out, with global climate changecauses and trends linked to local impacts

and vulnerabilities. External scientific infor-mation indicating historical and potentialfuture consequences of climate variabilityand change – for instance, satellite obser-vations and downscaled climate projectionsfor short- and long-term scenarios – couldbe presented and discussed to connect tointernal vulnerability factors. For example,land use changes increased flood damage inboth Singas and Kumalu as an internalvulnerability factor and that can beredressed locally in each place. Any changesmust be done in the context of uncertaintyin how flood characteristics will change dueto climate change. The global situationanalysis would identify both componentsand describe how they are linked. Suggestedstrategies for understanding the completesituation analysis range from fully accept-ing responsibility, to specific internalvulnerabilities, through to wider advocacy,education, and awareness-raising strategiesregarding climate change causes andimpacts, both in the community andbeyond the community.

Rather than separating internal andexternal factors as mutually exclusive cate-gories, climate change reveals overlaps, asshown above for Singas and Kumalu.Including climate change suggests thatcontingency and flexibility, rather thanfixed strategies or rigid goals, should beconsidered for flood risk reduction.

Step threeWhen identifying indigenous strategies forreducing vulnerability to both environ-mental hazards and climate change, thefocus should be on determining howpeople have responded to longer-termchanges in the past. Examples of pastresponses that might be applicable undercurrent local realities, as well as underprojected future changes, can be foundwithin building construction methods:building homes on stilts to avoid floodingas undertaken in Singas and the construc-

3 See e.g. www.climatefrontlines.org


4 See: http://unfccc.int/national_reports/napa/items/2719.php

tion of steeply sloped roofs to avoid fire riskfrom volcanic ash and to ensure runoffduring heavy rainfall as in Baliau.

One part of identifying scientific strate-gies should be requesting data that thecommunity decides might be useful forlong-term planning. Examples are down-scaled climate scenarios or regularlyupdated remote sensed observations. Thisinformation could enable communities toprepare in advance, through for exampleidentifying appropriate crops to plant giventhe expected conditions, identifying appro-priate areas for gardens, and adjusting theagricultural growth cycle accordingly.

Step fourStrategies should include measures foraddressing climate change, especiallybeyond already experienced environmentalhazards. One example is the potential for

invasive species that could change the pestor disease profile of local agriculturalsystems. Partners outside the communitymay be needed to incorporate externalscientific knowledge about climatology andecology.

As another example of a potential strat-egy, MSV provides cases of indigenous SIDSpeoples gaining capacity for dealing withclimate change in international fora, suchas the Conference of Parties (COP) negoti-ations. Additionally, PNG is not currentlyon the United Nations’ list of Least Devel-oped Countries (LDCs), but it couldnonetheless be useful to consider pursuinga National Adaptation Programme ofAction for climate change, as completed byother SIDS that are LDCs, or to undertakea similar process such as the Governmentof St. Lucia (2003) has done.4

As such, the community could identify

Figure 8: The revised process framework, for introducing and addressing climate change

Source: Mercer et al. (2009b) with some text adjusted.

Communityengagement:

• Collaborationwith communityand stakeholders

• Identification ofcommunity goals

• Establishingrapport and trust

Indigenous strategies:

• Past and present, consideringboth short-term and long-termchanges

• Examples may include movingbuildings, migration, and ashift in crops grown

Scientific strategies:

• Past and present• Examples may include:

downscaled climate scenariosand coupling the climatemodels to hydrological modelsfor the watershed

STEP 1:COMMUNITY

ENGAGEMENT

STEP 2:IDENTIFICATION OF

VULNERABILITY FACTORS

STEP 3:IDENTIFICATION OF INDIGENOUSAND SCIENTIFIC STRATEGIES FOR

VULNERABILITY REDUCTION

Identification ofinternal and externalcomponentscontributing tovulnerability and theirlinks. Determinedthrough:• Community and

global situationanalyses

• Identification ofpriorities


strategies for addressing climate changethat go beyond the local level. The frame-work explicitly permits different levels ofaction that may be needed (e.g. local,district, national, international) whilepermitting and identifying links amongstthose different levels.

Main lessonsThe lesson to highlight from this work isthe framework’s ability to relate local andglobal topics, especially by combiningcommunity knowledge and experienceswith external scientific information andapproaches. Two main points are detailedhere for emphasis when applying theframework for climate change, based onexperience with the disaster risk reductionframework (Mercer et al., 2009a, b).

First, by identifying community goalsand priorities, and by connecting these tolocal and global situation analyses, climatechange adaptation and disaster risk reduc-

tion are supported simultaneously. Thefocus is on the community’s needs, not onclimate change or disaster risk reduction asthe starting point. For example, all threevillages in PNG identified increased vege-tation burning as being a land use changethat might exacerbate floods and erosion.The framework helps to consider how landuse has changed, affecting communityvulnerability, over past decades. By consid-ering indigenous and non-indigenousstrategies that improve land use and thatreduce burning, flood and erosion vulner-ability is reduced, irrespective of climatechange affecting those hazards. Thecommunities identified land use challengesand improvements, automatically support-ing climate change adaptation and disasterrisk reduction simultaneously.

The second point, emphasised in MSV,is that climate change and disaster riskreduction should be integrated withinwider development contexts. The threePNG villages exemplify development chal-lenges faced by many SIDS communities,irrespective of climate change. Meanwhile,through MSV, SIDS peoples express a needfor climate change research, policy, andaction that acknowledges wider develop-ment contexts.

One possible idea to explore withcaution for the PNG villages, based on theexperience there, could be reversing landuse changes to reduce flood and erosionrisk by expanding the crop profile. Cropscould include local species with multipleuses, covering combinations of erosionprevention, building materials, edibility,and livestock fodder. The potential couldbe explored for growing small amounts ofcrops for selling and trading alongside foodcrops. That could supplement incomewhile maintaining sufficient diversity incase of shifts in external markets and/orenvironmental conditions.

If such livelihood adjustments weredeemed to be appropriate, and if they wereaccompanied by locally sensitive supportfrom external partners, the changes could

Integrated strategy:

• Addressing internaland externalstrategies foraddressing climatechange

• Draw on resourcesoutside thecommunities anddevelop long-termcooperativepartnerships withpartners outside ofthe community

Reducedvulnerability

Ongoing revision and evaluation

STEP 4:INTEGRATEDSTRATEGY


potentially bring livelihood benefits whilereducing vulnerability. Indigenous knowl-edge would be needed regarding appropri-ate cropping patterns and land use.Non-indigenous local knowledge couldassist in identifying suitable crops thatmight not have been grown before in thecommunity. External scientific knowledgemight help in identifying potential climatescenarios.

Caution is essential before implemen-tation in order to fully analyse the poten-tial positive and negative consequences.The uncertainties in future climate andmarket analyses must be weighed carefullyagainst analysis of who may win and lose,in the short-term and long-term, whenlivelihood and land use systems areadjusted. For instance, the introduction ofcash cropping for coffee in Kumalu in 1954was identified by the community as leadingto later vulnerability.

This example highlights the challengesof ensuring that climate change concernsare addressed without causing or exacer-bating other problems. MSV highlightsSIDS community concerns that climatechange is only one of many major topics tobe considered, with others being liveli-hoods and disaster risk reduction. Theframework enables communities to findsolutions for adjusting and expandinglivelihoods to tackle many challengessimultaneously.

ConclusionThe revised framework has the potential todemonstrate the usefulness of combiningdisaster risk reduction and climate change(see also Kelman and Gaillard, 2008). Key

commonalities between the original andrevised frameworks are:• the four-step structure; • community members identifying factorsthat should be addressed to reduce vulner-ability; and • the strategies combining indigenous andexternal scientific knowledge.

Key differences are highlighted byFigures 2 and 8.

An important strength of the frame-work is recognising indigenous and exter-nal scientific knowledge as resources uponwhich to build successful local strategies forvulnerability reduction. The ‘guided discov-ery’ method adheres to principles withinboth disaster risk reduction and climatechange endeavours, providing step-by-stepguidelines for working with a communityto move away from solely top-downapproaches. In describing the frameworkand suggesting its application, though, thispaper does not analyse the new frame-work’s implementation or evaluation.

The main expected outcome of imple-menting the revised framework is reducedcommunity vulnerability through consider-ing disaster risk reduction and climatechange simultaneously. Both entail explic-itly recognising and acting on immediateand long-term challenges. A secondoutcome is establishing long-term coopera-tive partnerships between communities andcollaborators outside the community atregional, national, and international levels.Those partnerships would be for exchang-ing and applying local and scientific knowl-edge and expertise to design vulnerabilityreduction strategies that are locally contex-tual without neglecting wider contexts.

CONTACT DETAILSIlan Kelman and Jennifer J. WestCenter for International Climate and Environmental Research – Oslo (CICERO)PO Box 1129, Blindern, Oslo, N-0318 NorwayTel: +47 2285 8566www.ilankelman.org/contact.htmlwww.cicero.uio.no/employees/homepage.aspx?person_id=716&lang=en


Jessica MercerCAFODRomero CloseLondonSW9 9TYUK Tel: +44 20 7733 7900

REFERENCESCICERO and UNEP/GRID-Arendal (2008). Many Strong Voices: Outline

for an assessment project design. CICERO Report 2008:05.CICERO (Center for International Climate and EnvironmentalResearch, Oslo), Oslo, Norway and UNEP/GRID, Arendal, Norway.Online: www.cicero.uio.no/publications/detail.aspx?publication_id=6359&lang=EN

Department of Lands and Physical Planning (2005). Land TenureSystem in Papua New Guinea. Department of Lands and PhysicalPlanning, Port Moresby, Papua New Guinea. Online:www.lands.gov.pg/Services/Land_Administration/LA_Services/Land_Acquisition/Land_Tenure.htm

Government of Saint Lucia (2003). Saint Lucia National ClimateChange Policy and Adaptation Plan. Ministry of PhysicalDevelopment, Environment and Housing, Castries, St. Lucia.Online: www.climatechange.gov.lc/NCC_Policy-Adaptation_7April2003.pdf

Kelman, I. and J.C. Gaillard (2008). ‘Placing climate change withindisaster risk reduction.’ Disaster Advances 1(3): 3-5. Online:www.managein.org/manage/disas/Back_Issue/editorial/edit_03_0 html

Mercer, J., I. Kelman, K. Lloyd, and S. Suchet-Pearson (2008).‘Reflections on use of participatory research for disaster riskreduction.’ Area, 40(2): 172-183.

Mercer, J., I. Kelman, L. Taranis, and S. Suchet (2009a). ‘Framework forintegrating indigenous and scientific knowledge for disaster riskreduction.’ Disasters (forthcoming).

Mercer, J., I. Kelman, S. Suchet-Pearson, and K. Lloyd (2009b).‘Integrating indigenous and scientific knowledge bases for disasterrisk reduction in Papua New Guinea.’ Geografiska Annaler: SeriesB, Human Geography, 91(2): 157-183.

PNG National Statistical Office (2003). Census 2000: Population andSocial Statistics. Government of Papua New Guinea, Port Moresby,Papua New Guinea. Online: www.spc.int/prism/country/pg/stats/Pop_Soc_%20Stats/popsoc.htm

54

Introduction

I am worried for the future generation forthey might only see mangroves in the booksand that is what I fear will happen.Youth group member, Camotes, Philippines

In the face of increasing disaster events andthe ongoing and future impacts of globalclimate change, a growing body of work isemerging around community-basedresponses to preventing disasters and adapt-ing to a changing climate (known as ‘adap-tation’). Initially, adaptation interventionswere commonly considered through top-down assessments, with scientific modelsprojecting future change so that planningdecisions and policy could be made accord-ingly. Recognising that individuals andcommunities have been adapting to chang-ing climates for many years, community-based approaches to adaptation and therelated field of disaster risk reduction (DRR)

have emerged since 2005. These respond tothe realities of climate-related impacts,which are adversely affecting people’s liveli-hoods, particularly in poorer communitiesin developing countries.

As an emerging field, reflection andlearning on adaptation and disaster riskreduction (DRR) are crucial. However,there is a danger that a focus on ‘thecommunity’ fails to look within and under-stand the community itself. Children under18 are often considered the vulnerable,passive victims of disaster events and inneed of protection by parents and adults inthe community, who in turn make deci-sions and take actions on their behalf. Yetchildren have unique perceptions of theworld in which they live, and they have thecapacity to act as agents of change.

In this article, we argue that wideningcommunity participation to include chil-dren is crucial for successfully tacklingdevelopment issues in a changing climate.1

1 We use the term ‘children’ here because the research has focused primarily onparticipants under 18 years of age, including those as young as three. During theresearch process, the term ‘youth’ is also used for teenage participants.

by THOMAS TANNER, MERCEDES GARCIA, JIMENA LAZCANO,FATIMA MOLINA, GRACE MOLINA, GONZALO RODRIGUEZ, BALTZ TRIBUNALO, and FRAN SEBALLOS

Children’sparticipation incommunity-baseddisaster risk reductionand adaptation toclimate change

3

55Children’s participation in community-based disaster risk reduction and adaptation to climate change

We show how child-friendly participatorymethodologies and processes can enablechildren to take an active role in commu-nicating their perspectives to othermembers of the community, tacklingclimate change impacts, and preventingdisasters.

Aims, location, and participants The participatory action researchpresented here seeks to understand howchildren in developing countries can takeaction within their communities to preventdisasters and adapt to climate change. Weworked with child-led development proj-ects being implemented by Plan Interna-tional in El Salvador and the Philippines.2

These countries are among the most disas-ter-prone in the world, with hazardburdens in many areas compounded by ahigh incidence of poverty and dependenceon climate-sensitive natural resources.Plan’s DRR programme was stimulated byboth experiences of disaster impacts onchildren and communities, and the poten-tial for child-led initiatives demonstratedby children’s groups in these areas.

The research links with these ongoingdevelopment projects to investigate howchildren perceive risks and how theycommunicate these risks and take action.Children’s groups are actively engaged withthe research process, including reflecting ondesign, methods, results, and analysis.Research ethics are a central consideration,particularly regarding processes forinformed consent and child protection.3 Thecontinuing engagement of developmentagencies will ensure continuity, space fordiscussion, and support for initiatives onceresearchers have left the communities.

The central actors in the process, whichis ongoing in 20 communities in ElSalvador and Philippines (see Table 1), arechildren and children’s groups, althoughthe research process also works with adultsin communities and in related institutions.

Research process and methodsThe research aims to both foster and studythe dynamics of children’s participation incommunity development. In linking withongoing Plan projects, the research processhas been able provide an avenue for reflec-

2 The ongoing work is being led by the Institute of Development Studies (IDS), UK, inpartnership with the University of El Salvador, the Center for Disaster Preparedness (CDP),Plan El Salvador, and Plan Philippines. The research is funded by Plan International and theUK Economic and Social Research Council (ESRC) until October 2010.3 Research ethics are carefully considered for this work, including processes of informedconsent from children, parents/guardians and teachers, careful explanation of the voluntarynature of the work, the right to non-participation in any activity, strict checks and protocolson child protection, and guaranteed anonymity in data, analysis, and outputs.

Country Region Community

El Salvador Chalatenango El Coyolar, El Pepetón, La Montañona, Los Prados, Potrerillos

La Libertad Alvarez, El Matazano 1, San Isidro

San Salvador El Cipres II, Palo Grande

Philippines Camotes Lower Poblacion, Villa Hermosa, Teguis

Eastern Samar Cadian, Caga-ut, Barobo

Southern Leyte Catig, Guinsaugon, Pinut-an

Rizal Banaba

Table 1: Child-led adaptation and DRR action research locations

60 �Tanner, Garcia, Lazcano, Molina F, Molina G, Rodriguez, Tribunalo, and Seballos56

tion and learning in both the communitiesand Plan offices alike. Researchers workalongside Plan staff members, who have along-term engagement in the case studycommunities, providing both greater rapportwith the children and longer-term sustain-ability of the action research process.4 Toallow a comparative perspective, the researchengaged children’s groups at different stagesof engagement in the Plan disaster riskreduction and adaptation projects, includingthose who had not yet participated.

In the field, children are first introducedto the researchers and the research aimsusing simple icebreaker techniques. Follow-ing consent from parents and teachers, thechildren are asked for their informedconsent to participate in the process, andencouraged to leave if they are not enjoyingit (‘methods should be fun’ was the motto).Research methods were piloted in an earlyphase of the research to develop a toolkit ofapproaches that are both culturally appro-priate and enjoyable. These include estab-lished activities for vulnerability andcapacity assessment such as hazard identi-fication and ranking grids, mapping vulner-abilities and capacities in the community,stakeholder analysis and mapping, grouptimelines, guided walks, and poems.However, many of these were modified foruse with children. The research also devel-oped hybrid methods to capture riskperception, risk communication, andaction. These included short video ‘adverts’for adaptation and risk reduction projects,poems and songs, acting out hazards andrisks in situ, drawings to represent motiva-tions for participation, information andmessage flow diagrams, and local gamesused to differentiate group characteristicsor opinions (see Molina, Molina, andTanner in the Tips for Trainers section ofthis issue for descriptions of some of thesemethods, and how established methodswere modified for use with children).

Semi-structured interviews were carriedout with children in leadership positionsand with small friendship groups, as well aswith groups of adults from the communityincluding local disaster managementcommittees, officials and parents, govern-mental entities (local government,ministries of education and health), andNGOs in the area. In both adult- and child-oriented research, groups were separated byage and by gender where possible.

Research highlights to date: keymessagesAlthough ongoing, the research is reveal-ing important insights for the policy andpractice of climate adaptation and disasterrisk reduction (DRR) at community level.It shows that children and young peoplecan participate in climate change and DRRactivities in a number of different ways:• as analysers of risk and risk reductionactivities; • as designers and implementers of proj-ects;• as communicators of risks and riskmanagement options (especially commu-nications to parents, other adults, or thoseoutside the community);• as mobilisers of resources and people;and• as constructors of social networks andcapital.

The conditions for such participationare varied, but the research is investigatinghow the nature and mode of participationis influenced by a combination of commu-nity and institutional dynamics, livelihoodsstrategies and living standards, andcultural factors, as well as the hazardburden facing the communities.

Children can conceptualise and analyse therisks affecting their livesThe research demonstrates first and fore-most that children represent more than

4 The researchers are aware of the contradiction in using participatory research tools forprocesses that remain largely extractive. This is why they are working through theongoing child-led community-based development programmes of Plan International.


simply a passive, vulnerable group insociety who require protection throughdecisions made by adults. Rather, they holda valuable understanding of the risks facingtheir lives, not only those related to naturalhazards but also human-induced risks, andsocietal risks (Table 2). This suggests thatinterventions that focus on climate-relatedrisks alone are unlikely to reflect commu-nity perceptions or priorities.

Risk perceptions are related to the livedexperience of individuals as well as thesocio-economic and geographic context

within which they are situated, and reflectcombinations of age, gender, educationalattainment, and occupation. Table 3 showshow perceptions of types of hazard and risktypes in the Philippines were linked togender and age differences.

Similarly, motivations for participationin group activities also showed markedgender differences. In El Salvador, forexample, both genders (46% of femalesand 57% of males) stated learning as theirmain motivation. However, girls’ motiva-tions are more likely to concern others

Natural hazards Hurricanes, earthquakes, windstorms, droughts, heavy rains, falling trees, rivers andgorges, rockfalls, landslides.

Human-induced risks Electricity posts, retention walls, poorly maintained housing, houses near ravines,burning waste, contaminated waste, winding and steep roads, rainy season waterponding, houses located in landslide/rockfall zones.

Social risks Speeding traffic on the main road through the community, gangs, drug and alcoholabuse, poverty, delinquency, unemployment.

Table 2: Risks identified by children during research in Palo Grande, El Salvador

Table 3: Gender and age differences in risk perceptions in the Philippines

Identified predominantly by which age/gender group

All (based on personal experience) although ‘extreme weather’ isdominant among children as it prevents access to school or play.

Adults, as providers for the family (women, as household budgetmanagers, stressed commodity prices).

Adults.

Men, as farmers.

Women and children as witnesses of male perpetrators, and sometimesas victims of drunken behaviour (wives).

Women and children (community health workers and mothers, and thosewho are susceptible).

Mainly children, due to school-based learning. Although women are oftenaware too, men focus on meeting immediate needs of the family e.g.food, school allowance.

Mainly children, primarily due to school-based learning and Plan training.

Children, primarily due to school-based learning.

Hazard/risk type

‘Natural disasters’

Food and financial crisis

Unemployment/livelihoodopportunities

Agricultural hazards such aspests and drought

Social hazards (gambling,drugs, community conflict)

Health and disease

Environmentally unsoundlivelihood practices

Poor waste management

Global environmental problems


rather than the ‘self ’, including helpingother people and teamwork. Boys weremore likely to be motivated by activitieswhich benefit them as individuals, such ashaving fun and making new friends. Otherreasons for participating included theexchange of experiences, protecting theenvironment, and the support of the group.

Children can be the agents of change totackle disasters and climate changeIn many of the study communities, childrenwere already taking community-basedaction to reduce disaster risks. In somecases this was explicitly linked to adaptingto the changing climate. In some areas, Plansupport had enabled the development of

In the community of Potrerillos inChalatenango Department, El Salvador,analysis and prioritisation by a children’sgroup pinpointed risk to children from aravine neighbouring the school. Enlistingthe help of other community members,they led a process to create a supportingwall at the rear of the school and theconstruction of a concrete platform tostabilise the grounds and create a safearea which is now used for recreationalactivities.

Box 1: School safety mini-projects in El Salvador

Children mixing cement for schoolretaining wall, Potrerillos, El Salvador. Ph

oto:

Tho

mas

Tan

ner

Children in community groups in Teguis, on the Camotes Islands of the Philippines, have worked together torestore degraded mangrove ecosystems by assembling teams to collect and replant saplings in sanctuariesbehind protective barriers. The groups combined knowledge from a range of sources including schooltextbooks, training sessions, discussion with parents, and the media. In doing so they identified the multiplebenefits of restoration, including livelihoods gains through the provision of spawning grounds, biodiversitygains, disaster protection from typhoon winds and surges, adaptation to climate change impacts, and theremoval of atmospheric greenhouse gases causing climate change. Notably, in the mangrove planting it isusually the girls who participate as the boys often go fishing with the fathers.

Box 2: Child-led mangrove restoration projects in the Philippines

Phot

o: T

hom

as T

anne

rChild-led mangroverestoration project,Camotes Islands,Philippines.


mini-projects conceived, managed, andimplemented by the children’s groups,based on risks prioritised during vulnera-bility and capacity assessments.

Community-based projects havedemonstrated children’s ability to worktogether to tackle problems (Boxes 1, 2 and3). They have given the participants valu-able experiences in group decision-making,teamwork, project management, financialaccounting, and dissemination. They alsocreate an awareness locally of children asagents of change, often stimulating supportand cooperation from adults within thecommunity.

In El Salvador, researchers found thatyounger children tend to work more onpreventative measures, passing on infor-mation and understanding from trainingreceived from outside agencies to others.Older children have been able to furtherdevelop guidance from Plan training events

and have taken the initiative in developingactions to mitigate risks, such as buildinglive barriers, improving waste disposalcontainers, and trimming trees.

Children can act as risk communicators toothers in the community

Children have voice – they are not justpassive listeners, they can speak of the realsituation. I can attest to that since during thedeath of my grandmother, I was able to sharewhat I’ve learnt about disaster risk reductionand climate change adaptation to mycousins, grandparents, and other relatives.Member, Young EnvironmentalGuardians of Poro, Camotes Islands,Philippines

Our research suggests that children can playan important role in communicating aboutrisk and climate change within and beyond

During Hurricane Stan in 2005, theYouth Emergency Committeefacilitated the process of evacuatingseven families whose houses were atrisk of collapsing. They establishedand managed an emergency camp inthe community’s school building, andgrouped together to request supportfrom the mayor’s office and otherinstitutions, constructing a supportnetwork for the affected families untilthey were donated safer and strongerhouses several months later.

Their actions gained the YouthGroup strong recognition within thecommunity. They continue to work oncommunity projects, supported byNGOs, and the CommunityDevelopment Association, whichlegally represents the community tothe mayor’s office, has recognisedtheir role and is looking to includethem in the future.

Box 3: Mobilisation during emergencies in El Ciprés

Members of the Youth EmergencyCommittee in El Ciprés, El Salvador. Ph

oto:

Jim

ena

Lazc

ano


Presenting results of child-led vulnerability andcapacity assessment,Potrerillos, El Salvador.


Phot

o: T

hom

as T

anne

r


the community (Box 4). Children concep-tualise and understand risks in their ownterms, often relating hazards and factorsdriving vulnerability to their own experi-ences (such as localised landslides, pollutedwatercourses, or dangerous roads). Theycombine their own understanding withtechnical information gained from externalinformation sources such as the media,school curricula, and training sessions. Chil-dren’s understanding of the implications ofwider-scale processes, such as globalclimate change, for local livelihoods is oftenmore advanced than that of adults.

Children’s groups can effectively mobilisepeople In the Philippines, child-led mobilisationaround environmental issues such asmining in Eastern Samar (see Box 5) andrelocation of schools away from disasterzones in communities neighbouring Guin-saugon, Southern Leyte demonstrate thepotential of children’s groups to mobiliseothers. Drawing in other members of thecommunity and developing socialnetworks, they have mobilised constituen-cies behind key issues affecting theircommunities.

Buklod ng Kabataan (Children Bonded Together), a group of children and youth in Banaba, has become aneffective advocate of DRR and adaptation through theatre performances. Using singing, dancing, andacting, they communicated their perceptions of local hazards such as flooding and river bank erosion, andthe potentially destructive impacts of these hazards on people’s livelihoods, properties, and lives. The groupalso became dynamic communicators of risk reduction activities such as tree planting and solid wastemanagement which can achieve a cleaner environment, fresh air, stabilise river banks and reduce riverpollution, and reduce health risks. Through their advocacy, different sectors of the community andstakeholders up to the national scale were encouraged to take action.

Box 4: Communicating risks and responses through child-led theatre in the Rizal,Philippines

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Communicating riskthrough children’stheatre in thePhilippines.


Future challenges: bringing children tothe fore in community-based adaptationand DRRThe research highlights the potential ofputting children at the heart of community-based efforts to tackle climate changeimpacts. They form a central part of thecommunity yet their potential as agents ofchange has been largely overlooked bycommunity-based adaptation programmes.As the generation inheriting climateimpacts, they have a right to be included indecision-making affecting their future. Thisresearch demonstrates that this moralimperative is reinforced by their demon-strated ability to conceptualise, analyse,communicate, and take action to improvetheir current and future wellbeing in a

changing climate. Scaling up the participation of children

in DRR and adaptation requires enhancedefforts to incorporate children’s perspec-tives, knowledge, and potential for actioninto regular community-driven develop-ment programmes. Some of the participa-tory methods we share here and later inthis issue will facilitate this. However,scaling up also requires advocacy outsideof communities to raise awareness of chil-dren’s contribution and to bring aboutpolicy changes that enable children toparticipate in community DRR and adap-tation processes.

The research also contributes to agrowing awareness of the need to differen-tiate DRR and adaptation activities and

Children in the community of Caga-ut in Eastern Samar, the Philippines have been communicating a rangeof environmental, economic, and social risks posed by chromite mining to a wide audience. Children directlytargeted miners, operators, and those licensing the mining, communicating their concerns through meetingsand dialogue. Alongside this they have led dialogue with family, resident miners, and community membersabout the risks posed by the mining activities to present and future generations.

Box 5: Child-led anti-mining advocacy in Eastern Samar, Philippines

Participatory video shoot on chromite mining activity at Caga-ut, Eastern Samar, Philippines. Phot

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processes by different groups withincommunities (Tanner and Mitchell, 2008).Within children’s groups there are differ-ences in perceptions of risks and prioriti-sation of adaptation and risk reductionactions, depending on age and gender.There may also be differences between, forexample, children not participating inschools or in established groups and thosewho do participate. At the same time, aholistic vision for child-led adaptation andDRR is required that includes both adultsand children to provide wider and moreconsensual support for actions at thecommunity level.

CONTACT DETAILSThomas TannerResearch FellowInstitute of Development Studies University of Sussex BrightonUKTel: + 44 1273 915766Email: [email protected] Website: www.ids.ac.uk/climatechange

AUTHORS’ INSTITUTIONAL AFFILIATIONS Mercedes Garcia – Plan El Salvador.Fatima Molina, Grace Molina – Center for Disaster Preparedness(CDP), Philippines.Jimena Lazcano – Independent consultant. Gonzalo Rodriguez – National University of El Salvador.Thomas Tanner, Fran Seballos – Institute of Development Studies (IDS),UK.Baltz Tribunalo – Plan Philippines.

ACKNOWLEDGEMENTSThe authors would like to thank all participants in the research and aregrateful for logistical and financial support from Plan International andthe UK Economic and Social Research Council (ESRC).

FURTHER INFORMATIONFor further information about work on children, disaster risk reduction,and climate change adaptation please visit:www.childreninachangingclimate.org. Children in a Changing Climateis a global action-research, advocacy, and learning programme,bringing together leading research and development organisationswith a commitment to share knowledge, coordinate activities, andwork with children as protagonists with a voice needing to be heard.

REFERENCESTanner, T.M. and T. Mitchell (Eds.) (2008) ‘Poverty in a Changing

Climate.’ IDS Bulletin 39 (4). Institute of Development Studies,University of Sussex: UK

65

Introduction The Andes have daily (rather thanseasonal) temperature extremes, unpre-dictable weather from one year to the next,and a myriad of environmental niches scat-tered across the elevations. To survive insuch an adverse environment, highlandfarming evolved to be robust, with complexsoil and water management, a rich diver-sity of crops and varieties, and plantingschemes adapted to altitude. Much of thework is done through collective labour andsharecropping. Spanish colonialism andthen the market-orientation of the lastcentury privileged distant consumerdemands and external knowledge andtechnology. As a result, local knowledgeand practice have been largely supplanted,and agriculture is based on fewer crops andvarieties and less sophisticated plantingschemes. In addition, the arrival of indus-trial-era technology, such as mechanisedtillage and agrochemicals, commonly hasled to the degradation of soil, water, andbiological resources. Climate change islikely to aggravate greatly this already

precarious situation. Recent studies of global climate change

paint a bleak picture for the Andes. TheUN’s Inter-governmental Panel on ClimateChange (IPCC) has shortened previouspredictions for the melting of Andeanglaciers from 30 to 15 years. Droughts andflooding will become more common in theregion, as will wind and cyclones, diseaseand pests, soil erosion, and losses of soilorganic matter. Stream flow will decrease.

Researchers have proposed expert-ledsolutions, such as improved climaticmodelling and forecasting, and the breed-ing of drought-tolerant crop varieties.Climate models are most useful for deter-mining large-scale mean temperatures overrelatively uniform geographies – not theAndes! General forecasts are of little helpto farmers who are more interested in local,short-term predictions, especially of rain-fall. For these sorts of predictions, ruralpeople are often at least as accurate asmeteorologists (Orlove et al., 2002).Instead, mountain people need greaterability to cope with weather fluctuations.

by STEPHEN SHERWOOD and JEFFERY BENTLEY

Katalysis: helpingAndean farmers adaptto climate change 4

60 � Sherwood and Bentley66

Drought-tolerant varieties may be impor-tant in some regions, but in the Andes,traditional crops and potato varieties arealready adapted to a much wider range ofaltitudes than previously suspected (deHaan, 2009). Maintaining the varietiesthat farmers have and love may be asimportant as breeding new ones.

We believe that farmers need to shapethe research agenda according to localpriorities, and that smallholders andresearchers should learn together. Theseare the aims of the Katalysis approach toclimate change adaptation described in thispaper.

Katalysis: an experiential learning-action approach

Piloting the Katalysis approach During 2005 and 2006, with a grant of

US$60,000 from the Challenge Programon Water and Food, World Neighborsworked with several partner organisations,especially the Ecuadorian Network forCommunity-based Natural ResourceManagement (MACRENA) and the Boli-vian Programme for Integrated Develop-ment of Potosí (PRODINPO).1 The workinvolved communities in intensive, locallyled learning-action on climate change andresilience, including process design,curriculum development, and subsequentfollow-up visits to document learning andinnovations. We named the approach‘Katalysis’ because of the catalytic changesit inspired. The pilot project worked at twohighland locations in Bolivia and Ecuador,in the poorest regions of the Andes (Figures1 and 2). Both sites are semi-arid, withmarked dry seasons and average yearlyrainfall of between 300 and 600 mm.

1 See www.waterandfood.org

Figure 1: Ambuqui watershed in northern Ecuador, 2000 to 3100 metres above sea level.

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67Katalysis: helping Andean farmers adapt to climate change

During the pilot period we worked with107 families, selected according to criteriaestablished during community meetings.Partners subsequently incorporated partsof the approach at new sites in Bolivia(Potosí), Peru (Apurímac), and Ecuador(Imbabura and Pichincha), enabling Katal-ysis to reach over 500 families.

Katalysis builds on the ‘discovery learn-ing’ tradition of Farmer Field Schools(FFS), in which farmers share their experi-ence, strengthen their ecological literacythrough learning experiments, and identifyways of improving agriculture throughgroup problem-solving (Box 1).

In Katalysis the focus is on enhancinglocal knowledge of climate change andcreating opportunities for coping with it.Katalysis starts with the experience andpriorities of participants (usually marriedcouples). Through problem-solving andaction around priority interests, the focusshifts from concerns at the individual farm

Katalysis emerged from Farmer FieldSchools (FFS) in South-East Asia and morerecently the Andes (Pumisacho andSherwood, 2005). Field Schools involveabout 25 farmers who manage learningplots. Groups focus on Integrated PestManagement (IPM), meeting weekly toconduct agroecological analyses and runexperiments, such as insect zoos to learnabout the life cycles of pests. Through jointlearning on potato IPM, Andean farmerswere able to reduce their reliance onagrochemicals, saving money, time, andavoiding harm to their families and theenvironment.

In practice, the FFS method hasbroadened beyond IPM to a more holisticfocus on plant and soil health. Over time,FFS participants fill knowledge gaps thatprevent them from innovating, anddiscover new ways to improve theiragriculture. FFS ultimately aspires tocatalyse the innovative capacity of farmers.

Box 1: The educational roots of Katalysis:Farmer Field Schools

Figure 2: San Pedro watershed in northern Potosí, Bolivia, 2000 to 4000 metres above sea level.

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level to those at community and watershedlevel (Figure 3).

The Katalysis processIn each location, we convened communi-ties and asked them to select a group ofabout 20 farmers willing to meet every twoweeks for six months for co-learning andaction on climate change. Learningmethods included cross-learning betweenfamilies, visits to local farmers who areparticularly innovative, discovery-basedlearning, and farmer-led experimentation.

Visits to local innovatorsEarly on we seek to inspire participantsthrough a learning tour of outstandinglocal innovators, to see new possibilities.For example, in Ambuqui we visited thefarm of two graduates from our first cycle,Alfonso and Olga Juma, who throughimproving their management of organicmatter and mulching and by making a rela-tively small investment in tubing, a filter,

drip tape, and the creative use of plants andanimals, transformed their farm from a‘desert wasteland’ into an ‘oasis’ in just 18months. As don Alfonso said:

Once I learnt where the water was, I couldgrow that small plot of alfalfa. With thealfalfa, I could have cuy [guinea pig]. Thecuy produced manure for my soil. We stillhave a long way to go, but with just thecuyes, we have already paid back our $200investment in materials. When I started wehad no cuy. Today we have 300 cuyes thatare worth about $5.00 each or $1,500 inall. That is much more than I used to earnin the city. Now I can stay home with myfamily. With the manure, I’ve planted 75mango and avocado trees. My farm hasbecome an oasis. Every year it will growgreener and greener. My farm used to bebarren of plants. My biggest problem todayis that I’ve run out of land to plant.

Recently Alfonso and Olga bought twomore hectares of neighbouring land. Katal-

Figure 3: Katalysis involves farmers in self-directed learning about climate change


ysis has helped dozens of families generatesuch locally financed transformations.

Dream mapsAfter learning visits, we asked participantsto identify their goals for the future througha ‘dream map’, which was then presentedto their colleagues for comments andadvice (Figure 4). The group then organ-ised to help each participant advancetowards his or her dreams.

Co-learning about climate changeWe adapted a participatory method devel-oped by the organisation Agrecol-Andesto study local indicators of climate.2

Through field visits and interactive work-shops, participants explained how they‘read’ wind patterns, cloud formations, theposition of rainbows, the resolution ofstars, and animal behaviour (e.g. wherefoxes deposited their faeces, location of

terrestrial bird eggs, or the migrationpatterns of different animals) to predictthe coming season.

We found that ‘ease of observation’ and‘perceived relevance’ influenced localknowledge on climate (Figure 5). Knowl-edge was ‘deepest’ for topics that were bothimportant to local people and easy for themto observe. This included local weatherprediction – will the rains come early orwill this be a cold or warm year? Localknowledge was largely missing for topicsthat were both difficult to observe and oflow perceived importance. For example,highland farmers knew little about seasurface temperatures and their relationshipto local weather patterns. There usuallywere no local explanations for such topics.

Our priority was practicality, so wefocused attention on helping people toovercome weaknesses in their knowledge.This involved introducing new tools of

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Figure 4: Margoth presents her ‘map of dreams’ – her project to transform her farm through water harvesting.

2 See www.agrecolandes.org


observation and information, e.g. simpleweather stations or rainfall data that couldreveal historical weather trends.

Co-learning about water managementIt soon became clear in both Bolivia andEcuador that water management wascentral for learning how to cope withclimate change. Communities were suffer-ing from both drought and floods at differ-ent times of year. The real challenge wasbetter water management to help copewith drought and prevent flooding anderosion of soils during heavy rains. Withour partners, we developed over 30 activi-ties for discovery learning on four watermanagement-related themes: water andthe home; water on the farm; watershedand the community; and water and theworld and global warming.

We started with activities to help peoplesee the value of the rain that fell on theirfields, homes, and roadways, which justdrained away. For example, we measuredthe runoff of an ordinary rooftop, which

amounted to thousands of litres of watereach rainfall. Then, we valued it, applyingthe local market price for bottled water(which in the Andes, is commonly moreexpensive than gasoline!). Participantslearnt that they give away tens of thousandsof dollars of water each year.

We then explored ways of storing water.Participants often want to invest in expen-sive water storage tanks, but we introducedlearning experiments on less costly alter-natives, such as the holding capacity of soilorganic matter (SOM). By weighing socksfilled with organic matter before and afterimmersing them in a bucket of water,farmers learnt that their fields holdmillions of litres of water and that increas-ing SOM by 1% across a hectare couldcapture an additional 100,000 litres eachrainfall. Participants then identified manyways of increasing the organic matter insoil to capture water, e.g. incorporatingcrop residues, applying manure, reducingtillage, dead and live barriers, conservationditches, and covering the soil through

Figure 5: Strengths and weaknesses of rural technical knowledge associated withclimate and agriculture (based on Bentley, 1991)

(-) Ease of observation (+)(influenced by size, time, and scale)

(-) Im

port

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(+)

(per

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imm

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Gritty• biological indicators of weather• lunar stages and water• wind patterns• varietal resistance to disease• effect of trees/bushes on sub-surface water

Deep• water sources• drought tolerance of crops• phenology of food crops• reproduction of cattle• lifecycle of bees• rainfall patterns

Thin• phenology of non-food crops• soil cover• varietal resistance to disease• predator insects (wasps)• water harvesting• soil erosion

Empty• evapotransportation• ocean temperatures• lifecycle of soil pests• disease cycles• parasitoids and entomopathogens• water capture in soils


Figure 6: New appreciation for the water-holding capacity of soils has led to heightened interest in cover crops.

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mulches and cover crops. After evaluatingoptions, the farmers found that cover cropswere the most cost-effective way of increas-ing SOM (Figure 6).

Farmers also conducted studies onalternative types of irrigation, comparingcanal irrigation, tubing, sprinklers, anddrip tapes. Though more expensive, driptapes were found to be 20 times more effi-cient than sprinklers, which led one partic-ipant to conclude, ‘A farmer can eitherbuild his tank 20 times as large or use driptapes’.

Individual and collective actionOver time, the priority of Katalysis hasshifted from individual to collective action.Each individual took responsibility forcollecting weather data, which was inte-grated into a report and discussions onlocal weather patterns. Some groupsdecided to organise to measure the flow ofdifferent streams in relation to rainfallacross the year. We held mingas (group

work parties), during which participantsworked together to design and install inno-vations such as soil conservation and watercatchments on different farms (Figure 7).This usually included a training visit froma more experienced farmer to guide theactivity. We then supported follow-up visitsacross farms to document and discussinnovations at community or watershedlevel, such as controlling goats and cattle,the reforestation of a vulnerable hillside, orplanting a windbreak.

As in the example of Alfonso and OlgaJuma, early successes built self-confidencein participants, stimulating enthusiasmand creative ideas. Participants beganmore sophisticated activities and moreambitious tasks. For example, fourcommunities living on the Ilalo Volcano innorthern Ecuador began by addressing apriority agenda around soil conservationand water harvesting for home consump-tion and gardens. Through group learning,cross-visits, and mingas, participants met

Figure 7: A minga or work party helps a colleague install his first geomembrane tank.

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one another and built friendships. This ledto a more ambitious agenda. They createda three-dimensional map of their water-shed, which identified water sources,vulnerable areas, and conflict zones(Figure 8).

Subsequent field studies and discus-sions led to a management plan, which thecommunities then turned into a projectproposal that was later funded by themunicipality.

Other groups have created their ownsavings and loan funds to help financeinvestments in purchasing fencing materi-als to control animals, local weatherstations, and water harvesting tanks ormicro-irrigation technology.

Why Katalysis worksIt is too early to think about long-termimpacts of Katalysis, but we feel itssuccesses so far are due to the following: • Draws on time-proven approaches, suchas ‘farmer-to-farmer’ (see Bunch, 1982 and

Holt-Gimenez, 2006) and FFS (see vanden Berg and Jiggins, 2007). • Adds value to farming experience incommunities, drawing on the experiencesof both wealthier and poorer smallholders,and involves families rather than individu-als to address gender concerns.• Gives participants control over a flexiblecurriculum co-designed by the group andthe facilitator. • Focuses on technologies already in use bylocal farmers. Sometimes introducesoutside technology, such as micro-irriga-tion, but only after local alternatives havebeen exhausted and after careful cost-benefit analysis. • Quick, tangible successes are the primarysource of motivation. No gift-giving orsubsidies. Seed money is provided for localsavings and credit groups, with loans paidback through returns on investments.• Starts simple and diversifies with time.Early experiments require small invest-ments and are of limited scale. Begins by

Figure 8: Three-dimensional map of watershed, Ilalo Volcano, northern Ecuador.

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emphasising individual farm-level priori-ties and then works towards addressingconcerns at social, community, and water-shed level.• Many farmers continue to invest inchanges well after the Katalysis experience.

ConstraintsAs with other people-centred, community-based approaches, Katalysis faces someobstacles:• Like FFS, Katalysis is in conflict withdominant institutional designs (Schut andSherwood, 2007). For example, the exter-nal agent ‘accompanies’ the learning-actionprocess rather than providing heavy guid-ance. Outcomes depend on the creativity ofparticipants rather than on pre-deter-mined calendars, budgets, and outputs.Katalysis depends on an open agenda, flex-ible funding, and strong facilitation skills,which may lie outside the capabilities ofcommon research and development proj-ects.• The initial spark of Katalysis often camefrom visits to farms run by innovative fami-lies. While the visitors from other commu-nities are impressed by the examples ofthese extraordinary farms, sometimes theprospect of catching up seems overwhelm-ing. Farmers have to be helped to innovateat their own pace, sometimes requiringspecial attention, technical support, andencouragement over long periods of time.• Severe degradation of watersheds is nowcharacteristic of much of the Andes.Reversing this environmental damage cantake years and demands investments ininfrastructure beyond the capabilities ofindividuals and communities.

ConclusionsFrom previous work on pest management(Bentley, 1989), we knew that farmers oftenmissed opportunities for improving theiragriculture because of knowledge gaps.Katalysis aims at helping rural peoplebridge those gaps so that they maycreatively manage their own resources in

response to the growing threat of climatechange.

Katalysis builds on Farmer FieldSchools and other flexible, knowledge-based approaches for improving agricul-ture. Participants aim to enhance theenvironmental resilience of their farms andproduction systems through targetedlearning and action about water, soils,plants, and animals. They find better waysof using local resources (e.g. cover crops),complemented by experiments with exter-nal, but accessible, technologies (e.g. low-cost weather stations, micro-irrigationequipment).

Early results are promising. Katalysishas enabled people to discover hiddensources of water and to gain new appreci-ation for the potential of plants andanimals. Participants have ‘greened’ previ-ously dry and barren farms, increasing landcover and family wealth.

A sensitive appreciation of local knowl-edge and creative adaptations, blendedwith scientific insights, is a realistic way tohelp farmers start addressing climatechange. But that is easier said than done.Development practitioners need to bestrong facilitators with flexibleprogrammes and funding to support open-ended learning-action, which goes againstthe grain of standard pre-planned projectsand technology transfer. Donor and devel-opment agencies must hand over moretrust and responsibility to communities todesign and implement their own agendas.Local people and outsiders need to be freeto learn from each other, and to learn asthey go along.


CONTACT DETAILSStephen SherwoodRural Innovation SpecialistEkoRural and Wageningen UniversityAvenida Florencia 203 y BramanteCumbayaQuitoEcuadorTel: +593 2 289 1669Email: [email protected]

Jeffery BentleyAgricultural AnthropologistInternational ConsultantCasilla 2695CochabambaBoliviaTel: +591 7 938 9455Email: [email protected]

REFERENCESBentley, J.W. (1989). 'What farmers don't know can't help them: the

strengths and weaknesses of indigenous technical knowledge inHonduras.' Agriculture and Human Values 6(3), pp. 25-31

Bentley, J.W. (1991). 'The epistemology of plant protection: Hondurancampesinsos knowledge of pests and natural enemies.' CropProtection for Resource-Poor Farmers. East Sussex, UK

Bunch, R. (1982). Two Ears of Corn: a guide to people-centredagricultural development. World Neighbors: Oklahoma City, OK

De Haan, S. (2009). Potato Diversity at Height: multiple dimensionsof farmer-driven in-situ conservation in the Andes. PhDdissertation, Wageningen University: The Netherlands

Holt-Gimenez (2006). Campesino a Campesino: Voices from LatinAmerica's farmer-to-farmer movement for sustainable agriculture.Food First Books: Oakland, CA

Magrin, G., C. Gay García, D. Cruz Choque, J. C. Giménez, A. R.Moreno, G. J. Nagy, C. Nobre and A. Villamizar (2007). ‘LatinAmerica. Climate Change 2007: Impacts, Adaptation andVulnerability.’ Contribution of Working Group II to the FourthAssessment Report of the Intergovernmental Panel on ClimateChange, M.L. Parry, O.F. Canziani, J.P. Palutikof, P.J. van der Lindenand C.E. Hanson (Eds). Cambridge University Press: Cambridge,UK, 581-615

Orlove, B. S., John C. H. Chiang and Mark A. Cane (2002).‘Ethnoclimatology in the Andes.’ American Scientist, 90:428-435.

Pumisacho, M. and S. Sherwood (Eds.) (2005). Guía Metodológicasobre ECAs: escuelas de campo de agricultores.FAO/CIP/INIAP/WN. Quito, Ecuador. 288 pp. See:www.farmerfieldschool.info

Schut, M. and S. Sherwood (2007). ‘FFS in translation: scaling up inname, but not in meaning.’ LEISA Magazine on Low ExternalInput and Sustainable Agriculture, December, 24(4): 28-29

van den Berg, H. and J. Jiggins (2007). ‘Investing in farmers: theimpacts of Farmer Field Schools in relation to IPM.’ WorldDevelopment, 35(4): 663-686

76

Introduction In this article I critically reflect on partici-patory processes in vulnerability researchin the context of community-based adap-tation to climate change (CBA). CBA is anemerging form of bottom-up adaptation toclimate change. CBA is distinct in that itfocuses largely on empowerment or‘ helping people to help themselves’.Planned CBA aims to reduce vulnerabilityto climate change by addressing local prior-ities and building on local knowledge andcapacity. Unequivocally, CBA is somethingdone ‘with’ rather than ‘to’ communities. Assuch, participatory learning and action(PLA) methodologies have an importantrole. CBA-specific toolkits are emerging,based largely on methods established in thedisaster risk reduction (DRR) field.

Here, I reflect on the application ofvarious participatory methods in the initialresearch or scoping stages, where the goalis to establish the problem and reflect localvoices in knowledge creation. These reflec-tions are based on my experiences conduct-ing PhD research in rural Vanuatu, a

Pacific island Least Developed Country(LDC). I discuss the strengths and limita-tions of specific methods in the Vanuatusocio-cultural and climatic context andconvey some lessons learnt from undertak-ing participatory vulnerability researchoutside the context of a funded project. Iintend these observations to be useful forpractitioners working in the CBA sphere,as vulnerability research is important foradvancing knowledge for suitable adapta-tion and is often an important precursor toplanning and action in a project setting.

Vanuatu and climate changeMy research took place in three ruralcommunities in Vanuatu between 2006and 2008: Tangoa Island (SanmaProvince), Mangaliliu Village/LelepaIsland (Shefa Province), and Mota Lava(Torba Province) (see Figure 1).

Vanuatu is in the path of tropicalcyclones (November to May). It is subjectto cycles of El Niño and La Niña, which,respectively, increase the risks of droughtsand floods. Future climate change and sea-

by OLIVIA WARRICK

5Ethics and methods inresearch for community-based adaptation:reflections from ruralVanuatu

77Ethics and methods in research for community-based adaptation: reflections from rural Vanuatu

level rise threaten to exacerbate the risksalready posed from current variability andextremes. These will be the most significantimplications in the short to medium term.

Generally, the implications of climatechange are not yet ‘obvious’ at the commu-nity scale. Despite Vanuatu’s highly variableand often disruptive climate, communities

Figure 1: Map of Vanuatu

Map prepared by Max Oulton, Department of Geography, Tourism and Environmental Planning, The Universityof Waikato.

60 � Warrick78

have been dealing with climate stress forgenerations and, accordingly, participantsin my research did not always have strongviews on climate stress or climate change,and did not always consider these problemsas priority concerns in the communitycontext.

Climate change was an issue aboutwhich most participants already had a basicknowledge via radio, school, or governmentawareness programmes. In my introductorymeeting in each community (and through-out the research process) I presented asimple awareness talk aided by pictures anddiagrams. There were many questions andpeople showed much interest.

Research context and methodologyI spent approximately two months in eachcommunity. My research – in response togaps identified by the Vanuatu Meteorolog-ical Service (VMS) – aimed to characteriselocal perceptions of vulnerability to climatestress to help bridge the gap between local-scale realities and higher scale decision-making processes for adaptation in Vanuatuand the wider Pacific. I worked via the VMSand the Vanuatu Cultural Centre (VCC).Field sites were chosen in response to VMS-identified data gaps. In each community Iworked alongside a VCC fieldworker volun-teer (or equivalent). The fieldworkersgained an in-depth understanding ofclimate change issues and communitypriorities which will enhance knowledgesharing and help to facilitate action past myvisits. The VMS will use the research resultsto assist in adaptation project development.Although Vanuatu currently lacks ongoingcommunity adaptation projects theresearch is intended to increase the knowl-edge base in Vanuatu to enable this to occur,particularly as part of the implementationof Vanuatu’s National AdaptationProgramme of Action (NAPA), completedin 2007.

As this was a PhD, my ‘on-the-ground’research was not linked to a specific projector funding. There was no promise of exter-

nally facilitated follow-up activities in thecommunities involved. There are feworganisations engaged in relevant andongoing community-based project work inthe outer islands of Vanuatu that I couldhave successfully linked up with. Wherethere is no clear, tangible, or materialbenefit for the community, the ethics ofsuch an approach may be questioned.However, similar concerns may relate toongoing adaptation work that is notinformed by a foundation of intensive,detailed research. In this article, I willrestrict discussion to the ethics and qualityof various participatory methods withinthis ‘research only’ context, accepting thatthis, in itself, may be ethically questionablein the CBA field.

I used a mixture of participatory groupand one-on-one methods to assess localperceptions and experiences of the:• impacts of climate stress;• ability to deal with climate stress; and • relationship of this to wider non-climatestresses and processes of change in thecommunity (‘multiple stressors’).

Methods were drawn from CBA andDRR toolkits (see Nakalevu, 2006,McFadzien et al., 2005, InternationalFederation of Red Cross and Red CrescentSocieties, 2007 and Vrolijks, 1998), andwere trialled and modified during theresearch. All methods were gender segre-gated to suit local cultural situations.Group activities used existing communitygroupings (usually church-related) to limitintrusiveness and difficulties with logistics.Groups generally included five to 15 indi-viduals. Some were age specific. Forinstance, historical timelines were under-taken with elders. All research activitieswere undertaken in Bislama (a Vanuatudialect).

I ended each visit with an interactivecommunity meeting, where knowledge wasshared and discussed. This also provided agood opportunity for triangulation. Discus-sions often continued well into the evening.In addition, knowledge was documented in


Table 1: Strengths and limitations of participatory techniques employed in theresearch context

Method

Seasonalcalendar

Communityand resourcemapping

Matrix rating e.g. ofresource use,copingstrategiesetc.

Focus group

Transect walk

Historicaltimeline

Storian:Semi-structuredand informalinterview

Observation

Strengths

Highly beneficial to researcher forunderstanding relationships betweennatural resource-based livelihoods, climate,weather, and disasters.

Beneficial to researcher and participantsfor identifying locations at risk and accessto resources and services important tolivelihoods and coping with disaster.

Good for stimulating group discussion andinteraction as the rating is impossible to dowith one or two of the most vocal orconfident group members only. Theconcept is relatively straightforward andthe matrix grid can be preparedbeforehand leaving more time fordiscussion.

Few.

Flexible, interactive, informal, enjoyable forparticipants, informative for researcher.Very useful for researcher orientation earlyon in the research.

Effective catalyst for discussion regardingchanges and trends over time in copingstrategies etc. Effective tool for analysingthe underlying drivers of vulnerability. Bestdone over multiple visits with a smallgroup. Enjoyable for older participants.

Effective for building rapport enabling in-depth participant-researcher knowledgeexchange and accurate representation ofconcerns. Enables depth of discussionnecessary for understanding underlyingdrivers of vulnerability. Less intrusive todaily life than group activities.

Non-intrusive, effective for buildingrapport, informal and enjoyable forparticipants.

Limitations

Limited learning outcomes for participants.The complex and time-consumingconstruction of the calendar allowed littletime for discussion. Would be better donein two sessions: one for construction, onefor discussion. Participants were unfamiliarwith a ‘calendar’ format and thereforereluctant to engage.

Maps generated superficial information asconstruction was time-consuming at theexpense of discussion – participantsconcentrated on drawing an accurate map.Best done in two sessions to allow for in-depth discussion.

Limited outcomes for researcher as theratings tended to be ‘ad hoc’, disguisingcomplex contextual and temporaldifferences.

Shyness and overall reluctance toparticipate in the absence of a visualactivity around which to focus discussion.

Can be difficult to maintain focus as manyissues are addressed. Limited participantlearning outcomes as limited opportunityfor collective discussion about any onetopic.

Time-consuming, easy to get off track.

Little participant-participant collectiveknowledge exchange and consolidation.

Time-consuming for researcher andunstructured.

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short reports (in Bislama) and sent back onrequest to community leaders. They feltthat having ‘formal’ documentationincreased legitimacy and pride in theconsolidated knowledge, increasing moti-vation to address the issues highlighted bythe community.

Limitations and strengths ofparticipatory methodsTable 1 summarises the specific participa-tory techniques used, and the mainstrengths and limitations of each in thisparticular research context.

Using a participatory approach Iintended to maximise community benefitsvia the research process itself, even thoughI was unable to provide material outcomes.My intention was to facilitate communitylearning and empowerment throughcollective discussion of problems, knowl-edge consolidation, opinion sharing, andrealisation of existing capacities. In reality,what I could achieve was less than

expected. This subsequently influenced themethods I decided to prioritise. ‘Interview-ing’ methods emphasising participant-researcher knowledge exchange weregenerally more successful than larger-group activities aimed at collective partic-ipant-participant knowledge sharing.

LimitationsI began my research in Tangoa Islandusing predominantly group methods. Atthe conclusion of my research in MotaLava, I was using predominantly inter-viewing methods. This was largely a resultof the research context. In a more practi-cally orientated project setting, groupmethods may have been more effective.Most limitations stemmed from the diffi-culties of being a single, independentresearcher, from the low priority of climateconcerns in the communities, and fromthe cultural specificities of Ni-Vanuatusociety. However, I do not view this as a‘failure’ of participation. Rather, a flexible

A participant draws a trend line showing change over time in knowledge of traditional medicine, as part of ahistorical timeline activity.

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and relatively non-time constrainedapproach enabled a successful method –storian – to be developed, maximisinglocal voices, accurately representing localpriorities, and maximising learning withinthis particular cultural, research, andclimatic context.

Participant outcomesAlthough group activities often generateda good participatory appraisal – rapidlyreflecting information and opinions acrossa range of stakeholders – collective knowl-edge creation, capacity realisation, andfacilitated learning was limited. Due to my

A sample of participant illustrations from a seasonal calendar activity.

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relative inexperience as a facilitator, mystatus as a community and culturaloutsider, and logistical problems as a singleresearcher, I felt unable to create the envi-ronment to achieve this. Group activitiesoften felt forced and ‘unnatural’. Partici-pants were reluctant to interact or engagein the activity or discussion. I sensed thatmore educated participants found theactivities somewhat patronising, and lesseducated or older participants wereconfused, shy, and unwilling to voice view-points. Finding a balance in the groupsetting was a challenge.

A major limiting factor was that partic-ipants often expected me to lead the activ-ity. They were unaccustomed to interactingand discussing freely in a group. It wasoften difficult to convey that discussion andopinion sharing was the most importantpart – not drawing an accurate map, forexample. In the communities, organisedgroup meetings and decision-makingprocesses are usually led by a ‘chairman’ orother leadership figure, with peoplecontributing in turn. Another contributingfactor may be the nature of ‘awarenesstalks’ administered by NGOs, aid organi-sations, and government in rural Vanuatu.Local people said that these mainly consistof an ‘expert’ administering a lecture. So an‘in-expert’ outsider (me) facilitating discus-sion and interaction may be an unfamiliarand ‘unnatural’ concept.

The purpose of the group activities wassomewhat unfulfilled. For example, in theseasonal calendar exercise participantsrequested that I ask questions which theythen answered. Although this generateduseful information for me, participantlearning outcomes were not great. Similarsituations arose when my local counterpartfacilitated the activity. This type of activitywould probably work better in a planningcontext. However, engaging in the activityitself may have contributed to the processof consolidating and clarifying knowledgeand viewpoints, despite seemingly reluc-tant participants.

Research outcomesGroup activities were beneficial to myresearch, as they provided triangulationand a range of information in a short time.They also highlighted issues for furtherfollow-up. However, most informationgenerated was superficial due to timeconstraints and group size, with most timeand effort dedicated to completing theactual activity (i.e. map, seasonal calendar)rather than to discussion. Often, thereasons behind the answers given weremost important. However, group situationswere not always conducive to exploringthese.

Group activities generally generategood information regarding direct climate-related problems, ways of coping withthem, and the strengths and weaknesses ofthese. In the context of CBA however, it isimportant to dig deeper, to understand theindirect situational factors and processesdetermining this over time. These will ulti-mately shape the ability of a community togenerate their own solutions to climatestress and increased uncertainty in future.This required lengthy and in-depth discus-sion difficult to achieve in the large groupactivity setting. Successful instances werefacilitated by smaller groups and byapproaching the exercise informally;generally starting with an informal discus-sion with the actual activity as incidental.

EthicsI decided to limit the use of large-groupactivities, instead emphasising interview-ing techniques. Group activities can bedisruptive to daily subsistence andeconomic activities. Climate stress is notgenerally viewed as a priority concern inthe community, so interest in the activitieswas often low. Although participation wasvoluntary, I felt that given the ‘researchonly’ context, participants were not receiv-ing enough gain from group activities tojustify this intrusiveness on their busy dailylives. Perhaps in a project or decision-making context with tangible benefits to


follow, these participation limitationswould have been less.

Strengths One-on-one and small group interviewssuccessfully facilitated participant-researcher knowledge exchange, catalysingfurther knowledge sharing betweencommunity members. This was largely atthe expense of extensive collective partici-pant knowledge sharing and exchange, butmost beneficial to both participants andresearcher in the particular socio-culturaland research context. I use the Bislamaterm storian – to ‘chat, yarn, swap stories’(Crowley, 1995: 235) – to indicate thisapproach rather than ‘interview’, as thiscould be seen as an extractive and ‘Western’method. Storian is an umbrella term indi-cating semi-structured interview, informalinterview, and opportunistic discussion aspart of observation. Irrespective of specific

method, the central feature of storian isbuilding rapport with participants. Storianis essentially a Vanuatu-specific form of‘Talanoa’: an established, culturally appro-priate Pacific research methodology refer-ring to ‘a personal encounter where peoplestory their issues, their realities and aspi-rations’ (Vaioleti, 1999-2003 cited in Vaio-leti, 2006:21). Box 1 provides an exampleof storian.

Participant outcomesTo ‘stori’ is culturally a central and normalpart of daily life. Knowledge is traditionallydisseminated orally in Ni-Vanuatu culture.I found storian to be the most ‘natural’,non-threatening, and enjoyable researchmethod for participants. Many communitymembers enthusiastically volunteered fordiscussions, and were happy to dedicatelong periods of time to storian. Manyparticipants who were shy in group situa-

I am talking to participants A and B about the impacts of tropical cyclones (hariken), whilst we work in B’sgarden:Me: So when the hariken came in 1939 you must have been 10 – do you remember it?A: Yes! That’s how I know I was born in 1929! …Every tree went down, we were in Nerenigman [village]and we could see everyone at Totolag and Queremande as they made their cooking fires in the morning...there was a white man that had a small store on Ra island where my father worked and that day I wentwith him – and the big wind comes now! It came, it came, until it pulled off the roof belonging to the whiteman... the sea carried everything from the store right up into the middle of the island! We went and dug outtinned fish, soap – all things belonging to the store. B: Worst hariken – we can’t remember a worse one. Me: You had a hariken this year – can you tell me about that one? B: Food shortage now! Oh yes. First time is this year. Small, small hariken but...A: Plenty hariken have hit us but we have not had food shortage. But this year – we have a shortage! Me: So in 1939 do you remember a shortage?A: Small, small. But all the old people before, they had good gardens and they stored plenty of driedbreadfruit...B: In 1972 it was the same. The gardens were strong.Me: So what’s different now?B: I can’t tell you straight – but I think it’s because of a lazy fashion now! Oh, yes, they’ll say they don’t haveenough land now, but the real reason is they don’t want to work. There is enough land. We must plantsomething every day to make sure we have no shortage of anything – that was the fashion of the peoplebefore... A: Custom! Custom belonging to us... must plant banana, taro, cabbage or what – every day.B: That was the teaching belonging to our grandparents, that was the talk we used to hear in the Nakamal[meeting house], that was the talk we used to hear in the gardens with our parents. That was the talkbefore – before school came to Mota Lava. Plant plenty, plant a strong garden, then if disaster comes, youhave food. A ...losing custom, that’s why it happens. Losing the custom fashion belonging to the old people before.

Box 1: Excerpt from a storian on Mota Lava, 2nd November 2008 (English translation)

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tions – especially women and elderlyparticipants – were more comfortable withvoicing their opinion in a more person-alised situation. Importantly, storian wasgenerally less intrusive to daily commit-ments than group activities.

The approach was flexible – althoughguided to a degree by topic, discussionswere led primarily by participantresponses, enabling participants to high-light issues most significant to them.Importantly, knowledge generation was atwo-way process. The relaxed and highlypersonal context of storian provided anopportunity for participants to ask ques-tions of me. In this way, storian became animportant platform for raising awarenessof climate change issues in the community.Furthermore, through the course of discus-sion and issue probing, links betweenclimate-related problems (such as decreas-

ing food security after cyclones) and moregeneral problems (such as loss of tradi-tional knowledge and ineffective commu-nity governance) were clarified forparticipants as well as researcher. In thisway, the research was interactive, notextractive.

Research outcomes One of the most significant benefits ofstorian is that it allows people’s perspec-tives to be more adequately reflected asthey talk around the topic in their own way.As such, the relative priority of climate-related problems in a context of multiplestressors could be better represented. Thisis fundamental to successful CBA ascommunity-based initiatives or projectsneed to directly address locally perceivedneeds. Storian often began with an exten-sive discussion of general problems and

A participant explains traditional methods of minimising erosion risk to me during storian.

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concerns in the community before address-ing anything climate-related. Group activ-ities were often either too climatestress-focused or too general to allow thisrelative priority to be accurately repre-sented.

The storian technique built participant-researcher rapport. This was fundamentalto the ‘accuracy’ of information created. Ina project setting, concise participatoryworkshops are a good way of obtaining arange of viewpoints in a relatively shortamount of time, as a basis for planning andaction (van Aalst et al., 2008). However,this has limitations as well as strengths.Based on experiences in Papua NewGuinea, Mercer et al. (2008) identify thatinformation gathered in initial scopingresearch can be incomplete and skewed inorder to maximise assistance from externalagencies. In my own experience I foundthat information (in both group activitiesand storian) was often initially biasedtowards what participants believed Iwanted to hear – this was their way of beingpolite to a ‘guest’. During the course ofstorian, as personal relationships werebuilt, discussions became far more frank.This is important to stress because CBAinitiatives built upon less intensive anddetailed assessment may be skewedtowards the known agenda of the imple-menting agency – and may not be inte-grated with true community priorities. Thisis particularly important in communitieslike the three I visited, where the implica-tions of climate change or climate stress arenot a local priority and a more pro-activeapproach to adaptation is required.

Storian was often used in conjunctionwith a participatory activity, for example,historical timelines with small groups ofcommunity elders, developed over multi-ple sessions. A comprehensive historicalpicture was first built. I then focusedstorian around memorable periods ofclimate stress such as major cyclones ordroughts, the impacts these had, and theways in which people coped. The activity

often concluded with a lengthy discussionregarding the imagined implications of themost major climate event identified occur-ring today. Historical timelines were partic-ularly effective at characterising therelationships between vulnerability toclimate stress, and the ‘everyday’ stressesand opportunities shaping this.

Additional challenges in integratingclimate change knowledge in PLAClimate change adds an additional layer ofcomplexity in PLA. Many CBA toolkits arebased on those intended for disaster riskreduction. The difference is that knowledgeof potential future changes in climate – andtherefore an understanding of the need foradaptation – is largely held by ‘outsiders’and is ‘top-down’. This creates particularchallenges. CBA is ostensibly a community-driven process with local people, ratherthan outsiders, as the ‘experts’ in adapta-tion processes. In Vanuatu, addressingclimate stress is not generally a communitypriority. Although at times extremelydisruptive, cyclones, drought, and floodingare viewed largely as part of ‘normal’ life.Furthermore, where the implications ofclimate change are not yet obvious, moti-vation for adaptation (even if this is merelyimproved DRR) is likely to be external, atleast early on. The nuances and challengesof integrating the concept of climatechange into PLA warrants a paper in itself.Here, I address one aspect only: the wayand extent in which I actually emphasisedthe notion of ‘climate change’ in storianand other activities.

Often, CBA-focused PLA toolkitsemphasise ascertaining local observationsof changes to climate or weather andresultant problems as a basis for develop-ing adaptation strategies. I found that thisapproach usually over-emphasised shorter-term variability rather than identifyinglonger-term trends (including increasedirregularity and uncertainty) as the toolkitsintend. For example, participants in onecommunity claimed to be experiencing

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increases in various monthly rainfalls, butthis perception was likely influenced by theLa Niña occurring at the time – localweather station data did not back up thisperception. Mataki et al., (2007) experi-enced a similar issue in their work in Fiji.The Vanuatu climate is highly variable andthis may risk attributing anthropogenicclimate change – a problem caused bydeveloped countries – to problems thatlikely result (mainly) from ‘natural’ vari-ability, in participants’ minds. In theVanuatu community context, vulnerabilityto climate change is primarily driven bydecreasing ability to deal with currentclimate stresses (due mainly to social andeconomic pressures) rather than by‘weather changes’ per se. In this situation, Ifound that this approach risked erro-neously blaming climate change fordecreases in adaptive capacity. The conse-quences of this may be a sense of disem-powerment amongst participants.Although climatic variability and extremeshave been locally dealt with for genera-tions, I observed that many began todiscuss these problems as stemming fromforces outside community control andtherefore, as requiring externally drivensolutions (by government, aid donors, andNGOs). Creating a sense of ‘victimisation’is not particularly constructive in thecontext of CBA in Vanuatu.

Emphasising how people respond toclimate stress and how this has changedover time aided in avoiding this unnecessarymisconception and sense of helplessness. Ifound that maintaining focus on issueswhich the community could potentiallyaddress itself enabled participants to realiseand legitimise their own (fairly extensive)capacities to deal with an uncertain climate.In these specific community situations,vulnerability is constructed primarily bydeclining adaptive and coping capacity as aresult of social and economic pressures.Changes in climate play a somewhatsecondary (although obviously important)role in vulnerability to climate change.

Climate change mostly increases the impor-tance of soundly dealing with currentclimate stresses rather than requiring signif-icantly different responses at this scale. Iemphasise that this may not make sense inevery climate change impacts context.Again, the important lesson here is thatdifferent contexts call for differentapproaches in participatory vulnerabilityresearch – in both a cultural and climaticsense.

ConclusionIn this paper I offer some reflections on theethics and quality of participatoryprocesses in the context of community-scale vulnerability research. In CBA, a‘ learning-by-doing’, action researchapproach is heavily advocated. Developingpractical solutions to problems via theresearch process itself is often emphasised,and this is reflected in many participatorytoolkits. It is important however, that thisdoes not come at the expense of firstadequately establishing the problem, andthis is where intensive and detailedresearch is important. Vulnerability toclimate change is complex and place-specific and a realistic understanding oflocal perceptions is essential if resourcesand funding are to meet community adap-tation needs. Climate change adds a furtherlayer of complexity to disaster risk reduc-tion in Vanuatu. Often, sustainable CBAinitiatives will require finding creative waysto address local priorities whilst being pro-actively adaptive. Due to the ‘top-down’nature of climate change knowledge,people will have little faith in an initiativethat does not address current local priori-ties in some way. In this sense, locallyperceived climate problems and prioritiesmust be well contextualised and under-stood before planning and action takesplace.

The methods most suitable formaximising positive participant andresearch outcomes for CBA are likely to bevery context specific – both in terms of local


socio-cultural situations and researchbackground and purpose. An importantlesson learnt through my research is thatflexibility, openness, and innovation in theresearch approach are most important tomaximising learning and knowledgeconsolidation, accurately representing localvoices, and ensuring research is informedby, and developed from, local priorities.

Participation may have somewhatdifferent objectives in the ‘research’ thanin the ‘decision-making’ stages of the CBAprocess, where planning and action is

more the focus. In my experience, tech-niques enabling depth of both informationgleaned and participant-researcher knowl-edge exchange were more effective in a‘research only’ context than techniquesaimed at group, collective (or participant-participant) knowledge sharing, andcapacity realisation. These may be morebeneficial in the ‘decision-making’ phasesof a project where the collective organisa-tion, documentation, and clarification ofknowledge can pave the way to actionplanning.

CONTACT DETAILSOlivia WarrickDepartment of Geography, Tourism and Environmental Planning The University of Waikato Private Bag 3105 Hamilton, 3240 New Zealand Email: [email protected]

REFERENCESCrowley, T. (1995). A new Bislama dictionary. University of the South

Pacific: Suva, FijiInternational Federation of Red Cross and Red Crescent Societies

(2007). VCA toolbox with reference sheets. Author: Geneva,Switzerland

Mataki, M., K. Koshy, and V. Nair (2007). ‘Top-down, bottom-up:Mainstreaming adaptation in Pacific island townships.’ In Leary, N.(Ed.) Climate change and adaptation (pp.264-277). Earthscan:London

McFadzien, D., F. Areki, T. Biuvakadua, and M. Fiu (2005). Climatewitness: community toolkit. World Wildlife Fund: Suva, Fiji

Mercer, J., I. Kelman, K. Lloyd and S. Suchet-Pearson (2008).‘Reflections on use of participatory research for disaster riskreduction.’ Area, 40(2)

Nakalevu, T. (2006). CV&A: a guide to community vulnerability andadaptation assessment and action. South Pacific RegionalEnvironment Programme: Apia, Samoa

Vaioleti , M.T. (2006). ‘Talanoa research methodology: a developingposition on Pacific research.’ Waikato Journal of Education 12

van Aalst, M.K., T. Cannon and I. Burton (2008). ‘Community leveladaptation to climate change: the potential role of participatorycommunity risk assessment.’ Global Environmental Change 18

Vrolijks, L. (1998). Guidelines for community vulnerability analysis: anapproach for Pacific island countries. United Nations DevelopmentProgramme: Suva, Fiji

88

IntroductionHambantota District is a major paddy (rice)producing area in the southern coastalregion of Sri Lanka. Communities here havebeen experiencing salt water intrusion intotheir rice fields, leading to reduced yields.This has been caused largely by seawatercontamination of irrigation systems.Farmers had been using saline-resistantvarieties developed at the rice researchstation, Ambalantota, but in badly affectedareas these varieties were still failing. Thisarticle focuses on work done to identifytraditional rice varieties suitable for culti-vation in the degraded paddies through aprocess of participatory research.

Background The activities described here were part of athree-year project (2005 to 2007) carriedout in four countries of south Asia by Prac-tical Action, a UK-based internationaldevelopment organisation. The work in SriLanka was implemented by Practical

Action’s south Asia office based inColombo. Practical Action had funding todevelop a pilot project. Its objective was toincrease the resilience of communities tocope with the impacts of increased climatevariability in their localities.1 In Sri Lanka,these were the likelihood of climate changeworsening existing problems of salinisationand flooding.

The project worked with 500 house-holds in Godawaya and Walawa GramaNiladhari divisions in Hambantota districtalong the Walava river estuary. Mostpeople’s assets comprise physical capital:crop harvests, livestock, boats, and otherequipment.

The villages were selected to participatefor several reasons:• The majority of people were relativelypoor – farmers owned typically less thanone hectare of paddy land.• The site lay close to an area where Practi-cal Action was involved in a post-tsunamireconstruction programme, so manage-

1 Funding was provided by the UK-based Allachy Trust.

by RACHEL BERGER, with ROHANA WEREGODA and VARUNA RATHNABHARATHIE

6Participatory rice varietyselection in Sri Lanka

89Participatory rice variety selection in Sri Lanka

ment and travel costs could be reduced. Theproject site was sufficiently far inland not tohave been directly impacted, though fisher-men’s livelihoods clearly were affected.• The problems faced by the community(coastal erosion, saline intrusion intopaddy fields) were typical of those likely tobe experienced by rural Sri Lankancommunities under climate change, even ifthe current problems cannot be directlyattributable to climate change.

Paddy cultivation in Sri Lanka is largelya smallholder activity. Rice growing isimportant culturally for smallholderfarmers. So even when faced with problemsof salinity, farmers were reluctant to switchto other crops.

Salinisation and soil erosion have led tothe abandonment of paddy land along theriver estuary. Salts drawn up from ground-water are deposited on the surface, and

spread as poorly maintained irrigationchannels become polluted from the salineestuary. Coastal erosion also reduces theavailability of land and forests that areincreasingly – and illegally – used by localpeople as the scarcity of productive farm-land increases across the district.

In future, storm surges and rising sealevels are likely to increase salt watercontamination. Combined with intenserainfall these problems are anticipated toincrease under current climate changepredictions. The main focus of the RiceResearch Institute in Sri Lanka is onlarger-scale irrigated paddy cultivation.However, it has developed a few varietiessuitable for saline conditions faced bysmall-scale farmers, although without theinvolvement of farmers. In the experienceof farmers in the project area, the varietiesonly tolerate limited levels of salinity.

Traditional paddy trial locations in Sri Lanka.

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Methods and processesUnderstanding the situation faced by theHambantota communities was essentialfor designing project activities. Gatheringsufficient information was critical. In thefirst six months, we used a range of datagathering approaches: • Secondary data. To select project sites,we used data from e.g. the Sri Lankancensus and statistics and International

Union for Conservation and Nature(IUCN) reports on coastal recourses. Thisshowed that the Ambalantota division ofHambantota district was highly vulnerableto floods, sea water intrusion, and naturalresource depletion.• Focus group discussions. These wereused to initiate discussions in the villagesand collect background information to vali-date the secondary data. We held two

There were no records of any kind held at the local level. Inhabitants’ memories were the only source ofinformation. Groups were formed with participants of similar ages to enable discussions amongstindividuals with similar knowledge. Participants were grouped into those over 60 years old, between 45 and60 years, and the younger generation (below 45 years). Women were included, since their work of firewoodcollection, farming, and homestead vegetable gardening made them more aware of changes in resourceavailability and temperature than men.

While people had access to modern weather information, farmers still used a forecasting system known as‘Litha’. Litha is a table prepared by an astrologist, using the phases of the moon and the positions of thestars and planets. A full moon, for instance, is associated with rain. The table indicates times when seeds willgerminate, or the best time to plant crops so as to avoid pest attacks. However, whilst respondents reportedthe Litha as still in use, it was judged to have become less effective in recent years. This may suggest thatclimate change is undermining traditional techniques – or perhaps only that modern forecasts areincreasingly reliable.

A variety of other traditional forecasting indicators were used (see table below). Their effectiveness wasbeing debated within the community. It was also reported that traditional techniques are not being passedon to the younger generation, who prefer to rely on modern farming and forecasting practices.

Box 1: Community perceptions on changing climate

Observation

Large termites start breeding during a dry period..Ants appear with their eggs and move to a newnest.

Small termites start breeding during a rainy period.

A noise is heard emanating from the sea.

Off-season trees such as tamarind and wood applegive good yields.

Dogs and cattle make unusual sounds.

Prediction

Rain will come soon.

Rain will start within 24 hours.

Rain will stop soon.

Rain will come within seven hours and last for sevendays.

Good future rainy season – farmers cultivate largeareas.

Destructive rainy season leading to disasters isanticipated.

Table 1: Traditional forecasting indicators

2 The representatives were the Assistant Divisional Secretary (who reports to the DistrictSecretary, a government appointee, via the Divisional Secretary), local governmentofficials from the area, village farmer group leaders, and officers of the Rice ResearchInstitute in the area.


meetings with government representativesand non-governmental and community-based organisations to discuss problemsrelevant to livelihoods and to understandresource use and vulnerability.2 This led tothe selection of two paddy farmingcommunities (from Manajjawa andWalawa) for further vulnerability assess-ment. One key issue discussed with focusgroups in the community was knowledgerelating to weather and climate. This issummarised in Box 1. • Community resource mapping. Follow-ing the focus group discussions, we intro-duced resource and risk mapping toidentify the natural resource base andmanagement approaches. Selected farmerorganisations and other communitymembers drew maps of communityresources, illustrating natural resourcesimportant for livelihoods such as paddy

lands, home gardens, plantation lands,settlements, and water bodies.• Risk mapping. The groups involved inrisk mapping included community officebearers (such as the president of the villageagricultural society) and members offarmer organisations. Using the commu-nity resource maps, the groups identifiedareas at risk from salinisation and flooding,water-scarce areas, and irrigation canals.The main issues identified were flooding,salinity, conflicts between water resourceusers, and risks due to changing land usepatterns (the conversion of coastal foreststo paddy land). Participants were not askedto rank risks. • Field observations and transect walks.Practical Action project staff joinedcommunity members in village visits tocomplement the results of the focus groupdiscussions and mapping exercises.

Participatory method used

Key informant discussions

Focus group discussions

Community resourcemapping

Risk mapping

Field observation

Transect walks

Objective

To collect information on naturalresources, livelihoods, and social andinstitutional arrangements in the area.

To collect background information onresource use, vulnerabilities, andcapacities to validate secondaryinformation.

To identify the natural resource baseand natural resource managementmethods.

To identify risks to livelihoods withinthe area.

To further understand biophysicalresources, vulnerability, and existingproblems affecting farmers'livelihoods.

To further understand biophysicalresource vulnerability and existingproblems affecting farmers'livelihoods.

Information gathered

• Sources of livelihood• Use of natural resources• Existing socio-economic systems

• Vulnerabilities • Livelihood system problems

• Vulnerabilities• Availability and use of naturalresources • Area landscape

• Types and causes of risks andthreats • Extent of vulnerable areas

• Risks and threats in relation tobiophysical resources • Encroachments • Severity of problems identified

• Linking upstream anddownstream farmers• Variation in vulnerability

Table 2: Summary of the data-gathering methods


Most families were members of the fish-eries or farming society when the projectbegan. Farmer organisations in each villageact as the decision-making forum for issuessuch as the farming calendar, water distri-bution, and seed selection. In preparingpaddy land for sowing, all farmers need towork the land together, since channelsbetween fields are interconnected. Thewhole system will not operate until all fieldsand the dividing mud walls are ready.These farmer organisations are also linkedwith government agrarian services centres.Farmers also reported being involved ininformal institutions such as the Yaya(field) groups and Seettu (community-managed revolving fund) groups. In theproject villages, association members areprimarily small-scale farmers.

The participatory process sought toprioritise the main threats to people’s liveli-hoods that could be attributable to increas-ing climate variability. The communityreached a consensus during the participa-tory assessment process that floods(leading to crop losses) and salinisation(low yields and crop damage) are the mainthreats to livelihoods. They expressed aclear desire to reduce the risks of cropfailure and unprofitable yields.

After the survey, we developed a strat-egy to build capacity around resource useand management and, in particular, toestablish and replicate best practices incrop cultivation. The main vehicle for train-ing was the paddy farmer group. The groupwas mobilised to adopt and developsustainable farming practices, such ascompost making from rice husks. However,while farming activities are carried out bymen and women, the group trialling therice varieties was dominated by men. Insmall-scale paddy farming in Sri Lanka,women and men carry out separate tasks:men prepare the land, and the watercontrol mechanisms; women plant

seedlings and weed crops. Pesticides, whenused, are applied by men, and harvesting iswomen’s work. In most households, mentraditionally make many of the farmingdecisions, though there are women whotake on this role. Women’s time commit-ment to household activities was an obsta-cle to attendance at meetings. The projectteam made efforts to accommodate womenby finding alternative meeting times, butdid not challenge the cultural norm ofmale-dominated decision-making.

The paddy farmer group consisted of 16farm families. They volunteered to set asideland in their own fields for the trials. Thefarmers had some success with saline-resis-tant varieties developed at the Ambalan-tota Rice Research Institute. However, inbadly affected areas the resistant varietieswere still failing.

The farmer group agreed to trial sometraditional rice varieties alongside theresearch station varieties. The trial wassupported by the National Federation forConservation of Traditional Seeds andAgricultural Resources (NFCTSAR), anon-governmental organisation, whichsupplied farmers with traditional seeds.3

The Federation selected ten varieties thatit thought would tolerate the level of salin-ity present. The varieties had differentcharacteristics in terms of growth, yield,and flavour.

In the first year, both conventional andtraditional varieties were grown. Theconventional varieties were treated withchemical fertilisers and pesticides and thetraditional varieties with home-madeorganic compost and neem oil.4 A furthertrial, in the next rice growing season, wasof different varieties of traditional rice.Each variety received the same treatment– neem oil and organic compost. Thefarmers planted up to 5kg of each varietyin the saline affected areas of their paddyfields and continuously observed the

3 Local seed banks had fallen out of use following the introduction of high-yieldinghybrids in the 1960s and 1970s.4 Homemade neem oil is used as a pest-control.


growth and changes in the plants up toharvesting. Two farmers out of 16 culti-vated all 10 varieties while the rest culti-vated three or four varieties after seeinghow the 10 varieties performed in the firsttrials.

Which varieties to grow on a largerscale were chosen by scoring each varietyfrom one to 10, based on the farmer’s pref-erence, where one was the best score. Thefarmers chose the criteria e.g. plant height,duration of the crop, grain quality, graincolour, saline tolerance, and yield. Theselection process was supported by activi-ties to help improve soil quality (muchdegraded in the saline-affected areas) andsoil water retention, by using organicmulches. Mulches reduce the amount oftilling required, which in turn reduces soilsalinity caused by bringing salts up fromdeeper soil levels.

Outcome of the field trialsThe results clearly showed improved yieldsfrom the trial varieties. The traditional ricevarieties also carried a premium marketprice of up to 50% per kilogram compared

to hybrid varieties. After seeing that somevarieties performed well in saline soils thefarmers developed confidence in theirresearching and selecting varieties. Prior todeveloping this network the role of the insti-tute was to provide seed to the farmers withlittle or no interaction. During the project,the community were able to form good linksbetween the farmer organisations and thegovernment Rice Research Institute. Theproject also facilitated contact with localgovernment via the Grama Niladhari(village-level administration) and the irri-gation department. This prompted impor-tant actions such as sluice gate renovation(to prevent seawater flowing into the paddyfields) and support in improving freshwa-ter irrigation. The farmer groups alsoextended their network to other farmers inthe area. Farmer-to-farmer learning was amajor development. Farmers testing tradi-tional varieties shared their findings withfarmers from the adjacent village who facedsimilar problems. This stimulated discus-sions between farmers on variety selection,increased the knowledge of neighbouringfarmers on climate change issues, and

Meetings with the community (Bundala).

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enabled the farmer groups to becomechange agents at the community level. Bythe end of the project a traditional paddycultivator group had been established andwas formally attached to the seed conserva-tion organisation, providing a widernetwork of contacts and support for theHambantota farmers and helping sustainthe project developments once PracticalAction withdrew.

Lessons learnt, critical reflections, andanalysis

Methodology for collecting informationThis article was written after the projectended and after a change in project staff,resulting in some loss of institutional knowl-edge. Writing it has highlighted some insti-tutional weaknesses within Practical Action:while there is certainly a high commitmentto participatory processes, there is no formalacross-organisation manual for training in

this area. Evaluations of the organisation’swork are generally very positive, but there isclearly room for improvement in the amountand depth of information gathered duringthe initial stages of project development. Forexample, very little information wascollected on social class or power issues inthe community, nor on land tenure – possi-bly because the situation was so typical of theregion, and so familiar to the projectmanagers that it did not seem worth record-ing. This was a small project, with limitedfunds. The initial activities, including thebaseline study and PRA were limited inscope. It can certainly be argued thatimproving rice yields under salinisationwould need to be part of a much broaderstrategy for adaptation, for which the projectfunding was inadequate to develop.

Value of the processImproved varieties are frequently intro-duced by research stations, but are not

‘Fertiliser pond’ in a paddy slot to provide liquid fertiliser (Bundala).

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always suitable for use in different localcontexts. The formal research process failsto address farmer needs, does not buildtheir decision-making capacity, and ignoreslocal knowledge in the selection process.Participatory variety selection aims toaddress these shortcomings. In this smalltrial, the process was successful. It builtconnections between farmers’groups andthe Rice Research Institute. These connec-tions should be sustainable, and may leadto a more participatory approach withinthe Institute’s main research programme.

The trial was small-scale, due to limitedresources. The method was weakened bynot having control plots where conven-tional and traditional varieties bothreceived either chemical or organic treat-ment. This has since been rectified insubsequent replication in areas alsoaffected by salinity, where the results havealso been favourable. The methods andprocess would need wider testing before

concluding on the success of the approach,or the sustainability of the varieties selectedby the farmers. The yield of traditional vari-eties on average has proved slightly lowerthan conventional varieties. However,traditional varieties are more profitablethan conventional varieties. They are inshort supply, and are prized for consump-tion during festivals, for medicinal reasons,and for their taste and aroma. A simplecost-benefit analysis shows that despite theneed for greater labour input (to makecompost and neem oil), it is cost effective,because labour comes from family andneighbours. Women can also participatemore fully in the farming calendar whereorganic products are used.

A key contribution was in raisingawareness of local solutions to climatechange threats. Forgotten varieties ofindigenous rice were shown to offer a solu-tion to the increasing soil salinity. There arearound 2,000 traditional Sri Lankan rice

‘Pokkali’ a traditional rice variety grown in extremely saline conditions in Bundala.

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varieties, many with high nutritional valueand medicinal properties, or resistant toparticular diseases and pests. Cultivatingthem has helped a group of marginalisedfarmers to increase their harvests, whilstthe project’s collaborative approach hashad a positive impact on the attitude oflocal agricultural institutions. The partici-patory approach to variety selection over-came the limitations of the conventionalresearch system in meeting the needs of

marginalised farmers and integrating localknowledge into the selection process.

ReplicabilityOther farmers who cultivated saline-affected lands nearby were invited to visitthe trials and discuss progress with thefarmers involved, and this led to wideradoption. Following the trials, at a meetingin Hambantota, officials from the agricul-tural department and government

A woman farmer shows her flourishing trial plot of traditional rice varieties.

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researchers shared findings and discussedthese in the context of the impact of climatechange on farming in the region. Videodocumentaries have also been shown toagricultural extension officials at workshopswhere ministry officials and PracticalAction staff presented their differentapproaches. They have been shown tofarmer associations in each district, whohave also taken part in visits to successfulproject sites.

Practical Action has since expanded theapproach to many other communitiesaround Sri Lanka (see Map 1). Significantly,other communities have adopted itautonomously, through word of mouth andobservation. Traditional varieties are grownby one farmer in a corner of a large field,cultivated by many small-scale farmers. Thenext year, many other farmers are observedgrowing the crops. Farmer societies contactPractical Action to find out more, and arereferred to villages adopting the practice,and organise their own visits. Staff havebeen surprised by contact from people indistant places who have heard about thetrials. This autonomous replication of asuccessful practice is very encouraging,though of course difficult to assess withoutindependent evaluation.

Uptake is feasible, though farmers areprobably not undertaking rigorous trialsbefore adoption. The methodology ishowever replicable, provided farmers’groupsare adequately supported in understandingthe need for a rigorous approach. Supportcould be provided by the national RiceResearch Institute, but the mediation of anon-governmental organisation experiencedin participatory methods would increase thelikelihood of success.

A more farmer-focused agriculturalresearch agenda is crucial for farmerssuccessfully to adapt their food productionto climate change. At present, researchpriorities are defined by national govern-ment or even multi-national corporations.The likelihood for change on a large scale isremote at present.

Adaptation to climate change is highlycontext specific. At present, salinity may notaffect the majority of the area under ricecultivation. Nationally, there is no estimateof fields affected by salinity and salt waterintrusion and the likely causes. At a locallevel however, the number of communitiesthat have raised concerns with PracticalAction project staff suggests this issue maybe seriously underestimated. Communitiesthroughout a wide geographical area arekeen to experiment with saline-resistanttraditional varieties of rice. This attests tothe relevance of this approach and technol-ogy – particularly to communities inmarginal locations facing many social andeconomic challenges, in addition to theadded challenges of soil salinity and futureclimate change.

Conclusion The participatory research approachadopted during this project demonstratesthe importance of experimentation foradaptation. Participatory research providedthe farmers with a supportive environmentwith access to the resources necessary forexperimentation. It demonstrates the effi-ciency of locally informed and farmer-ledresearch. Farmers were able to assessthreats to their livelihoods and define theirown response. Their capacity to experimentin finding solutions to their own problemswas strengthened. The network of relation-ships built up between the farmers, formalresearch institutions, government extensionservices, and a national seed conservationbody will hopefully ensure continuity ofsupport for further research by the farmers.

This project underlines the importanceof biodiversity for adaptation. The farmersof Hambantota could assess and selectseeds able to survive in the degraded envi-ronment only through the preservation andfree availability of many seed varieties. Asclimate change pressures mount, it will becrucial to ensure that agricultural biodiver-sity is not sacrificed for short-term increasesin yield.


CONTACT DETAILSRachel BergerClimate Change Policy Adviser Practical Action Schumacher Centre for Technology and Development Bourton Hall Rugby CV23 9QZ UK Tel: + 44 1926 634400 Email: [email protected]: rachelberger1 Website: www.practicalaction.org.uk

Rohana Weregoda3/44, Brewery LaneArmidaleNSW 2350AustraliaEmail: [email protected]

Varuna RathnabharathieProject Manager, Organic AgriculturePractical Action 5 Lionel Edirisinghe MawathaKirulaponeColombo-5Sri LankaTel: +94 11 2829412 ext: 19 or 67Email: varuna.rathnabharathie@practicalaction.org.lkwww.practicalaction.orgwww.janathakshan.org

ACKNOWLEDGEMENTSThis article is based on material prepared by Rohana Weregoda,formerly Project Manager with Practical Action’s south Asia office inSri Lanka and Varuna Rathnabharathie, who is currently managingprojects including traditional rice cultivation for Practical Action.

99

Introduction Climate change brings about erraticclimatic variability. Scientists warn that thiswill lead to increasing episodes of flood anddrought (IPCC, 2008). These changes willhit developing countries disproportionatelysince poor people rely heavily on naturalresources and agriculture for survival(Paavola and Adger, 2002). Research alsosuggests that slight changes in the timingof the arrival, duration, and intensity ofmonsoon rains will affect the livelihoods ofmillions of people (UNDP, 2007).

Poor countries and communities needto strengthen their local capacities to adaptto climate change. Climate change affectseveryone. It is everyone’s intrinsic right toparticipate in decision-making and intaking action to adapt to climate change.Participatory learning and action (PLA)approaches can help outsiders work with,

and learn from, local people, and enablecommunities to plan and implement adap-tation activities.

The complexity of climate change,however, means that it is not enough tofocus on the community level. Some adap-tation policies can have spill-over effects,for example, one community’s decision tobuild a dam to cope with drought will affectcommunities lower down the river. Socoordination between communities iscrucial to the success of some adaptationstrategies.

This article draws on research I carriedout Ghana and Burkina Faso to explore theimpact of a transboundary water gover-nance project on poor people’s livelihoods.1

It examines how communities can identityclimate change-related problems and solu-tions in concert with others, includingother communities. Unlike other trans-

1 Funded by the British Academy, I visited the Upper North Region of Ghana in Apriland August 2008, where I worked with the Water Resources Commission and a localNGO. I interviewed 19 men and seven women, including project coordinators, regionalministers, civil servants of the Ministries of Agriculture and Forestry, communityrepresentatives, and ordinary villagers. Because of time constraints, my research focusedon two communities in Ghana, Mognori, and Sapaliga.

by SAM WONG

Lessons from aparticipatorytransboundary watergovernance project inWest Africa

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boundary water governance arrangements,for example, in the Mekong or Nile riverbasins, this project demonstrates anattempt to include community members inthe decision-making process. It alsoinsisted that both genders were repre-sented on the transboundary watercommittee. The article discusses thesuccesses and limitations of the participa-tory approach used to involve communitiesin transboundary water governance andclimate change adaptation activities.

Transboundary water governanceproject in Ghana and Burkina Faso The IPCC report (2008) predicts that a 2°Cincrease in global temperature will makeSouth Ghana wetter and North Ghana andSouth Burkina Faso drier. This has a far-reaching impact on the use of water andland resources in the region. Ghana andBurkina Faso share 85% of the Volta RiverBasin. How they manage water is crucial tothe development of the region.

The World Conservation Union (WCU)and the Swedish International Develop-ment Agency (SIDA) carried out a partici-patory appraisal exercise (PAE) withcommunities in North Ghana and SouthBurkina Faso in 2003. During the exercise,Ghanaians raised concerns over the ‘widen-ing and shallowing’ of the rivers, blamingBurkina Faso for building dams in theupper course. People in Burkina Faso, incontrast, expressed their worries overhigher occurrences of drought in summerseasons (PAGEV Annual Report, 2007).After the participatory exercise, the twodonors initiated the Improving WaterGovernance in the Volta Basin Project(PAGEV) in 2004. This three-year projectaimed to develop dialogue between Ghanaand Burkina Faso over the transboundaryuse of water. It also intended to buildresilience and strengthen the capacity oflocal communities to cope with climatechange.

The PAE was consultative in nature.Local people were not involved in decidinghow the PAGEV was designed and imple-mented. The project governance structuresand the climate change adaptation policieswere subject to negotiation by the donors,project coordinator, and the NGOs. Localpeople were expected to engage with theproject by sending community representa-tives to the meetings and following theagreed policies.

The donors appointed a Ghanaianproject coordinator based in the capital ofBurkina Faso. They also selected two localNGOs (from north-east Ghana and thesouth of Burkina Faso) to manage theground work. The NGOs selected eightcommunities (four from each side), usingthe following criteria: • adjacent to the White Volta River;• close relationships with the NGOs; • scale of the problems; and • diversity of the region, in terms oflanguage and faith.2

If the project was successful, the aimwas to encourage more communities alongthe White Volta River to get involved. TheNGOs acted as a bridge between the trans-boundary water committee and the localcommunities. They negotiated with localleaders about the activities implemented intheir communities, monitored the project’sprogress, organised training workshops forlocal representatives, and called local meet-ings.

Diagram 1 shows the participatorygovernance structure of the project. ARegional Transboundary Water Commit-tee was established. This 14-membercommittee, with equal representation fromeach country, comprised regional minis-ters, district chief executives, civil servantsfrom forestry, agriculture and waterministries, NGOs, and two communityrepresentatives. It provided a mechanismfor better coordination of water sharingbetween the two countries. It also had the

2 Source: interview with Water Resource Commission officer, 20th August 2009.

101Lessons from a participatory transboundary water governance project in West Africa

ultimate power to decide what adaptationactivities would be implemented on theground.

A country committee was also set upwith 30 members from Ghana and 31 fromBurkina Faso. It included eight regionalcoordinators, six district coordinators, 15technical service staff (in charge of foodand agriculture, forestry, and water), eightNGO representatives, and 24 memberschosen from the eight participatingcommunities (eight women and 16 men).This committee advised the RegionalTransboundary Water Committee, butpossessed no decision-making powers.

The NGOs asked each community tonominate three people to represent theircommunities. The NGOs set a number ofcriteria: the nominees should be ‘well-respected’ in the community, ‘educated’,‘committed’, ‘willing to learn’ and, topromote gender equality, at least one of thethree local representatives must be female.These local representatives were expectedto reflect their communities’ concernsduring meetings and to monitor how theagreed policies were implemented at thelocal level.

After discussions in both committees, aseries of climate change adaptation activi-ties were carried out. A 10 metre-widebuffer zone was formed and trees plantedto stabilise the river bank, in order toreduce soil erosion and strengthen floodprotection. Farmers were asked to stopfarming within the buffer zone (Photo 1).Most land in these communities wasowned by chieftains and Tindana (reli-gious leaders), so farmers had no choice butto give up the lands. Free mango seedlingswere offered to compensate for their loss.Organic farming was also introduced toimprove soil fertility. To dissuade poorpeople cutting down trees within the bufferzone, fuelwood crops were cultivated at itsedge. The project also tried to cater forspecific community needs. For example,engineers helped the Sakom communityrepair a leaking reservoir while pumpingfacilities were provided to Sapeliga andMognori in the dry seasons (PAGEVAnnual Report, 2007).

To improve communication betweencommunities in Ghana and Burkina Faso,workshops, training, and site visits wereorganised. Community representatives met

Diagram 1: Transboundary Water Governance Structure in Ghana and Burkina Faso

Source: author’s own diagram, from interviews.

Regional Transboundary Water Governance Committee

Country Committee

Eight local communities

Give advice and reflectministers’ and communities’concerns

Offer vision over bettercoordination of water usebetween countries

24 local representatives sit incountry committee to express theneeds of their communities

Implement climate changeadaptation policies in the localcommunities

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at least twice a year. They shared bothsuccesses and frustrations in implementingadaptation activities in their own commu-nities. Ghanaians developed skills in mangotree pruning from representatives ofBurkina Faso while community membersfrom Burkina Faso learnt how to resolveconflicts between farmers and animal

owners from their Ghanaian partners. The NGOs stressed that local partici-

pation in the project was crucial to tacklingclimate change. Villagers needed todevelop a sense of project ownership and adeeper understanding of the interdepend-ence of communities in water resourcemanagement.

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Farming along the White Volta Rivercaused serious erosion. The bufferzone was built in order to stabilisethe river banks.


Project successes Although the participation of local peoplein the project was limited, and determinedby the project designers, the participatorygovernance structure set up by the projectdid have a number of successes. My focushere is on three aspects: promoting under-standing of the interdependence of

communities, embracing diversity, andgender inclusion.

Interdependence of communitiesThe project was effective in makingvillagers aware that water-related problemsin their own communities were not unique.Through intercommunity meetings andsharing, community representatives andparticipants had a deeper understanding ofthe interdependence of communities. Theidea of sharing a ‘common fate’ wasmentioned in interviews with local people.One Mognori representative said he hadseen the river getting wider and shallower,but that he felt powerless to change thesituation. To his surprise, during thecountry committee meetings, representa-tives from Sapaliga raised similar concerns.He then realised they shared similar prob-lems. The sense of ‘togetherness’ was alsogenerated by a constant comparisonbetween communities over the project’sprogress. During country meetings, thechairperson would report how many newtrees had been planted in each communitybuffer zone. In order not be seen as ‘lazy’ or‘not progressive enough’, one representativesaid she would ensure her community didnot lag behind other communities. Thisgave a strong sense of self-motivation forrule enforcement.

The project also offered a new channelfor local people to express their concerns.Instead of waiting for chieftains orTindana to resolve problems or to provideservices, community members could nowtalk to their village representatives andhoped they would reflect their needs in thecountry meetings. Signs of success inresolving conflict between Ghana andBurkina Faso over water use have alsoboosted local people’s confidence in theinstitutional set-up. After a series of nego-tiations in 2007 and 2008, Burkina Fasofinally agreed to make an early warningannouncement to the Upper North Regionof Ghana before opening the dam gates torelease flood water.

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Embracing diversitySocial differences of language and faithcan be seen as an obstacle to public partic-ipation. According to Putnam (2000),trust and cooperative norms are built moreeasily within homogeneous – rather thanheterogeneous – groups. This project,however, demonstrated that, with the rightinstitutional designs and adequatesupport, embracing diversity can makepublic participation in transboundarywater governance more effective. Forexample in Ghana, three religions wererepresented in the four selected commu-nities: Muslim, Christian, and Pagan.While the ‘official’ languages in bothcommittees were English and French,languages such as Bisia, Kussasi, andKussal were spoken in their communities.To facilitate communication, interpreta-tion was provided during meetings. Thismade the meetings lengthy, but villagerepresentatives welcomed this initiativesince they felt they could engage in thediscussion. Christian and Muslim partici-pants were given equal opportunities toopen the meetings with prayers. Thesesocially- and religiously-inclusive policieshelped build trust and good working rela-tionships in the committees.

Gender inclusion To ensure fair gender representation, eachcommunity was asked to select at least onewoman as their representative. The maleproject coordinator highlighted the role ofwomen in water management: women areresponsible for fetching water and collect-ing firewood in most communities.Successful adaptation policies needed torecognise the contribution of women to,and involvement in, water management. Inaddition, the intrinsic rights of women tomake decisions affecting their lives wereclearly underlined in the joint proposal byWCU and SIDA (PAGEV proposal, 2003).One female representative said she feltempowered because she could raise ques-tions during the meetings and challenge

decisions that she thought wereunfavourable to her community.

Limitations Despite these successes, the project paidinadequate attention to the issues ofpoverty and power in developing andimplementing adaptation policies.

Poverty insensitivity The project proposal suggested that thecommittees and NGOs should use partici-patory approaches to understand the needsof each community and develop appropri-ate adaptation activities. However, in prac-tice the process was largely top-down andinsensitive to the needs of poorer farmers.The creation of buffer zones on the riverbanks, for example, hit poor farmersdisproportionately because river banks areusually fertile, and the river water makesfree irrigation possible. Although theproject organisers provided pumping facil-ities to make long-distance irrigation possi-ble, poorer farmers were often excludedfrom the pumping groups because theorganisers thought they could not affordthe fuel costs.

Free mango seedlings were also distrib-uted to provide an alternative farmingpractice. Cash crops such as mangoes havea high market value, potentially boostingfarmers’ incomes. The farmers, however,complained in interviews that it would takethree years to get the first harvest. Theyalso worried that when everyone switchedto growing mangoes, the price would dropand impact on profits. Although they hadexpressed their concerns to their commu-nity representatives, they had been ignored.As a result, some farmers stopped partici-pating in local meetings, believing them tobe of no benefit.

Reinforcing power inequalitiesThe NGOs played a dominant role inorganising the nomination of communityrepresentatives. Whilst they did ensuregender representation in choosing local


representatives, the NGOs failed to ensurethe inclusion of poorer farmers. This wasbecause the NGOs worked closely withlocal chieftains and Tindana. They arguedthat the support and approval of thesetraditional authority figures was importantto the success of the project. Also, sincemost land was owned by the chiefs orTindana, their support would ensure asmooth confiscation of land from farmersto create the buffer zone.

However, Laube’s research in Ghana(2007) argues that the chieftains andTindana are blamed for causing poverty.He suggests, for example, that the chief-tains prefer to lease land to less-poorfarmers because they own cattle and canprovide a free ploughing service. To safe-guard their own interests in the trans-boundary water project, the chiefs andTindana influenced the process of select-ing community representatives, ensuringthat members of their family were chosen.In this way, the project has helped consol-idate their authority, and the voices andinterests of poorer farmers have beenmarginalised in the decision-makingprocess (Wong, 2008).

This case study offers a good example ofthe ‘paradoxes of participation’ identifiedby Cleaver (2004). The project attemptedto set up new institutions for participation,but these new participatory spaces wereeasily captured by local elites.

Conclusions and policy implicationsClimate change affects people both locallyand regionally, and participatoryapproaches need to take a regional as wellas local perspective, and provide for bettercoordination between communities.Expanding the focus beyond an individualcommunity can create a common visionbetween communities and help localpeople be more aware of the cross-borderimpact of climate change.

The project described had some successin setting up transboundary water gover-nance structures and embracing social

heterogeneity with regard to gender, reli-gion, and language. However, the partici-patory space was so restricted thatcommunity members were largely ignoredin developing strategies for climate changeadaptation and water management.Although local people indicated theirawareness of the changing climate andriver flow, little effort was made to incor-porate local knowledge into adaptationstrategies. Local people were expected toadopt the policies they were told to.

Local people also had no say in theinstitutional arrangements and the compo-sition of the regional transboundary waterand country committees. Heavy reliance onthe support of local chieftains, for the sakeof efficiency, risked reinforcing power andgender inequalities in communities, andmarginalising poorer parts of the commu-nity in decision-making processes.

A preoccupation with setting up the‘right’ kinds of institutional arrangementsled to inadequate attention being paid toanalysing power and poverty when devis-ing and implementing adaptation policiesin communities. The confiscation of river-side farmlands and displacement of poorfarmers was caused by a lack of genuinefarmer participation from the outset. Thisraises concerns about the implicit prefer-ence for long-term ecological sustainabil-ity over the short-term livelihood interestsof poor people. No matter how well-intended the adaptation policies may be, afocus on long-term ecological sustainabilitycan pose a real threat to the livelihoods ofpoor people, and worsen poverty. Findingalternative sustainable livelihoods in orderto meet poor people’s current needs and toprotect long-term ecological sustainabilityis a matter of urgency.

If adaptation polices build on – andhelp reinforce – existing unequal socialstructures, poor people will become thevictims, rather than the beneficiaries, ofadaptation efforts. We need to raise aware-ness of the potential dangers of workingthrough existing social and political hier-

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archies. Learning from the poor andproviding them with sufficient supportshould be considered the first steps toachieving social justice.

CONTACT DETAILSSam WongLecturerDivision of Archaeological, Geographical, and Environmental StudiesUniversity of BradfordUKEmail: [email protected]

ACKNOWLEDGEMENTSThe writer would like to thank the British Academy for funding theresearch on which this article is based, and the Water ResourceCommission and ZOVFA in Ghana for their support.

REFERENCESCleaver, F. (2004). ‘The Social Embeddedness of Agency and Decision-

making.’ In S. Hickey and G. Mohan (eds) Participation: fromTyranny to Transformation? Exploring New Approaches toParticipation in Development. Zed Books: London.

IPCC (Inter-governmental Panel on Climate Change) (2008). Climatechange and water. IPCC Technical Paper IV.

Laube, W. (2007). Changing resource regimes in Northern Ghana:actors, structures and institutions. Lit: Berlin.

Need to add reference:Paavola, J. and N. Adger (2002). 'Justice and Adaptation to Climate

Change.' Tyndall Centre for Climate Change Research, WorkingPaper 23

Putnam, R. (2000). Bowling Alone: The Collapse and Revival ofAmerican Community. Simon and Schuster: London.

UNDP (United Nations Development Programmes) (2007). HumanDevelopment Report 2007/8: Fighting climate change and humansolidarity in a divided world.

Wong, S. (2008). ‘Humanising the World Bank’s Sustainable WaterFramework with “Pro-Poor” Principles of Governance.’ SocialAlternatives, 27(3):15-20.

Participatorytool-based casestudies

PART II107

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109

IntroductionInvolving local communities is a prerequi-site to sustainable disaster risk reduction.Local communities are both the primaryvictims and the first to respond to emer-gencies when disasters strike. Nobody ismore interested in reducing disaster riskthan the community whose survival andwell-being is at stake. Community-baseddisaster risk reduction (CBDRR) fostersthe participation of threatened communi-ties in both the evaluation of risk (includinghazards, vulnerability, and capacities) andways to reduce it. CBDRR should eventu-ally empower communities with self-devel-oped and culturally acceptable ways ofcoping with crises brought about by theoccurrence of natural hazards (e.g. Ander-son and Woodrow, 1989). Practitionersoften merge CBDRR with community-based adaptation to climate change (CBA)as the ability of people to face climatechanges shares root factors with the capac-ity to cope with natural hazards.

Currently, most CBDRR initiatives areconfined to community beneficiaries and

NGO facilitators. To further enhance disas-ter risk reduction, it is acknowledged thatCBDRR should integrate a larger array ofstakeholders, including local government,scientists, schools pupils, and faith groups.The participation of scientists and localgovernment in CBDRR is essential to inte-grate indigenous and scientific knowledge,as well as bottom-up and top-down disas-ter risk reduction measures. Yet scientistshave often overlooked CBDRR, consider-ing it to be too subjective and removedfrom scientific methodologies and rigorousprotocols, and local governments are oftenconstrained by top-down, command-and-control national disaster managementframeworks which give them little freedomfor alternative initiatives. Integrating tradi-tional and scientific knowledge, andbottom-up and top-down risk reductionmeasures, requires methodologies andtools which provide common ground fordialogue between stakeholders. Suchdialogue is crucial to build trust betweenactors who seldom work together.

This paper focuses on participatory

by JEAN-CHRISTOPHE GAILLARD and EMMANUEL A. MACEDA

Participatory three-dimensional mappingfor disaster riskreduction 8

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three-dimensional mapping (P3DM) as away to facilitate the integration of bothscientific and local knowledge and theparticipation of a large array of stakehold-ers in CBDRR. In this article, we firstprovide a short introduction to participa-tory mapping and CDBRR. Next, wedescribe the methodological process forintegrating P3DM into CBDRR. Finally,we explore its strengths and also reviewsome of the major limitations of P3DM forCBDRR.

Background: participatory mapping andCBDRRMaps are extensively used by both scien-tists and participatory learning and actionfacilitators as part of CBDRR activities.Participatory mapping enables communi-ties to delineate areas they perceive asvulnerable and prone to hazards, and toplot desired and useful risk reduction

measures. Most participatory mappingprojects, however, rely on two-dimensionalsketch maps. These are usually limited insize, making it difficult to integrate a highlevel of detail, especially at the householdlevel (number of people, vulnerable indi-viduals, livelihoods, etc.), which are crucialin disaster risk reduction. Furthermore,participatory maps are intelligible only tothose who made the maps. It is difficult tofoster their use among non-participantstakeholders, especially at the authoritylevel, to integrate top-down risk reductionmeasures, and as sketch maps are usuallynot scaled, they may introduce distortionswhich make it difficult to integrate scien-tific knowledge.

Participatory three-dimensional model-ling or mapping (P3DM) can help inattempting to overcome these shortcom-ings. It involves building stand-alonescaled relief maps made of locally available

Figure 1: Building a P3DM map in Divinubo, Eastern Samar, Philippines, August 2007.

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111Participatory three-dimensional mapping for disaster risk reduction

materials (e.g. cartons, paper), withthematic layers of geographical informa-tion (Rambaldi and Callosa-Tarr, 2002).P3DM enables the plotting of landformsand topographic landmarks, land coverand use, and anthropogenic features, whichare depicted in push-pins (points), yarns(lines), and paint (polygons).1 It is worthmentioning that P3DM most frequentlystands for participatory three-dimensionalmodelling. We here choose to replace‘modelling’ by ‘mapping’ to avoid confusionwith technological devices such ascomputer modelling.

Methodological process for integratingP3DM into CBDRRP3DM has recently been applied toCBDRR through three projects conductedin the Philippines between 2007 and early2009, in Divinubo (Eastern Samar),Masantol (Pampanga), and Dagupan(Pangasinan) (Table 1). In Divinubo,P3DM was planned after local officialsidentified a gap in the existing disaster riskreduction programme. The project eventu-ally involved the scientist facilitators, thelocal government, and a local people’sorganisation (PO). In Masantol, P3DMfollowed a request of the local governmentwhich helped to build a consortium ofstakeholders made up of scientists, thelocal government, a local NGO, a PO, andthe local high school community. InDagupan, P3DM was conducted inMangin as a late part of a large CBDRRproject involving officials from localgovernment, a Manila-based NGO, scien-tists, and members of the local community.

P3DM for CBDRR follows a five-stepmethodology which blends mapping activ-ities with other participatory tools forassessing and reducing disaster risks (e.g.listing, ranking, calendars, transects, andproblem trees).

Step 1 consists of building the reliefmap as detailed in Rambaldi and Callosa-Tarr (2002) (Figure 1). Most P3DM proj-ects for natural resource management andland conflict resolution use scales rangingfrom 1:5,000 to 1:10,000. In the threeprojects described here, much biggerscales were used, ranging from 1:400 to1:2,700, to allow details of people’s vulner-ability and capacities at the householdlevel to be shown. In Masantol, however,the 1:2,700 scale proved to be too small toplot the details desired by the differentstakeholders.

Step 2 is to plot land use and other geo-referenced features (Figure 2). Commu-nity members identify features which theydepend on for their livelihoods, such asfishing and hunting grounds, agriculturalfields, settlements, and roads. Participantsthen differentiate houses and public orprivate buildings (e.g. schools, churches,stores) according to their characteristicsand potential fragility (e.g. multi-storeycemented houses, one-storey cementedhouses, wooden houses). Houses andbuildings are plotted using pins of differ-ent kinds which may be further divided bysize and colour to identify building mate-rials. It is also possible to note on the pinsthe number of people living in each houseand their major sources of income/liveli-hoods. Participants eventually identify andlocate the most vulnerable people in thecommunity (e.g. young children, elderly,pregnant women, individuals with disabil-ities and long-term sickness) usinganother sort of pin with different colours.It is then possible to plot local resources toface natural hazards (e.g. boats, vehicles,fire hydrants) using additional pushpins(Figure 3).

Step 3 is to delineate hazard-proneareas based on participants’ own knowl-edge and experience (Figure 4). In Divin-

1 Further information on building participatory three-dimensional maps is available fromRambaldi and Callosa-Tarr (2002) and the Integrated Approaches to ParticipatoryDevelopment (IAPAD) website: http://ppgis.iapad.org. See also Rambaldi et al., (2006).


Tabl

e 1:

Sum

mar

y of

the

thr

ee P

3DM

pro

ject

s fo

r CB

DRR

con

duct

ed in

the

Phi

lippi

nes

betw

een

2007

and

200

9

Envi

ronm

enta

l con

text

Soci

al c

onte

xt

Mai

n na

tura

l haz

ards

Orig

in o

f the

P3D

M-

CBD

RR p

roje

ct

Part

icip

ants

Scal

e of

the

map

GIS

com

pone

nt

Mai

n pr

oble

ms

enco

unte

red

Mai

n le

sson

s le

arnt

Div

inub

o (E

aste

rn S

amar

) 200

7

Smal

l isla

nd

Isol

ated

fish

ing

com

mun

ity

• Tr

opic

al c

yclo

ne •

Sto

rm s

urge

• Ea

rthqu

ake

• Ts

unam

i

• CB

DRR

and

P3DM

pro

ject

pro

pose

d by

scie

ntist

s af

ter i

dent

ifica

tion

by th

elo

cal g

over

nmen

t of a

gap

in th

edi

sast

er ri

sk re

duct

ion

fram

ewor

k

• Pe

ople

’s or

gani

satio

n •

Loca

lgo

vern

men

t • S

cien

tists

1:40

0

Yes,

for s

cien

tists

• La

ck o

f loc

al N

GO

to u

nder

take

regu

lar

upda

ting

of th

e m

ap a

nd e

nsur

e its

sust

aina

bilit

y

• Im

porta

nce

of a

ntic

ipat

ing

pow

erre

latio

nshi

ps w

ithin

the

com

mun

ity•

Impo

rtanc

e of

P3D

M in

visu

alisi

ngte

rrito

ries

• Us

e of

the

third

dim

ensio

n in

map

ping

haza

rds

and

risk

redu

ctio

n m

easu

res

Mas

anto

l (Pa

mpa

nga)

200

8–09

Delta

ic p

lain

Aqua

cultu

re a

nd fi

shin

g co

mm

unity

• Fl

oodi

ng (t

idal

, plu

vial

, riv

er-re

late

d)•

Trop

ical

cyc

lone

• E

arth

quak

e •

Tsun

ami

• CB

DRR

proj

ect r

eque

sted

by

loca

l com

mun

ity le

ader

san

d th

e lo

cal g

over

nmen

t•

P3DM

sug

gest

ed b

y sc

ient

ists

• Pe

ople

’s or

gani

satio

n •

Scho

ol c

omm

unity

• Lo

cal N

GO

• L

ocal

gov

ernm

ent •

Sci

entis

ts

1:2,

700

No

• Sc

ale

too

smal

l to

plot

det

ails

at th

e ho

useh

old

leve

l(li

velih

oods

and

reso

urce

s to

face

haz

ards

)•

Too

man

y vi

llage

s co

vere

d, n

ot e

noug

h pa

rtici

pant

sfro

m e

ach

villa

ge a

nd th

us in

suffi

cien

t kno

wle

dge

oflo

cal h

ouse

hold

s•

Avai

labi

lity

of p

ushp

ins

• Sc

hool

pup

ils c

an b

e im

porta

nt p

artic

ipan

ts•

Poss

ibili

ties

for i

nteg

ratin

g de

tails

at t

he h

ouse

hold

leve

l•

Poss

ibili

ties

for i

nteg

ratin

g CB

DRR

into

dev

elop

men

tpl

anni

ng•

Impo

rtanc

e of

P3D

M in

visu

alisi

ng ri

sks

• Im

porta

nce

of p

artn

ersh

ip w

ith m

any

stak

ehol

ders

Dag

upan

(Pan

gasi

nan)

200

9

Delta

ic p

lain

Mul

ti-liv

elih

ood

subu

rban

com

mun

ity(fa

rmin

g, a

quac

ultu

re, u

rban

reso

urce

s)

• Fl

oodi

ng (p

luvi

al, r

iver

-rela

ted)

• Tr

opic

al c

yclo

ne •

Ear

thqu

ake

• Ts

unam

i

• P3

DM re

ques

ted

by N

GO

par

tner

as

part

of a

larg

e CB

DRR

proj

ect

• Pe

ople

’s or

gani

satio

n •

Nat

iona

l NG

O•

Loca

l gov

ernm

ent •

Sci

entis

ts

1:50

0

Yes,

for l

ocal

gov

ernm

ent

• In

suffi

cien

t tim

e to

plo

t dat

a at

the

hous

ehol

d le

vel

• Lo

cal c

omm

unity

may

be

very

cre

ativ

e in

over

com

ing

tech

nica

l sho

rtcom

ings

• Im

porta

nce

of p

erm

anen

t upd

atin

g•

Role

of l

ocal

lead

ers

• Po

ssib

ilitie

s fo

r int

egra

ting

CBDR

R in

tode

velo

pmen

t pla

nnin

g•

Role

of G

IS in

inte

grat

ing

top-

dow

n an

dbo

ttom

-up

risk

redu

ctio

n ac

tions


ubo, the neat divide between the islandplateau and the low-lying villagessurrounding it facilitated the definition ofhazard-prone areas. In Masantol, villagersdecided to differentiate between threetypes of floods: river floods, rain-fedfloods, and tidal floods. These three typesof floods and the different areas theyaffected had been totally overlooked in theofficial map drawn by scientists. Once thisstage is completed, scientists can thenoverlap their own spatial knowledge ofnatural hazards.

Step 4 is to plan disaster risk reductionmeasures. Multi-stakeholder group discus-sions take place using the map, and actionsare identified. In Divinubo, people agreedupon an agricultural field to be protectedin the event of a typhoon. P3DM alsoenabled them to define and plot measuresto be taken in times of crisis. Using themap, community members engaged indiscussions regarding warning signals able

to cover the entire project area. Theyplotted meeting points, safe evacuationroutes, and shelters (Figure 5). In Masan-tol, participants located the best places forinstalling flood markers. They also identi-fied a weak point along a fishpond dikewhich often collapses under the pressure ofcyclonic rains or tidal waters, leading to thelong-term flooding of three upstreamvillages. They decided to create a team withmembers from the different villages tomonitor the dike, and reinforce it in timesof very high tides and cyclones.

Step 5: data from the P3DM can beinput into a Geographic InformationSystem (GIS) for use by local governmentsor scientists. In Dagupan, the local govern-ment is digitising the map in order to getup-to-date and detailed geo-referencedand scaled information of its jurisdiction.In Divinubo, the P3DM also helped in ascientific study of people’s ability to copewith coastal hazards.

Figure 2: P3DM mapping of land cover and other features of the community of Divinubo, Easter Samar,Philippines, August 2007, emphasising indigenous knowledge.

Phot

o: J

-C. G

ailla

rd


Strengths of P3DM in reducing disasterriskP3DM is cost-effective and fosters the useof local materials. The methodology forbuilding the map is also easy to set up andto reproduce. P3DM can facilitate theparticipation of all sectors of the commu-nity, even those often marginalised, such aschildren, elders, women, and the disabled,through their direct involvement in theconstruction of a concrete, long-lasting toolfor CBDRR.

Building the map in three dimensionsand to an exact scale is crucial for the eval-uation and reduction of disaster risks.Vertical elevation is essential when themapping and comprehension of hazard-prone areas requires topographic andelevation references, e.g. for flooding,tsunamis, and landslides. The verticaldimension is also critical for locatingrefuges and evacuation areas on highergrounds. In the face of rare hazards such asvolcanic eruptions or earthquakes, whichmay be underestimated by local people, the

exact scale of P3DM allows scientists todelineate threatened areas as they wouldusually do on topographic maps or usingcomputer-based tools. Exact scale is impor-tant in locating disaster risk reductionmeasures according to hazard threats andcommunity vulnerability. In Divinubo, theexact scale of the map further proved to bevery useful in planning structural measures(a sea wall) intended to protect touristcottages and a multi-purpose hall.

Vulnerability and risk are abstractconcepts which usually materialise onlywhen hazards strike. Showing hazard-prone areas and community characteristicson the same map allows people to identifyhigh-risk areas in their immediate envi-ronment. In Masantol, for example, peoplequickly realised that in one village therewere many small coloured flags (repre-senting vulnerable people) and cylinder-like pins (representing vulnerable houses)within a flood-prone area. This promptedthem to consider this as a high-risk prior-ity area. P3DM can also be very useful

Figure 3: P3DM in Dagupan, Pangasinan, Philippines, July 2009.

Phot

o: J

-C. G

ailla

rd


among marginalised communities, such asthose living on small islands or in remoterural areas, who are among the mostvulnerable to natural hazards. In Divinubo,except for a few men who were more famil-iar with the island for farming and fishingpurposes, people did not have a completeand tangible appraisal of their territory.Most of the participants discovered the realshape, terrain, and land use of the islandwhen building the map.

P3DM fosters the participation of a

large range of stakeholders, and collabora-tion between scientists, government offi-cials, and local communities. It provides atangible tool around which the mostmarginalised people, including the illiter-ate who may have a very poor understand-ing of scientific concepts, can discussdisaster risk reduction with scientists, whoon the other hand may have a poor under-standing of the local context. All stake-holders can contribute their knowledgeusing the same tool. P3DM is credible to

Figure 4: Participants delineating flood-prone areas on a P3DM in Masantol, Pampanga, Philippines, August 2008.

Phot

o: J

-C. G

ailla

rd


both locals (including school pupils), whobuild the map and plot most of the infor-mation, and scientists and local govern-ment representatives who can easilyoverlap their own data and plans. In theprocess, NGO partners serve as facilitatorsand moderators.

The integration of bottom-up and top-down actions is further facilitated whenP3DM data are integrated into GIS tovalorise people’s indigenous knowledgebeyond the community which built themap. This data may be particularly usefulfor local governments in poor and margin-alised regions who are not able to purchaseexpensive satellite images, and it is mucheasier and less expensive to update on aregular basis. P3DM offers more informa-tion than is usually provided by remotesensing as it can also map underground

features such as the types of crop plantedin a given area. Finally, P3DM can inte-grate disaster risk reduction into the largerdevelopment framework. In Masantol,participants plan to use the map to locatethe best place to construct a bridge linkingsix isolated villages to the rest of the munic-ipality. The bridge will serve disaster risk-related needs (e.g. evacuation, rescue teamaccess) but also the needs of the villagerswho need daily access to public servicesand commercial places. The map will alsobe used to settle conflicts between differentfishing communities over fishing grounds.In Dagupan, locals use the map for healthsurveys and feeding programmes.

Limitations and perspectivesP3DM can be a powerful tool but it mustbe used with care. The initial consultation

Figure 5: P3DM including disaster risk reduction measures in Divinubo, Eastern Samar, Philippines, August 2007.

Phot

o: J

-C. G

ailla

rd


phase with all potential partners is crucialin ensuring the participation of the largestpossible pool of stakeholders, including themarginalised, who are often less visiblewithin the community. A good preliminaryknowledge of the local community and acautious assessment of the needs andexpectations of all potential participantsare essential. Should these preliminaryactivities be carefully conducted, P3DMmay help empower the most marginalised– both by providing them with access toscientific knowledge and by demonstratingto scientists the credibility of local knowl-edge. P3DM aims to level power differen-tials between locals and scientists, one ofthe main barriers to integrating local andscientific knowledge.

As with all participatory activities (seeChambers, 2008), P3DM raises ethicalissues. For example, the data plotted on themap is not anonymous, so sensitive infor-mation such as the location of batteredwives must be excluded from the map.Who does and who does not own the mapis also crucial as it may eventually be usedto gain funding or for political advance-ment. It is important to anticipate poten-tial turnovers in political leadership whichmay lead, for example, to the abandoningof regular map updates or to a shift in theuse and objectives of the map.

It is essential to remember that P3DMis not a stand-alone tool. It does not yetencompass all dimensions of people’svulnerability and capacities in the face ofnatural and other hazards, particularlysocial vulnerability/capacities. It is easier toplot infrastructures, houses, and farm lands

than client-patron relationships, gender-related inequalities, and social networks.Variation of vulnerability and capacities intime (especially in the short term) accord-ing to population mobility, e.g. from hometo work places, is another issue still to beaddressed on the maps. For these reasons,P3DM needs to be combined with calen-dars, profiles, transect walks, and othertools common to vulnerability and capaci-ties analysis (VCA) and participatory andlearning action approaches (e.g. Wisner,2006).

The usefulness of P3DM for CBDRR ishighly dependent on the scale chosen forthe map and whether there is space avail-able for storing it. The best scale forCBDRR seems to range from 1:500 to1:1000, although the large size of suchmaps limits their use to a single commu-nity. A very fine scale allows working at thehousehold level but requires a sufficientnumber of participants per community ora series of sessions to be able to get enoughdata. Those maps are also intended to beupdated regularly as infrastructures andsocial conditions change quickly. Bettersustainability is achieved when monitoringand upgrading the map relies on the long-term involvement of mapping facilitatorsfrom local NGOs or governments. It istherefore crucial that these stakeholdersserve as leading convenors of the P3DMactivities at the local level.

More P3DM projects are planned in thenear future in the Philippines and also inIndonesia, Comoros, and Cape Verde, andthese experiences should help to refine andimprove the methodology further.

CONTACT DETAILSJean-Christophe GaillardMaître de ConférencesUMR 5194 PacteCNRSUniversité de Grenoble14 bis avenue Marie Reynoard38100 GrenobleFrance


AND

Visiting ProfessorDepartment of GeographyUniversity of the PhilippinesDilimanQuezon CityPhilippines 1101Email: [email protected]

Emmanuel A. MacedaMSc CandidateDepartment of GeographyUniversity of the PhilippinesEmail: [email protected]

REFERENCESAnderson, M. & P. Woodrow (1989). Rising from the Ashes:

development strategies in times of disasters. Westview Press:Boulder

Chambers, R. (2008). Revolutions in Development Inquiry. Earthscan:London

Rambaldi, G. & J. Callosa-Tarr (2002). Participatory 3-DimensionalModelling: guiding principles and applications. ASEAN RegionalCentre for Biodiversity Conservation (ARCBC): Los Baños

Rambaldi, G., S. Tuivanuavou, P. Namata, P. Vanualailai, S. Rupeni, andE. Rupeni (2006). 'Resource use, development planning, andsafeguarding intangible cultural heritage: lessons from Fiji Islands.’ InParticipatory Learning and Action 54 Mapping for Change:practice, technologies and communications. IIED: London and CTA:Wageningen. Online: www.planotes.org/pla_backissues/54.html

Wisner, B. (2006). ‘Self-assessment of coping capacity: participatory,proactive and qualitative engagement of communities in their ownrisk management.’ In J. Birkmann (Ed.) Measuring Vulnerability toNatural Hazard: towards disaster-resilient societies. UNU-Press:Tokyo

119

Overview

We would like to appeal to all the leaderswho are making decisions about climatechange. We want to explain our problems:the children’s problems. We hope that theadults will listen to our voices and act onwhat we have to say.Vijay Giri, age 17, Bageshwari, Nepal

Climate change is one of the most pressingissues of our time with the greatest impactsbeing felt by poor and marginalised peopleliving in developing countries, and partic-ularly children. While children have donevery little to cause the changing climate,they will inherit its problems. This putsthem in the precarious situation of havingto cope with both current and futureimpacts from increasing climate shocksand stresses. Yet when decision makers

create policies and programmes for climatechange adaptation, children’s concerns arerarely part of the discussion, even thoughchildren will benefit most from increasedknowledge, resources, and funding.

The motivation to amplify children’svoices around their adaptation needsformed the basis for a participatory videoaction research project that took place inNepal in 2008 as part of an Institute ofDevelopment Studies (IDS) Mastersresearch project.1 As the lead researcher, Ihad worked as a video professional formore than 15 years, but had not previouslyused video as a participatory tool. Partici-patory video is an empowering processwhere video itself plays a role in transfor-mational social change. Kindon (2003)describes this as a process where commu-nity members ‘move forward in iterativecycles of shooting-reviewing’ to ‘create

1 The project was a joint research initiative with Change with Children in a ChangingClimate (CCC), the Institute of Development Studies (IDS), and ActionAid Nepal (AAN).Tamara Plush, the author, proposed the research as part of her Masters at the Institute ofDevelopment Studies in Participation, Power, and Social Change and served the role ofaction researcher, project coordinator, and participatory video facilitator with ActionAidNepal during the year-long study.

by TAMARA PLUSH

Amplifying children’svoices on climatechange: the role ofparticipatory video 9

60 � Plush 120

video narratives that communicate whatthose who participate in the process reallywant to communicate, in a way they thinkis appropriate.’

The study took place through anActionAid Nepal (AAN) programmealready working with children to buildtheir resilience to disasters: the DisasterRisk Reduction through Schools (DRRS)project.2 The video project focused on fivevillages in Nepal that had been previouslyidentified by government leaders as highlyimpacted by disasters due to flood,drought, and landslides. The participatoryvideo research project explored if theprocess of filmmaking – rather than tradi-tional approaches such as workshops orlectures – could better help children under-stand climate change impacts, identifycoping strategies, prioritise their adapta-tion needs, and advocate for change.

The methodologyThe research partners believed that imple-menting a participatory video project inisolation would do little to help childrenunderstand climate impacts and adapta-tion needs.3 Therefore, a short-term projectwould create little ownership of the solu-tion. So they embedded the video researchwithin the three-year DRRS project thatstarted in 2006. DRRS works to reducepeople’s vulnerabilities to disasters –including those associated with climatechange. The DRRS project uses Participa-tory Vulnerability Analysis (PVA).4 Thismethodology was developed by ActionAidthat builds on participatory approaches:

Participatory Vulnerability Analysis(PVA) is different from previous partici-patory methodologies because it not onlycollects data, but also mobilises the peopleto assess the root causes of their vulnera-bilities and the effects at individual,

family, and societal levels, and is followedup by them designing appropriate actionplans. The main motto of the process is thatthe communities know their own situa-tions best and so any analysis should bebuilt on their knowledge of local conditions(Gautam, 2007).

The participatory video research projecttook place in five DRRS villages from threedifferent geo-climatic regions of Nepal: • Banke district (Terai plains);• Rawuwa district (the mountainous zone);and • Kathmandu (the urban core).

Each regional study began with a five-day participatory video workshop aimed atthose already working with childrenthrough DRRS. Workshop participantsincluded staff from AAN partner organisa-tions and Disaster Management Commit-tee (DMC) members from the DRRSproject locations. Each workshop included12-18 women and men with a mix of educa-tion levels.

The participatory video workshops hadthree learning goals:• enhance the participant’s climate changeadaptation knowledge through locallyavailable learning tools (video and printmaterials in Nepali) so they can pass theknowledge to child groups in their villages;• build their technical skills in using videoequipment so they can function as thevideo crew; and • build their skills in using participatoryvideo for child-led awareness-raising andadvocacy so they can carry out the researchproject and use the skills for future proj-ects.

In the workshops and project, one ofthe challenges we found was that locallyavailable education tools on climate changewere often too technical or abstract forteaching children. Many of the materials

2 The DRRS project is funded by the Department for International Development (DfID).3 ActionAid Nepal, the Institute of Development Studies, and Children in a ChangingClimate.4 PVA manual: http://tinyurl.com/PVAmanual. Full URL:www.proventionconsortium.org/themes/default/pdfs/CRA/PVA_ActionAid2005_meth.pdf

121Amplifying children’s voices on climate change: the role of participatory video

also focused on an urban mitigationmessage (such as replacing light bulbs andrecycling), rather than on practical adapta-tion solutions more relevant to agriculture-driven communities with limited access toenergy sources. This is an area where moreattention is needed both in Nepal and at aninternational level.

After the workshops, the trained partic-ipatory video facilitators used the followingmethodology in each DRRS community tohelp the children articulate their climatechange adaptation priorities in their ownvoice: • The PV facilitators present the project tothe children and teachers for approval andinput.• The PV facilitators and local teachersteach the children the science of climatechange. • With PV facilitators, the children createquestions related to climate change andinterview each other and their elders togenerate local knowledge on the topic. Thechildren then watch the video footage andreflect on what they learnt. • With the PV facilitators, the childrenwork together to create a storyboard andscript for their film, and to guide theediting. The storyboard safeguards theirvision through the production process.• The children participate in making theirfilm as actors and supportive crewmembers. • Led by the children and PV facilitators,the film is shown to the community anddecision makers who can address the chil-dren’s concerns. • The PV facilitators work with a localresearch team to build on the informationgathered through the filmmaking processfor a printed report.• The AAN partners, ActionAid, IDS, andCCC distribute the report and child filmsto local, national, and international audi-ences.

The project was also designed from the

start with sustainability and local owner-ship in mind. The equipment was selectedcarefully for cost-effectiveness and ease-of-use both in shooting and editing on theAAN partner’s existing computers. Forexample, the project used hard drive videocameras that record content as video filesrather than onto a tape format. Thisdigital-only approach was easy for peoplewith little technical background to under-stand, and also avoided the necessity ofvideo cards and fast computers for editing.Each trained AAN partner received a videokit so they could continue to use participa-tory video as they deem appropriate withthe DRRS communities.

The approach: raise awareness foraction and advocate from the bottom upBoth the ActionAid PVA approach andparticipatory video research methodologysupport the notion that individual andpolitical empowerment starts when peopleundertake a process of understanding andreflecting on their own situations. This iswhy, for example, the participatory videomethodology was designed with space forreflection after the children interviewedeach other and their elders in the commu-nity, and before creating their final film.

Children learning about climate changeand disasters at school have a strong role toplay in raising community awareness.Their involvement in creating visual andoral messages can help as the literacy ratein Nepal is just 48.6% (62.7% for men;34.9% for women).5 This figure drops inthe rural areas of the video study, especiallyamong women. The importance of chil-dren in awareness-raising is why DRRSoperates through schools with the beliefthat children who are educated on disas-ters and climate change will then educateother children, their parents, and thecommunity. This is similar to the conceptof people-centred advocacy that seeks toeducate and influence decision makers

5 Nepal literacy rate of people 15 years or older, according to 2001 census.

60 � Plush 122

from the grassroots up in a way that‘enables and empowers the marginalised tospeak for themselves’ (Samuel, 2002). Thisdual role of child-led awareness andbottom-up advocacy led to the participa-tory video methodology. This allowed thechildren themselves to become actionresearchers to explore climate changeimpacts and adaptations at the communitylevel.

Through the report and filmmakingprocess, we found that children and youngpeople are already experiencing climateimpacts particular to them in areas such astheir health, education, mental and physi-cal well-being, and food security (Gautamand Oswald, 2008). In their video inter-views and the follow up report, theyexpressed how they are impacted:

It is difficult to go to school at the time offlooding. A lot of children have lost theirlives in accidents. Many are now disabled. Vijay Giri, age 17, Bageshwari, Nepal

The winter is not regular and other seasonshave also changed. The winter was veryshort this year. It has affected our crops.The snowfall helps crops like wheat, barley,and buckwheat grow well. But due to thelack of snowfall last year, not enough foodwas produced. Families faced food short-ages as their crops were not enough. Pham Maya Tamang, age 21, Sybru Besi,Nepal

We have had problems in finding food andwater. The soil and rocks were swept awayby the landslides. The animals did not getenough food. And the plants have not beenable to grow well. Sarita Tamang, age 14, Ramche, Nepal

It is important to point out that the storiesof climate impacts that we heard duringthe participatory video research are notisolated in their cause. They are organicand complex, and are often tied to otherproblems. For example, many of the recent

landslides near Ramche in the RasuwaDistrict have at their root deforestation byboth the local villagers and soldiers fromthe nearby army barracks. Therefore, as therains become more frequent and intense, itexacerbates the landslide problem.

The participatory video project inaction: a case study from Bageshwari,NepalThe children’s video study in Bageshwarigives a good overview of how the actionresearch project worked in practice.

As a first step, Bageshwari DMCmembers selected 15 children, agedbetween 12-17 and active in the DRRSproject, to work with the PV facilitators onthe video research. This group wouldexplore local climatic hazards and partici-pate in making a film on the issues theydiscover and prioritise. In Bageshwari, oneof the main areas they decided to exploremore deeply is flooding since it is one of themost widespread climatic hazards impact-ing on local children, especially on theireducation. In a recent study with children,Gautam, Kathayat, and Yadav (2008)reported that:

… in the views of the students, there was noproblem to cross the rivers a few years backand they had never experienced the fullnessof the flooding in these torrents as of theseyears. More erratic rains are experiencedand the students are of the opinion thatsuch patterns of rain cause the floods.

The next step was for the children tolearn about the science behind climatechange through Nepali teaching materials,and finalise their video questions to askeach other and their elders. Due to thecomplexity of explaining climate change,the children and PV facilitators decided tophrase their questions in relation to theweather. Here are a few examples of thequestions they developed:

Children asked other children on video(15 interviews):


• What problems do you face to go to schoolin the rainy season?• What do you need to change this situa-tion?

Children asked their elders on video (15interviews):• What was your occupation when I wasborn? • What difference do you find between pastand present farming?

• How has the weather changed since I wasin my first year at school?• What problems do we face from thechanging weather?• What should we do to overcome the prob-lems of weather change?

Through the elder and child interviewsin Bageshwari, the severity of climatechange and disaster impacts on the chil-dren and their families emerged:

Scene 1: Group of children with books, on a riverside

Girl child: ‘There isn’t much water today. I think we should cross the river and go to school today. We’vealready missed 3-4 days of school.’Children in chorus: ‘Yes! Yes!! Yes friends!!! We’ve got to cross and go to school today!’

Children cross the river in water up to their waist. A boy looses his footing and starts to drown; another boysaves him from the river but he is unconscious.

Scene 2: Children sitting in a circle in front of their school

Boy child: ‘We should also talk to them about the problems we have with the bridge. Only our books arespoilt today but tomorrow we may drown and die. So we should discuss these problems with our villageelders.’Everyone: ‘Yes, we have to discuss these matters.’

The drama ends with the children presenting their problems to government officials (actors) who agree tohelp them in building a bridge.

Box 1: Bageshwari children’s video: crossing the Murgiya Nala River during flooding

Children in Bageshwari, Nepal, use video to dramatise the challenges they face in reaching school during themonsoon floods, which are on the rise due to changes in the climate.

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We used to get regular rainfall. Now, if weget rain, it is heavy. Otherwise, we don’thave rain at all. This is what it’s like.There is great change. In the past, produc-tion was large. Now it is getting low andwe don’t have any income at all.Rudra Bahadur Oli, age 50, Bagesh-wari

During the monsoon we have not beenable to attend school regularly. We’vemissed a lot of exams.Meena Bohara, age 14, Bageshwari

When I go to school there are floods. Thereis a river very close. We get wet. Some-times children are killed. Krishna Bahadur Oli, age 12, Bagesh-wari

In reviewing the content of the commu-nity interviews, it was evident that the infor-mation gathered by video is similar tofindings presented at climate change work-shops and gleaned through traditionalresearch methods for written reports (seeMitchell, Tanner, and Lussier, 2007). Onedifference is how the children feel about theknowledge they gathered through theirvideo research and their sense of ownership:

Special workshops on climate change areonly one-way communications. Usingvideo is two-way communications. Hiddenthings in the community become real.Raj Kumari Rokaya, age 15, Bageshwari

Participatory video allows you to capturewhat is fact. In other research, someone

6 The video was included in the Children in a Changing Climate/ActionAid Nepal reportChild Voices: Children of Nepal Speak Out on Climate Change Adaptation, which builton the participatory video project in the DRRS communities. The video and report can befound at www.childreninachangingclimate.org/project_5.htm.

A young boy in Matehiya, Nepal, interviews his grandfather about the weather changes he has seen in the lastdecade. The interview is part of a child-led research component on a participatory video looking at climatechange impacts on children, and child-led solutions.

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asks a question and people may expressinformation that may not be true or thereal information may not be given. Thevideo process helps us capture reality.Vijay Giri, age 17, Bageshwari, Nepal

Through watching the interviews anddiscussing their problems, the Bageshwarichildren decided to make a video showingthe problems they experience crossing theMurgiya Nala River during flooding. Box 1presents a short extract from the 20-minute film they made in the hopes ofgetting a bridge.

The Bageshwari children’s film wasshown by the AAN partner – Bheri Envi-ronmental Excellence (BEE) Group – tothe local School Management Committee,teachers, community members, andgovernment officials. Many of themexpressed their concern for the children’ssafety and for their education since theycould see powerfully why children aremissing classes and exams during theflooding period:

Most of the Village District Committeemembers were impressed because the videoprovided a lot of information. They werevery sensitive to the child voices andbecame very serious when they were shown.The Ward members did not know theseproblems so they were new learnings.Ram Raj Kathayat, DRRS Coordinator,BEE Group

Additional video showings createdcommunity support for building the bridgein Bageshwari; so BEE Group applied forfunding:

We applied for UNDP funding with aproposal for a Community Based DisasterManagement Project and received a grantfor a small construction project in theBanke district. We believe that the chil-dren’s video was the most importantcomponent for UNDP to give us the grantbecause we mentioned our work experience

on using participatory video for climatechange advocacy.Gopal Yogi, Executive Director, BEEGroup

With the grant and DRRS funding, theBageshwari community agreed to spendthe funds to construct a bridge over theriver Murgiya Nala. It was completed inmid-2009.

With permission from Bageshwari andthe other DRRS villages participating inthe study, the video interviews and footagefrom the children’s final films were used toproduce a report and video targeted atsecuring child rights for climate changeadaptation programmes and funding.6

These materials were distributed at the UNClimate Change Conference (COP 14) inPoznań, Poland, in December 2008, andcontinue to be used for national and inter-national advocacy by ActionAid and Chil-dren in a Changing Climate.

The report and film were instrumentalin securing a promise to AAN staff byNepal government officials to include childrights within its National AdaptationProgramme of Action (NAPA). The NAPAlists Least Developed Countries’ urgent andimmediate needs for international fundingconsideration and is to be completed byDecember 2009 in Nepal.

The government has many issues toprioritise. But we went through the videoand report at COP 14 and showed them thesituation at the local level. We discussed thelinks to child rights. They agreed that inthe case of Nepal in the NAPA process, childrights need to have priority. This is a greatachievement.Nahakul Thapa, National Coordinator,DRRS project, ActionAid Nepal

Participatory video strengthsAs the action research has shown, theparticipatory video initiative led to manypositive results – the most important as a

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catalyst for change since it provided ameans for children to speak for themselveson the climate change adaptations issuesimportant to them. The outcomes resultedfrom a strategic process in project designand implementation based on the values ofworking with children to identify and solvetheir own problems. As well, the projectresulted in a host of lessons learnt for usingparticipatory video in the context of climatechange.

Using participatory video specifically withchildren can be an empowering method tounderstand, validate, and amplify theirclimate change concerns If participatory video is used as a process ofresearch-reflection-action, it can generatelocal knowledge, raise the consciousness ofthose involved, and provide a powerfulmechanism to convey specific childconcerns. Children experience a range ofclimate impacts and have unique adapta-tion needs that are not always consideredin climate change policy-making. Exam-ples include requests for infrastructure to

secure safe passage to school during flood-ing or landslides, livelihood support for thefamily to ensure the children are able tocomplete their schooling, or better educa-tional materials in the curriculum on disas-ter preparedness and climate changeknowledge.

Integrating participatory video into anexisting disaster and climate change riskreduction project can strengthen the use ofvideo as a tool to educate, empower, andadvocateMany development projects fail to take intoaccount the important components offamiliarity and trust. By working throughorganisations with strong community tiesand experience in DRR, the participatoryvideo process can add value to ongoingefforts to help children reduce their risk todisasters and climate change impacts. Theorganisations have established links tolocal, district, national, and internationalnetworks and decision makers. This canalso enhance advocacy efforts. It is easierfor familiar groups to introduce video into

Through the participatory video project, children showed that they have valid and unique concerns in adaptingto climate change. By using video to show their difficulty in getting to school during the monsoon floods,UNDP and ActionAid worked with the local government to approve and build the Murgiyana Bridge inBageshwari, Nepal, so the children could safely reach school.

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climate adaptation discussions that mayhave started prior to the video project, andwill continue after the project’s end.

Using participatory video as a tool forawareness-raising and people-centredadvocacy can strengthen links betweenscientific climate change data and localknowledge for more meaningful adaptationdebatesAs climate scientists and decision makersreach to the micro-level to deepen theirknowledge on community impacts, partic-ipatory video with children has the poten-tial to not only provide data, but offerprioritised solutions in the voice of thosemost affected. This creates an alternativeto expert-driven reports and may havemore impact if backed by people-centredadvocacy efforts that effectively link chil-dren’s concerns to development issues.

Using appropriate technology that is easy-to-use, affordable, and fits with the qualityneeds for video distribution increases itssustainability From its inception, project sustainabilityrequires an honest assessment of howpeople will use the equipment, where it willbe stored, who will have access, how it willbe maintained, who will coordinate andpay for repairs or replacements, and howthe organisation will fund future projects.These should be determined up front andsupported by necessary staff and resources.

Participatory video limitationsUnderstanding the limitations of partici-patory video is important for determiningif it is the appropriate development tool touse within a climate change project. Usingonly participatory video to generate localclimate knowledge has the danger of creat-ing fear of the unknown and needs thesupport of good adaptation learning tools.Too often, science information createsanxiety or confusion that makes theproblem too abstract and hard to under-stand for practical application. People

creating tools to facilitate climate changeeducation need to consider:• how people learn (perhaps by using morevisual communications means such asvideo, art, and drama);• what information is relevant to them(such as more emphasis on adaptation overmitigation); and• what strategies are viable within theircontext (as long as they are provided asguidance rather than as predeterminedactivities).

Participatory video also cannot magi-cally change power relations withincommunities, and may even heighten orreinforce them. Because video is an expen-sive novelty in many communities, intro-ducing it to a specific group can add totensions around who gets to use it and forwhat purpose. The project should be struc-tured to recognise and respond to theseissues.

Another limitation is that people shareexperiences differently on camera than inother types of interactions. Realistic expec-tations need to be set for the informationgathered through video versus other meansto ensure it is the appropriate choice tomeet the project goals.

Technology can also be a limitation andongoing training and the capacity forcontinued project management oversightmust be considered for long-term use.

A final limitation is the intensity of timeand energy needed to effectively use partic-ipatory video as a process for social changerather than a one-off video project involv-ing the community. This requires propercultivation through the project design,implementation, and impact assessment.

Conclusion: participatory video as acatalyst for changeTaking the strengths and limitations intoaccount, the project showed that participa-tory video can be an appropriate and viabletool to support children in their efforts toadapt to climate change. It can help demys-tify climate change as an incomprehensible

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CONTACT DETAILSTamara PlushEmail: [email protected]

ACKNOWLEDGEMENTSEditing contributions by Katy Oswald, Research Officer, Institute ofDevelopment Studies, and Marion Khamis, Communications Officer,Institute of Development Studies. Additional contributions by BimalKumar Phnuyal, Country Director, ActionAid Nepal; Nahakul Thapa,National Coordinator for DRRS, ActionAid Nepal; Gopal Yogi, Director,Bheri Environmental Excellence Group; and Ram Raj Kathayat, ProjectCoordinator for DRRS, Bheri Environmental Excellence Group.

REFERENCESGautam, D. (2007). Participatory Vulnerability Analysis (PVA) Process

and Outputs. DRRSP Schools and Neighborhood Communities,ActionAid Nepal

Gautam, D., R. Kathayat, and R. Yadav (2008). Impact of ClimateChange on Students, Schools and Neighbourhoods: ASociological Study from Matehiya and Bageshwori VDCs ofBanke, Mid-Western Nepal. ActionAid Nepal

Gautam, D. and K. Oswald (2008). Child Voices: Children of NepalSpeak Out on Climate Change Adaptation. Children in aChanging Climate Research

Kindon, S. (2003). ‘Participatory Video in Geographic Research: A Feminist Practice of Looking?’ Area 35:2, pp. 142-153

Mitchell, T., T. Tanner, and K. Lussier (2007). We know what we need!South Asian women speak out on climate change adaptation.Institute of Development Studies: UK

Samuel, J. (2002). ‘What is people-centred advocacy?’ PLA Notes 43Advocacy and citizen participation. IIED: London. Online:www.planotes.org/pla_backissues/43.html#pla04302

scientific subject by linking it to the day-to-day challenges children face. When they cananalyse their own situations, they learn andinternalise the impacts and solutions.Mobilisation for adaptation supportbecomes their right and a cornerstone foradvocacy, which they can address throughfilmmaking. The digital nature of videocommunications makes the concerns ofchildren accessible across distances forstronger participation and influence inlocal, district, national, and internationalpolicy and planning decisions. As childrencontinue to endure the impacts of aproblem they did not create, every effortneeds to be made to secure their right toclimate change adaptation programmesand funding. If used appropriately and withintegrity, participatory video can be apowerful tool to support these efforts. Thisis the essence of climate justice.

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IntroductionThis article describes the experiences andsome of the findings of a participatory videoproject. This pilot project investigated theeffectiveness of video for transferringcommunity-based climate change adapta-tion practices between vulnerable villages inSalima District, rural Malawi. In collabora-tion with the Red Cross and the Meteoro-logical Services, subsistence farmers in onevillage learnt how to operate a video camera,develop a script, and make a film showingexamples of adaptation practices they havebeen developing to adjust their livelihoodsto climate change. Mphunga’s ‘Adaptation toClimate Change’ film was then shown in fourneighbouring villages that have been suffer-ing from similar climate impacts. The resultsshow that participatory video can be ahelpful communication tool in spreadingknowledge of climate change adaptationmeasures between villages.

Background: climate change in ruralMalawiThe effects of climate change have increas-

ingly become visible in different regionsaround the world. The latest report of theIntergovernmental Panel on ClimateChange states that rural communities inAfrica are amongst the most vulnerable(IPCC, 2007a). The IPCC also says thatclimate change will lead to more extremeclimatic events, compromising crops, foodsecurity, shelter, and livelihoods (IPCC,2007b). Most subsistence farmers lackaccess to useful and comprehensible infor-mation about new scientific knowledgeabout climate change, and while alreadyadapting to changing conditions they rarelylearn about possible adaptive measuresdeveloped in other places that could helpreduce the negative impacts (Suarez et al.,2008).

Malawi is already experiencingincreased climatic variability and moreextreme events. Some of the worst impactsare poor crop yields and total crop failuredue to droughts and floods, and loss of lifedue to the consequent famine. Thecountry’s low economic power and adap-tive capacity puts pressure on the interna-

by FERNANDA BAUMHARDT, RALPH LASAGE, PABLO SUAREZ,and CHARLES CHADZA

Farmers becomefilmmakers: climatechange adaptation inMalawi 10

60 � Baumhardt, Lasage, Suarez, and Chadza 130

tional community to urgently fund inter-vention programmes to help the popula-tion to cope and adapt. Rural communitiesare amongst the most vulnerable groups(NAPA Malawi, 2006).

In this context, the Malawian Red CrossSociety initiated a programme calledPreparedness for Climate Change. Thisaimed to identify and address risks posedby climate change to their humanitarianwork. Building on findings of the analyticalcomponents of this programme, the MalawiRed Cross received a grant to develop videotools for promoting climate change adapta-tion from the Advancing Capacity forClimate Change Adaptation project(ACCCA). The proposal was formulatedand implemented in collaboration with theRed Cross/Red Crescent Climate Centreand the Malawi Meteorological Service.1

The proposal’s main assumption wasthat audio-visual communications can playa stronger role in community-basedclimate change adaptation in two ways:• to help transfer local adaptation experi-ences between vulnerable communities;and• to help bridge gaps between the scientificand the real world (Suarez et al., 2009).

Over a period of 18 months, this projectaimed to:

• convene stakeholders;• hold a series of workshops with subsis-tence farmers to discuss climate changeand what could be done about it;• support implementation of local adapta-tion measures; • produce video tools to disseminate adap-tation practices; and• evaluate the effectiveness of these tools.

Table 1 outlines the key steps of theproject.

This article reports on the evaluation ofparticipatory video as a communicationtool to promote climate change adaptationamongst farmer villagers in rural Malawi(Lunch and Lunch, 2006). This evaluationformed part of Baumhardt’s Masters thesisat the Environment and ResourcesManagement programme, Vrije Univer-siteit, Amsterdam. The hypothesis was thata film produced by the villagers with a localperspective, language, and approach couldbe an effective way of disseminatingcommunity-based adaptation.

We worked in five rural villages in thedistrict of Salima in Malawi, Africa (seeMap). Mphunga, Kasache, Pemba,Mwanza, and Maganga were chosenbecause of their high vulnerability toclimate change. The villagers’ livelihoodsare mainly based on smallholder farming,with the staple crop being maize (a grainthat often fails due to excessive or insuffi-cient rain). During participatory work-shops on climate risks, local peoplereported increased occurrence of flashfloods and droughts. The Malawian RedCross Society was key in providing a plat-form for local knowledge to be heard andacting as a gateway to communities.

The participatory video processBy June 2008, the Red CrossMalawi/ACCCA had worked collaborativelywith farmers in understanding the threatsposed by changing climate risks in centralMalawi, discussing key vulnerabilities of

Location of the research areas in Malawi,indicated as shaded circles North andEast of Salima town.

1 See Kasamale (2006) for more information on the ACCCA project. See also:www.acccaproject.org

131Farmers become filmmakers: climate change adaptation in Malawi

Mphunga, and identifying possible optionsfor adapting to observed and projectedclimatic conditions. These built both onlocal knowledge and on lessons gathered bythe Red Cross and other humanitarianorganisations outside Mphunga. A series ofparticipatory video workshops had enabledseveral farmers in Mphunga to becomefamiliar with filmmaking equipment andapproaches, and they had produced a shortvideo describing the impacts of a changingclimate in their village.2

In July 2008, the thesis sub-componentof the project began: producing films aboutadaptation practices. In a participatoryworkshop, a group Mphunga villagers – the‘Mphunga filmmakers’ – analysed whatthey had being doing differently as a resultof their understanding of climate change.

The filmmakers were broadly representa-tive of the community, consisting of 60%men and 40% women, with 43% between20 and 30 years old, 37% between 31 and40, and a few older members. Womenactively participated, with a preference forfilming instead of being in front of thecamera. The 20 villagers sat in a circle andshared their views and examples of adap-tation. The facilitator noted the measuresand the group voted for the most importantones. There was no limitation in terms ofhow many or what type and all villagerswere free to make suggestions. Theydefined a list of six adaptation messagesthat were going to be turned into a shortfilm to go on a ‘screening tour’ around thefour other villages. These villages were onaverage 40 km apart and had no contact

Table 1: Outline of the Malawi project on video tools for adaptation to climate change

2 ‘Mphunga Village, Malawi: Climate Change.’ Watch online:http://tinyurl.com/Mphunga-video Full URL:www.youtube.com/watch?v=FSquE0WKHuM

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Inception workshop for Red Cross, Meteorological Service, and other participating institutions

Series of participatory workshops at Mphunga on climate risks: • observed and projected impacts• exploration of possible adaptation measures

Series of participatory workshops at Mphunga on participatory video: • farmers learn to use camera equipment• farmers learn to formulate a script

Implementation of community-level adaptation measures

Participatory video work on climate adaptation measures:• selecting examples for video and formulating narrative• filming adaptation practices • video editing

Development of survey instruments to assess impact of video as dissemination tool

Screening in neighbouring villages and survey of participating farmers

• Screening and reporting of results at Mphunga • Questionnaire and video interviews of Mphunga filmmakers • Analysis and reporting

• Presentation at UN conference on climate change • Submission to World Bank Micro-Documentary Film Contest

Month Activity


with each other. After a ‘refresher’ session on the use of

the filming equipment, we began our activ-ities in a circle setting. Every filmmakerhad the opportunity to ‘play’ with thecamera, filming a friend and also speakingto the camera. When the villagers felt confi-dent, we suggested they organise them-selves into pairs: an on-camera reporter todeliver the adaptation message and acamera operator to record it. The farmerswere able express their knowledge, direct-ing and filming absolutely everythingaccording to their own perspectives.

The six climate change adaptationmessagesThe measures defined by Mphunga film-makers in their video are simple and easyto understand, as well as easy to replicatein other villages experiencing similar prob-lems.3 These were defined and filmed bythe villagers.

Diversification of cropsMost farmers depended heavily on maize,which was failing to produce good harvestswhen there was too much or too little rain.By planting more land with rice, beans,cassava, and other crops, farmers couldensure that some food would be producedeven with relatively unusual rainfall.

Irrigation farmingAgricultural practices in Mphunga areentirely dependent on rainfall. Yet in theneighbouring village of Kasache, simpletechnology allows for irrigation farmingthrough treadle pumps, providing water toplants and increasing production.

Ducks versus chickensWhen floods occur in the village, chickenscannot swim and often drown, affectinglocal food security. During a Red Crossworkshop on climate change adaptation,Mphunga farmers heard how women in

Mphunga villagers filming ‘flood alert’ message.

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3 Video: 'Adaptation to Climate Change by Mphunga Villagers.’ Watch online:http://tinyurl.com/Mphunga-video2Full URL: www.youtube.com/watch?v=2PcVn4oy3NI


Bangladesh decided to substitute chickenswith ducks, which can float and are morelikely to survive floods. Now Mphunga sellsducks to neighbouring communities.

Storm drains and elephant grassDuring floods, running water causes erosionand other damage. With the right measures,the negative impacts can be reduced.

Storage of foodMphunga farmers used to store theirharvest in granaries. When flooded, theharvest would spoil. Now farmers storegrains in 50-kilogramme bags inside theirhuts, so that when the waters rise they cantake the food to higher ground.

Flood AlertWaters can rise relatively rapidly, and catchhouseholds unprepared. Since the RedCross supported the formation of localaction teams, some community membersare responsible for alerting the village whenwaters rise by blowing a whistle.

The film tour The Red Cross organised screenings of thevideo in neighbouring communities.Groups of around 20 villagers wereselected by the village’s headman and gath-ered at the village schools, to watch thescreenings. While gender issues were notat the core of the project design, there wasan attempt to ensure balance. Overall therewere 60% men and 40% women partici-pants. The villages of Maganga, Mwanza,and Kasache were better balanced whilePemba had approximately 80% men and20% women. These events followed localtraditions, beginning with welcomingremarks and a group prayer. We explainedthat videos had been created by othervillagers like them to share messages. Firstwe showed pictures of the villagers makingthe film, which helped create an openatmosphere.

The film was screened on a laptopcomputer placed so that all the villagerscould see well. When the audience sawvillagers like them delivering their experi-ences on film, the room was filled by a

Mphunga filmmakers watching their own film.

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respectful and curious attention.To help us evaluate the method, partic-

ipants answered two questionnaires, onebefore and one after the screening, to helpdistinguish what they had learnt from thevideo. The Red Cross field coordinator andvillager’s liaison helped define the ques-tions to ensure they reflected and wereframed according to local reality. Any illit-erate villagers received help from a RedCross member or from a fellow farmerwhen completing the questions. A group ofvillagers were also interviewed on camerabefore and after the film.4 Both before andafter the screening, participants answeredquestions mainly about if and how theywere experiencing climate change, whetherit had an impact on their livelihoods,whether they were already adapting theirlivelihood practices as a consequence, andhow open they were to exploring new ideasof ways of doing this. For each answer,villagers had the option to say ‘No’. Figure1 compares the villagers’ responses bothbefore and after watching the film. It showsan overall increase of 55% in their willing-ness to adopt different livelihoods adapta-

tion measures after watching the film. Fora more qualitative capture of their views,four participants in each village were videointerviewed (see Box 1).5

In the final stage of the project we wentback to Mphunga, the filmmakers’ village.We showed their film to the whole group,and shared pictures and stories from thefour villages where their film had beenscreened. We also interviewed the film-makers on their perspectives of the process.

Eighty eight percent of the filmmakersconfirmed that they had enjoyed makingthe film, because it showed how much theyknew, because they felt empowered, andbecause it was good teamwork for thegroup (Figure 2). They demonstrated thatoverall, they had benefited from their expe-rience. There were many remarks abouthow much the villagers liked encouragingand teaching other villagers like themselvesabout their experiences of adapting toclimate change (see Box 1).

Lessons learnt and next stepsWe learnt many lessons during this project.Firstly, more work is needed to develop

4 This component was designed by Fernanda Baumhardt to fulfill requirements of herMasters thesis. Fernanda is also the founder of Pro Planeta, an organisation committedto the creation of media content that has a positive impact on the development ofhumanitarian projects.5 Baumhardt (2009) offers a more indepth analysis of the results.

Figure 1: Comparing perceptions of different livelihoods adaptation measures, bothbefore and after watching the film.

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Change crops

Pre-film already doing %Post-film willingness to do %

Plant multiplecrops

Eat more riceand less maize

Implementirrigation

Store fooddifferently

Have ducksinstead ofchicken


frameworks for design, implementation,and evaluation of participatory video as atool for transferring community-basedclimate change adaptation practices. Thismust take into account limited human andfinancial resources as well as the magni-tude of the task. Secondly, a substantialamount of energy was required to coordi-nate the participating actors – the RedCross national and international staff,climate experts, film technicians, and localvillagers. To promote this interdisciplinar-ity it is critical to build capacity among allstakeholders.

Also, to an extent, this project couldhave been more participatory. For example,

representatives from the Mphunga film-makers could have participated in the filmtour. That would certainly have been avaluable and additional step. However, themain goal of this part of the project was toassess whether or not it was possible toestablish effective community-to-community knowledge and experiencetransfer through video. The video itself wasproduced by one community using partic-ipatory video techniques to be screened atfour neighbouring communities. In thiscontext, the video was representing theMphunga filmmakers and reflecting theirperspectives, and was ‘the messenger’ itself.

Regarding the film production process,

6 Full URL: www.youtube.com/watch?v=MQYM3iRtABs

Jamila AnusaThe way I’ve seen the making of this film is very good because I’ve learnt about climate change exactlywhat it is in a way we can even teach our friends in the other villages.

Zainabu NyaudeIn the video what I liked most is to encourage other villagers who don’t know about these things. I want toteach others so they can be encouraged.

A sample of these interviews6 can be watched online in the short documentary ‘Farmers BecomeFilmmakers’: http://tinyurl.com/farmer-filmmakers

Box 1: Transcribed interviews from Mphunga filmmakers

Figure 2: Mphunga filmmakers’ final perceptions about making the film

I liked usingthe camera

I likedspeaking infront of the

camera

I liked todecide the

messages thatare importantto tell other

villagers

I can showhow much I

know

It’s goodteamwork

for myvillage

I feltempowered

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0


there are practical and technical require-ments that need to be considered. Firstly,if the film is to be produced and edited inthe local language, the project translatormust have good communication skills. Inparticular, during the editing session, thetranslator needs to be an effective interme-diary between the village editors and thetechnical editor. Secondly, electrical poweris an issue. Potential power cuts need to beplanned for during the editing process.This happened frequently during thisproject. Allow extra time to cover theresulting delays and constantly save youredited footage. In addition, if we had had apower generator, the film screenings couldhave had far more impact if the film wasprojected onto a bigger screen connectedto louder speakers.

A set of remaining project tasks is tofollow up on levels of adoption of adapta-tion measures and their impact. Theseinclude:

• screening the film ‘Adaptation to ClimateChange by Mphunga’ in other impactedvillages of Salima district;• expanding the participatory videoapproach to more Malawi villages as wellas other vulnerable countries;• developing new video tools aimed attraining Red Cross staff and volunteersabout how to communicate and use infor-mation for climate risk management; and • equipping the Malawi Red Cross withmobile video projection units to showvideos as part of other participatoryprocesses in remote communities.

Conclusions The initiatives reported here constitute afirst step in exploring the role of partici-patory video to support the formulationand dissemination of information aboutcommunity-based climate adaptation inMalawi. Ideally, this approach would beembedded in a larger, more ambitious

Kasache villagers filming irrigation farming message.

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participatory process of learning andaction also aimed at addressing the rootcauses of vulnerability to climate risk inMphunga and neighbouring villages.However, such an approach would requirelevels of experience and resources that arebeyond what is currently available to theMalawi Red Cross.

But even with its challenges and limi-tations, the results here show that partici-patory video is a suitable tool fortransferring community-based knowledgeon successful adaptive measures onclimate change between vulnerablecommunities. It also shows that villagersin developing countries can easily learnhow to make films telling their own storiesaccording to their local perspectives.

This participatory video approach,integrated with the work of a humanitar-ian organisation, has already helped someMalawian farmers to improve their foodsecurity in a changing climate.

People can learn new skills to cope withthe negative impacts of climate change,when they have access to relevant infor-mation. Six months after the video madeby Mphunga farmers was screened, AlickMalunje from Kasache village told a RedCross member:

I have started keeping my maize in bags.In January 2009 our village was affectedby flood. I was able to carry the bags to thetemporary shelter without difficulties. Idid not lose my food, however those whokeep their maize in granary lost the food.

Based on this experience, the RedCross/Red Crescent Climate Centre hasworked with partners, including localcommunities, to submit similar proposalsfor Senegal, Burkina Faso, Kenya, andTanzania. Each new proposal has beenshaped in collaboration with national andlocal stakeholders. As a result, the Malawi

pilot project acts as the foundation offuture work.

In the case of Burkina Faso andSenegal, a funding proposal has alreadybeen pre-approved by the Global Facilityfor Disaster Risk Reduction, which willalso have a peer-to-peer learning processbut will have more of an emphasis in theintegration of science-based climatepredictions at different timescales (not justclimate change but also imminent floods,seasonal drought forecasts, etc).7 In thecase of Kenya and Tanzania, the proposalsubmitted to the Rockefeller Foundationalso includes peer-to-peer learning but hasa focus on health dimensions of urbanflooding (such as water-borne diseases).

A video project ‘Farmer to farmerlearning in a changing climate’ has alsostarted in Ethiopia with support from theSpanish and the Netherlands Red CrossSocieties.8 Farmers from the Legambocommunity explain what they are doingabout climate change via video, and thenthe video is shared with another commu-nity, Ibnat. The film documents thisprocess and is aimed at encouragingpotential donors to support strengtheningparticipatory aspects of horizontal knowl-edge transfer.

At the same time, Pro Planeta issearching for the right partner to supportthe expansion of this method across simi-larly vulnerable and impacted villagesaround the world. Mphunga’s experienceindicates that it is not too ambitious toenvision the development of a worldwidecommunity-to-community linkage,enabled by participatory video, for theexchange of local experiences and prac-tices, to help empower communities tohelp each other adapt to climate change.The Himalayan shepherds and theAndean Quechuas might have a lot to sayamongst themselves. And, it only startswith one…

7 See: http://gfdrr.org8 The first draft of the video can be seen at: http://tinyurl.com/farmer-learning. Full URL:www.youtube.com/watch?v=m4O1q4QTgQA


CONTACT DETAILSFernanda BaumhardtRua Cristiano Viana 1186Jd. AméricaSão Paulo – SPCEP 05411-002BrazilEmail: [email protected]

Ralph LasageVrije UniversiteitInstitute for Environmental Studies (Instituut voor Milieustudies – IVM)De Boelelaan 1085, 1081 HV AmsterdamThe NetherlandsEmail: [email protected]

Pablo SuarezRed Cross/Red Crescent Climate CentrePO Box 28120, 2502 KC The HagueThe NetherlandsEmail: [email protected]

Charles ChadzaRed Cross HousePresidential WayArea 14, PO Box 30096LilongweMalawiEmail: [email protected]

REFERENCESBaumhardt, F. (2009). ‘Farmers as filmmakers: An evaluation of

participatory video as a communication tool for transferringcommunity-based climate change adaptation practices in ruralMalawi.’ Masters thesis, Institute for Environmental Studies, VrijeUniversiteit: Amsterdam

IPCC (2007a). ‘Climate Change 2007: Synthesis Report.’ Contribution ofWorking Groups I, II, and III to the Fourth Assessment Report of theIntergovernmental Panel on Climate Change

IPCC (2007b). ‘Climate Change 2007: Impacts, Adaptation andVulnerability.’ Contribution of Working Group II to the FourthAssessment Report of the Intergovernmental Panel on Climate Change

Kasamale, L. (2006). ‘AudioVisual tools for community-based adaptation:bridging the Malawi Red Cross and Meteorological Services.’ Projectproposal submitted to the programme Advancing Capacity to SupportClimate Change Adaptation (ACCCA). More information available at:www.acccaproject.org

Lunch, N. and C. Lunch (2006). Insights into participatory video: Ahandbook for the field. Insight: Oxford

NAPA (2006). Malawi’s National Adaptation Programmes of Action(NAPA). 1st edition, March 2006

Suarez, P., F. Ching, G. Ziervogel, I. Lemaire, D. Turnquest, J. Mendler deSuarez, and B. Wisner (2008). ‘Video-mediated approaches forcommunity-level climate adaptation.’ IDS Bulletin 39 (4): 96-104

Suarez, P., J. Ribot and A.G. Patt (2009). ‘Climate information, equity andvulnerability reduction.’ In: M. Ruth and M.E. Ibarraran (eds).Distributional Impacts of Climate Change and Disasters: Conceptsand Cases. Edward Elger: Cheltenham, UK

Participatorytools

PART III139

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Articles in this section are shorter, step-by-step descriptions of how to facilitate aparticular tool in a community, forexample, rain calendars and mentalmodels of the drivers and effects ofclimate change.

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IntroductionThe basic approach to developing a climatechange analysis is to obtain informationfrom two sources of climate expertise: • Climate science: what meteorologi-cal/weather and climate modelling datasays about the past, present, and future interms of both weather/seasonal variabilityand longer-term climate change trends. • Community or local knowledge of thosemost directly affected by these processes.

These can be used to develop a ‘most-likely scenario’ with communities, showingwhat climate trends are emerging and howthey might affect livelihoods in the future.The analysis can feed into a participatoryvulnerability and capacity assessment(PVCA), which may focus on several prior-ity factors increasing vulnerability, includ-ing climate change. This in turn could beused as a basis for climate change adapta-tion planning by communities.

Figure 1 shows the process of develop-ing a climate change analysis. Communityfeedback may well reveal climate factorsthat were not investigated with climate

scientists in step 1, so an iterative processto get maximum benefit from the science isneeded. This is best done by bringingclimate scientists into direct contact withcommunities, but this is often not possible(they are a scarce resource) so intermedi-aries such as agricultural extension or NGOstaff need to facilitate.

Accessing climate scienceUseful scientific data for a climate changeanalysis includes: • Historical data from meteorologicaldepartments, academic departments,weather stations, etc. • Seasonal forecasts for the next year frommeteorological departments and earlywarning systems. • What longer-term climate science cansay about future climate change fromclimate change models.

However, there are a number of chal-lenges in accessing climate science(Figure 2):• Gaps in the science: for example, atpresent longer-term general circulation

extract adapted from CHRISTIAN AID ADAPTATION TOOLKIT

Developing a climatechange analysis 11

60 � Christian Aid Adaptation Toolkit142

models of climate change are not able toprovide predictions at the national level, oreven the regional level. • Structures: for example, meteorologicalinstitutions are often poorly resourced,understaffed, lack facilities for generatingclimate data, and are not computerised, sothat data is not easily accessible. • Awareness and communication:community understanding of the cause andeffect relationships within climate changemay be poor, information on climate changeis often expressed in probabilities and statis-tics, which makes it difficult for communi-ties to understand, and access toinformation about short-term weather andlonger-term changes is limited, and suchinformation is often not trusted by commu-nities when it is available.

Given the challenges of accessingclimate science, practitioners may wellhave to rely heavily on community knowl-edge of past changes and assessment oflikely future changes.

Using climate science Even when scientific information is avail-able, it needs to be presented in a formatthat communities can understand, and tobe locally verified where possible, to ensurecredibility with users. Participatory ways ofpresenting climate science, and combiningit with local knowledge, are thereforecentral to the process of developing aclimate change analysis.

The case studies below, drawn fromChristian Aid and other valuable experi-ence, show some examples of how this canbe done.

Case study one: integration of seasonalforecasting, ZimbabweFarmers in the research area plant amixture of short-season maize, sorghum,and millet as their staple crops. Thesecommunities already have access to theseasonal rainfall forecasts developed at theannual Southern African Regional ClimateOutlook Forum (SARCOF). The SARCOF

Figure 1: Five steps to developing a climate change analysis.

143Developing a climate change analysis

forecasts are downscaled, interpreted, anddisseminated by the Zimbabwe Depart-ment of Meteorological Services, with radiobeing the most common medium forpeople to learn of them. The forecastscontain the rainfall estimates for the early(October to December) and late (Januaryto March) parts of the growing season, inthe form of probabilities for rainfall totalsfalling in the ranges of:• below normal (compared to the 10 driestof the past 30 seasons);• normal; and• above normal (compared to the 10 wettestof the past 30 seasons).

Participatory climate forecast workshopsBeginning in September 2000, a series ofannual participatory climate forecast work-shops were held in each village, designed tohelp a group of 50 farmers better under-stand the forecast and be able to apply it intheir farm management decisions.

A random group of farmers, half

women and half men, was selected by localcoordinators (extension staff, village chiefs,etc.). The following year, the coordinatorrandomly invited half the participants fromthe previous year’s workshop and a newrandom sample of 25 women and men.

The workshops took place in the villageprimary school, lasted three hours, andwere conducted in the local language.Each workshop was videoed to obtain atranscript of farmers’ questions andcomments.

The workshops followed a commonformat. • Firstly, farmers were asked to commenton the previous season’s rainfall data, andwhether it agreed with their recollection ofthe forecast.• Farmers were then asked to comment onthe success of their management practicesin the past year, given the rainfall thatoccurred.• They then offered their insights on thecoming year’s rainfall, based on their inter-

Figure 2: Challenges in accessing climate science


pretation of local, traditional rainfall indi-cators. • The forecast for the coming season wasexplained to farmers, in terms of the prob-abilities for below-normal, normal, andabove-normal rainfall.• The forecast was downscaled usingfarmers’ own historical data for local rain-fall quantities, to estimate likelihoods forranges of actual rainfall.• The information used to generate theforecast was explained in simple terms andquestions were invited, including a discus-sion of El Niño.• Finally, a discussion was facilitatedbetween the farmers and the local exten-sion officer on farm management practicesfor the coming year, taking into accountthe forecast, local indicators, and seedavailability.

Farmers were able to take advantage ofgood conditions to produce higher yields,so it may be that forecasts are of mostvalue to farmers in good years, in contrastto national-level planners who need toknow about drought years, enabling themto prepare for food insecurity.

Source: Effects of seasonal climateforecasts and participatory workshopsamong subsistence farmers in Zimbabwe– Anthony Patt, Pablo Suarez, andChiedza Gwata (PNAS, August 2005)

Case study two: Climate Field Schools,Indonesia Climate Field Schools (CFSs) were firstdeveloped in Indonesia, modelled on theFarmer Field School approach designed topromote integrated pest management.1

The basic objective was to develop aneffective method for communicatingclimate forecast information to end-users.More specifically, CFSs intended to:• increase farmers’ knowledge on climateand their ability to anticipate extremeclimate events;

• assist farmers in observing climaticparameters and their use in guiding farmactivities; and • assist farmers to interpret climate (fore-cast) information, in particular for plant-ing decisions and cropping strategy.

CFS development followed a two stageprocess:• a ‘socialisation phase’ which lasted foreight months and focused on increasingfarmer knowledge on climate and the useof seasonal forecast information to developa cropping strategy; and • an ‘institutionalisation phase’, whichcovered a further 32 months and focusedon putting this strategy into operation andcapacity-building farmer groups to inte-grate climate and forecast informationinto their farming activities.

In order to prepare for the implemen-tation of these two stages, agriculturalextension workers were trained by Mete-orology Department staff to act as inter-mediaries/trainers and a number ofmodules were developed and field tested,including: • elements of weather and climate and thedifference between weather and climate;• rain formation processes;• understanding terminology used inseasonal forecasting;• understanding probability concepts;• use and calibration of non-standardweather/climate measurement tools;• use of climate forecast information inplanting strategies;• using water balance concepts to estimateirrigation requirements and flood risks;and• quantifying the economic benefits ofusing climate forecast information.

CFSs took a strongly participatory‘ learning-by-doing’ approach, withfarmers putting module information intopractice over the agricultural season andreflecting on their experience through a

1 Farmer Field Schools (FFS) are where farmers share their experience, strengthen theirecological literacy through learning experiments, and identify ways of improvingagriculture through group problem-solving. See also Sherwood and Bentley, this issue.


continuous process of group discussionsand analysis with extension staff to informsubsequent action and strategy revision.

When the process was evaluated, 78%of farmers felt that their ability to integrateclimate and forecast information into theircropping strategies had increased signifi-cantly (7/10 or better). The key challengesidentified were translating climate infor-mation into user-friendly language forfarmers and integrating this into effectiveadaptation.

Source: Communicating ClimateForecasts to Farmers through ClimateField Schools: the Indonesian Experi-ence – Rizaldi Boer, Kusnomo Tamkani,and A.R. Subbiah

Documenting community knowledge ofpast and recent climate changeLocal communities, particularly thoserelying on natural resources, have devel-oped a high degree of local knowledge andit is important to capture this.

This kind of knowledge can be capturedthrough participatory tools such ascommunity charts or timelines (see Box 1).

Some tips for facilitating timelines: • Try to cover extreme weather events overthe past 30 years, e.g. severe droughts andfloods, as well as late onset of rains,increased occurrence of dry spells withinrainy seasons, and their effects on liveli-hoods. • Cover any of these events that are clearly

Atbara Partners Consortium members developed a climate timeline as part of a workshop to review aclimate change awareness-raising project. The members determined the main climate features that affectedtheir lives and livelihoods and discussed the trend over the past 30 years, but with a focus on the last 10years as this was (a) easier to remember and (b) a time in which there was agreement that changes awayfrom the normal variation had occurred. Also involved in the discussion were two staff from AtbaraMeteorological Station, who questioned consortium members’ perceptions, corrected dates, and gavestatistical evidence from their records.

The notable disagreements centred on rainfall patterns, with meteorologists conceding that with limitedrain stations and the localised nature of flash floods, these could be missed in the records. Increasedaverage temperatures were not verified by the statistics but members’ perceptions could be linked toincreased humidity (which feels hotter) and increased variation (hence the 2007 record high), which wassuggested as an emerging pattern by the climate scientists. The challenges agreed by the consortium are to:• deepen the analysis to include differences in trend and variability;• continue the process to determine what the likely scenario for the next 10 years will be;• how this will affect the vulnerability of their livelihoods; and• what therefore the consortium should do in terms of project development and implementation.

Box 1: Climate timeline, Sudan

Source: Review of the CC Innovation Fund 2007-8, Christian Aid


outside existing experience or unprece-dented. This will give an indication as towhether the experienced change is reallyclimate change or part of a decadal cycle (aclimate feature that cycles over a multi-yearperiod). Make sure the knowledge of oldermembers of the community are accessed asthey will be able to remember older eventsand can confirm whether a more recentevent really is unprecedented. • Include local responses associated withthese events, such as any temporary migra-tion (rural-urban, to other rural areas),particular coping mechanisms used,members of the community most severelyaffected, and why. These can providefurther information as to the relative sever-ity of a particular event. • For the most recent 10 years, increase thelevel of detail and highlight good, average,poor, and very poor seasons and significantclimate features and note any interrela-tionships.

Case study three: seasonal analysis chart,India In Purulia (West Bengal), communitygroups analysed the way in which seasonshad changed over the past five to six years,the agreed time over which group membersfelt that changes in seasonality hademerged. Farmers talked of a trend overthe last five to six years toward only threeseasons – winter, summer, and monsoon –rather than the six they used to experience.This was something that even oldercommunity members highlighted asunprecedented, citing problems with thetiming of traditional ceremonies in theharvest rains period (see Table 1).

Changing conditions within the threemain seasons – summer, monsoon rains,and winter – were also noted, such aswarmer winters, hotter summers, andextended hot spells within the monsoonseason that caused visible heat stress incrops and other plants. In the past, the

Source: Climate Change Review of DRCSC – Richard Ewbank, Christian Aid.

Table 1: Seasonal analysis chart, India

Season

Summer

Early rains

Main monsoonand

Harvest rains

Dew

Winter

Spring

Timing

April/May

June

July –September

October/November

November

December –March

March

Typical conditions

Hot and dry, 30–40°C

Early planting rains which breakthe heat of the summer

30–35°C, increased humidity,main growing season

Mainly showers, cloudy weatherwith vivid blue skies, lowerhumidity and temperature –a ‘happy time’

Cooling temperatures, dry butwith morning dew on plants

Cold dry weather, 10°C or lower

Warming, dry weather

Emerging conditions

Summer tending to hotter temperatures(high rather than low 30s), curtailedabruptly by early rains in May

When rains arrive, they arrive earlier(April/May) and tend to be constant over6/7 days with little respite, followed byhot, humid dry spells

Harvest rains seem to have diminished

Dew season seems to be disappearing

Winter tends to be shorter and warmer,rarely dropping below 10°C

Spring seems to be disappearing aswinter passes rapidly into summer


main monsoon rains tended to bring heavyrain early in the day, which then subsidedto allow working in the paddy fields, withrain often resuming in the evening. Thecurrent trend is for constant rainfall forextended periods followed by hot, dryspells. This affects work patterns, makingcultivation of supplementary crops (whichare an increasingly important adaptationstrategy) difficult.

In terms of livelihood response, thecommunity highlighted crop diversification(including increased cultivation of maize,groundnuts, cowpeas, and vegetables),moving from hybrid 60-day to traditional30-day rice varieties which are moredrought tolerant, increased use of pondsfor supplementary irrigation, as well as fishfarming.

Projecting into the futureUnlike probabilistic weather forecasts thatgive a percentage likelihood of somethinghappening, the community needs anagreed ‘most-likely scenario’ with which toguide future adaptation. This can beachieved by:

• Prioritising the three to four (maximum)factors that are considered the highestpriority climate change threats to liveli-hoods i.e. those causing most damage tolivelihoods. These can be identified bylisting all climate factors affecting liveli-hoods identified with communities, andpairwise ranking them.2

• Using the assumption that the directionof change experienced over the past 10years will continue for the next 10 years, dothis for both trend and variability but useany available long-term climate modellinginformation as a guide to whether thisassumption needs to be adjusted.• For each of the priority climate factors,allow for discussion amongst the commu-nity members. This is not an exact processbut the analysis must be agreed to be cred-ible.• Follow the logic of Figure 3 above, but usea way of recording that the community caneasily understand – they will probably wantto use less mathematical ways of repre-senting their view of past and futureclimate (such as the seasonal analysis chartor climate timeline).

2 For more information on pairwise ranking see e.g. ‘Pair wise ranking made easy,’ TimRussell, in PLA Notes 28. Online: www.planotes.org/documents/plan_02806.PDF

Figure 3: Developing a climate change timeline


• Where communities have already devel-oped action plans, the analysis can be inte-grated into these plans. Detailing the likelyimpact on resources and features identifiedin community maps is a useful tool in thisrespect.3

• Given the focus on anthropogenic or man-made climate change, it is important toensure that the most-likely scenarios arerelated as far as possible to climate change,rather than other factors that may have alivelihoods impact e.g. diversion of riversreducing irrigation water resources ratherthan reduced rainfall.

Reporting back lessons learnt to climatescientistsIf possible, report the process back to climatescientists (primarily in meteorology depart-ments/institutions, but also academic insti-tutions or specialised climate/climate changeorganisations) so that they are aware of:• the results of the exercise;• the constraints and challenges encoun-tered; and• the community priorities that futureclimate science could address.

This will be important in developing orstrengthening climate science–communitylinkages and highlighting the importanceof increased resources for this.

Source: adapted from Christian Aid(2009). ‘Module I: Framework andApproach.’ Christian Aid AdaptationToolkit: Integrating adaptation to climatechange into secure livelihoods. ChristianAid: UK. The manual (available fromChristian Aid) gives fuller details of thisprocess, including how to find and inter-pret scientific meteorological and climatechange data.

3 See e.g. Gaillard and Maceda, this issue, for more on community mapping tools.

CONTACT DETAILSRichard Ewbank Christian Aid35 Lower Marsh London SE1 7RLUKEmail: [email protected]

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CARE and the International Institute forSustainable Development (IISD) collabo-rated to pilot the use of an innovative toolfor participatory analysis of changing rain-fall patterns. The rain calendar tool isdesigned to gather community perceptionsof rainfall patterns, to determine theparameters for good, average, and badyears in terms of rainfall, and to provide aplatform for discussing risk managementstrategies to adapt to changing rainfallpatterns.

How to facilitate the toolThe tool essentially combines a historicaltimeline with a seasonal calendar. • Participants are asked to plot rainfall andtemperature conditions experienced overfive or more years. • They plot the timing, that is, the monthsor seasons (and where possible, the specificweeks) during which rain fell in their local-ity. They also plot the amount of rainfallreceived under the categories oflittle/below normal, average/normal, orheavy/above normal rainfall.

• In the same way, information on temper-ature level (normal, high, cold, very cold)and timing is plotted for each year. • Participants also describe the nature,duration, distribution, and effects of rain-fall and temperature conditions experi-enced on their livelihoods. • Where meteorological weather recordsand other relevant reports are available atthe local level, these are compared to theinformation provided by communities forvalidation.

Case study: examining the vulnerabilityof pastoralists to climate change inEthiopia CARE, IISD, and Save the Children UKused the tool on a pilot basis in a collabo-rative research project in May and June2009. The project examined the vulnera-bility to climate change of pastoral commu-nities in the Somali and Borana regions ofEthiopia. Approximately 24 focus groupsdisaggregated by gender and age wereinvolved in developing rain calendars.

In Kalabaydh village (Shinile district,

by CYNTHIA AWUOR and ANNE HAMMILL

Rain calendars: a toolfor understandingchanging rainfallpatterns and effectson livelihoods

12

60 �Awuor and Hammill150

Somali zone), the rain calendar helpedcommunity groups to compare weatherconditions (rainfall and temperature) interms of quantity, quality, and distributionduring the main seasons (Gu and Karan)across past years (Table 1). The calendarsshowed that, in 2009, daytime tempera-tures in the Gu season (March to May)

were the warmest experienced so far in thelast five years. They also showed local vari-ations in rainfall: some locations within thearea receive comparatively higher rainfallthan others in given seasons, and thisresults in a higher concentration of live-stock in such areas and the potential for therapid spread of livestock diseases. The

Table 1: Rain calendar, Kalabaydh Village, Shinile District, Ethiopia, May and June 2009

MONTHS Jan Feb Mar Apr May Jun July Aug Sept Oct Nov Dec

Rainy Seasons Gu Season Karan Season

YEARS

2009 R X X X X ** X

T

2008 R X X X ** ** X X X X

T

2007 R X X ** ** ** X ** ** ** X X X

T

2006 R X X X X X X X

T

2005 R X X X X X X

T

Key:

** Light rain showers X no rain normal rain heavy rain

normal temp. high temp. cold temp. very cold temp.

R = rainT = temperature

151Rain calendars: a tool for understanding changing rainfall patterns and effects on livelihoods

calendars also recorded other major eventsthat affected the lives of communitiesacross the rain calendar years for example,years when they experienced severedroughts as well as years when they hadgood rains, or huge losses of livestock dueto diseases and drought.

The rain calendar was used to facilitatediscussions and reflections on:• Other factors that contribute to the prob-lems communities experience, such aspopulation growth and pressure onresources. • Current coping strategies such as feeding

livestock on relief food, herd diversification,purchase of grain, and the sale of firewoodand charcoal were also discussed. Commu-nities reflected on the sustainability andeffectiveness of their coping strategies, andarticulated their needs in terms of the typesof support they require to help them adapt tolonger-term changes, and reduce the nega-tive impacts of various coping strategies. Forexample, the Kalabaydh community notedthat the government should provide physicaland financial resources for the constructionof water reservoirs, and tap the availableground water and distribute it in the area.

Notes on rainfall and temperature

Two days of rain showers in the third week of May.

High temperatures. Temperatures were warmer than in 2008.

In the Gu season, the rains were near normal and were better than in 2009. In the Karan season, light rainshowers fell for 1 to 2 days. However, some pocket areas received Karan rains for more than 2 days. The 2008rains were insufficient. Most livestock were not returned to the area due to insufficient pasture. In pocketareas that received more rain, the community was advised not to concentrate livestock there due to thespread of diseases.

In January and February, days were very warm and nights were cold. Temperatures increased in March andApril and were very high in May and June. Temperatures began to decrease in September. October was thecoolest month.

The rain was of little quantity. It was poorly distributed and fell in a few areas in both the Gu and Karanseasons.

Between March and June, temperatures increased though they were cooler than in 2009. From July toSeptember, temperatures were very warm during the day and the nights were windy. From October toDecember, temperatures were moderate. There were huge livestock deaths in 2007and 2006.

The rainfall was good in March and April. In August and September, the rains were normal. An unknowndisease affected camels in August and September. Other livestock were also affected by a disease that led tomiscarriages.

There was normal temperature all year.

There was very good rain in both the Gu and Karan seasons.

Temperatures were warmer than in the previous year (2004).

60 �Awuor and Hammill152

Strengths and limitations of raincalendarsThe rain calendar is a simple, user-friendlyparticipatory tool. It takes a relatively shorttime to apply it, and it doesn’t require ahigh level of expertise to use.

The rain calendar provides useful infor-mation that can be used to compareweather conditions for specific sites acrossseasons and years. It helps documentchanges in the predictability of rainy anddry seasons, based on the onset and cessa-tion. It also clarifies the consequences ofthe changes on livelihoods. However, itmay not help in providing patterns ofweather conditions.

Since the rain calendar is a tool that isuseful at local level, it is important to accu-rately translate information into and fromlocal languages when applying the tool inthe field. It is also important for facilitatorsto be clear on the specific types and param-eters of information to gather, and use astandard template (including symbols) forrecording gathered information. Thismakes it easier to understand conditionsexperienced at a glance, and harmonisesuch information.

The rain calendar provides qualitativeweather information for specific locations.It helps project practitioners andresearchers to better understand howcommunity members evaluate theirweather conditions, and how changes inthese conditions affect their livelihoods.From the pilot study, it was noted thatcommunities’ interpretation of good or badseasons incorporates weather as well asother conditions such as:• quantities of crop yields;• pasture availability;• livestock productivity;• occurrence of abnormal livestock andhuman diseases and mortality;• duration of migrations (which could bedue to bad weather, political conflicts etc.);and• access to markets.

For example, the group of older men in

Kalabaydh village noted that over the last10 years, it has been getting warmer anddrier in the area. Consequently, livestocknumbers and quantities of milk producedhave reduced over this time. The olderwomen mentioned that they constructedsemi-permanent houses in 2004 whenthere was plenty of rain and abundant, goodquality grass. They also noted that 2007 wasa bad year because it was very dry in boththe Gu and Karan seasons, their familymembers had to migrate livestock toOromiya, and they suffered loss of somelivestock due to camel-rustling in Oromiya.

It is therefore important for the facili-tators to guide discussions in a way thatwill bring out precise information onweather conditions separately from otherconditions that affect communities. Forexample, based on the informationprovided by communities, facilitatorsshould ask follow-up as well as guidingquestions that would bring out additionaland specific information sought for thepurposes of developing the rain calendar.

The rain calendar relies on participants’collective memory. It was noted that theprecision and accuracy of informationprovided diminishes after five years. There-fore, the rain calendar cannot be used todetermine changes in trends of weatherconditions for the specific locations inwhich it is applied.

The information obtained through therain calendar can be augmented withlarger-scale quantitative meteorologicaldata for project planning and implementa-tion.

153Rain calendars: a tool for understanding changing rainfall patterns and effects on livelihoods

CONTACT DETAILSCynthia AwuorRegional Climate Change Focal Point, East and Central AfricaCARE International in KenyaMucai Road, Off Ngong RoadPO Box 43864-00100NairobiKenyaTel. + 254 20 2710069/ 2712374Email: [email protected]: www.care.org

Anne HammillSenior ResearcherInternational Institute for Sustainable Development (IISD)161 Portage Avenue East, 6th FloorWinnipegManitobaCanadaR3B 0Y4Tel: +1 204 958 7700Email: [email protected]: www.iisd.ca

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Mental models and their purposeClimate change is a complex issue, andmany lay people, not only those in the devel-oping world, have difficulties grasping whatexactly causes changes in the climate systemand what the consequences of thesechanges may be. Yet, understanding thebasic dynamics is important for adaptationdecision-making. In other words, if onedoesn’t understand what to adapt to, choos-ing the most appropriate and timely pro-active strategies and trade-offs becomesproblematic, if not impossible.

In the context of the USAID-fundedcollective Climate Change Learning andObservatory Network Ghana (CCLONG),we have used mental models as a visual toolthat allows various stakeholders to depicthow they understand drivers and impactsof climatic changes.1 Four researchers,including three students, from theRegional Institute for Populations Studiesat the University of Ghana, the main

partner on the CCLONG project, weretrained to construct and discuss suchmental models with community members,agricultural extension agents, and district-level policy makers in Ghana. This partici-patory tool provides an opportunity tomake visible the connections between localand global factors (drivers) that shapechanges in rainfall and temperaturepatterns as they have been observed at thelocal level. At the same time, the conceptmaps permit outside agencies such asresearchers and NGOs to identify potentialknowledge gaps that then can be filled inways that enhance not only placed-basedunderstandings of complex processes but,ultimately, adaptive capacity.

The processWe have employed mental models withnine farming/fishing communities, 20agricultural extension agents, and 12governmental representatives at the level

1 Mental models are described as psychological representations of ‘problems’ in theform of conceptual maps of ideas. See Bostrom et al. (1992 and 1994 ) and Zaksekand Arvai (2004).

by PETRA TSCHAKERT and REGINA SAGOE

Mental models:understanding thecauses andconsequences ofclimate change

13

155Mental models: understanding the causes and consequences of climate change

of district assemblies in three project areasin Ghana:• Kwahu North (including the communi-ties of MemChemfre, Xedzodzoekope, andAkyemfour and the district capital Donko-rkrom);• Wenchi and Tain Districts (villages ofBuoku, Asuano, and Bofie, as well as thetown of Wenchi); and• Bawku East (communities of Kaadi,Denugu, and Pusiga).

Between July 2007 and July 2008, atotal of 18 mental models were producedwith:• large groups of up to 30 people, both menand women, during community focusgroup discussions; and• small groups, pairs, or individuals, espe-cially in the case of policy makers andextension agents.

Step oneThe activity starts with a brief conversationor revisiting of previous discussions onclimate change. Participants either draw asymbol to represent climate change orwrite in their local language on a largepost-it note. This central post-it note isplaced in the middle of a large sheet ofpaper and serves as the starting point forthe mental model activity. Since there is notalways an expression for ‘climate change’ inthe local language, a short description,

agreed with community members, may beneeded (see Box 1).

Step twoParticipants are then asked to identify allfactors and processes that they believecause climatic changes. Each factor iswritten or drawn onto a separate post-itnote, and placed on the left-hand side ofthe sheet. A chain of effects or processescan be identified by linking specific causesthrough arrows. We ask participants todistinguish between factors and processesthat are brought about by people and thosethat are outside of human control.

Step threeWhen all causes (drivers) are identified,participants are encouraged to identify theconsequences of these changes, both forpeople and the environment, and add themto the right-hand side of the sheet. Theseconsequences or impacts may be positiveand desirable or negative and harmful.Again, each impact or effect is written ordrawn on a separate post-it note. Addi-tional arrows should be added betweenfactors that are related to each other.

Step fourOnce the entire mental model iscompleted, the last step is to reflect uponstrategies that people currently use or have

Participants add a factor to their mental model,Xedzodzoekope, Kwahu North, Ghana.

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In Ghana, there is no one expression inthe local dialects of Twi, Ewes,Nafaara/Banda, or Kusaal that capturesthe notion of climate change; hence, ashort descriptive term is needed. InXedzodzoekope, we used XeXeame fetotro (Ewe dialect), in Bawku East, Tingasameya (Kusaal dialect), in Tain District,Wangra chine (Nafaara/Banda dialect), inMemChemfre, Reyifi fe totro (also Ewesdialect but a slightly different notion ofclimate change), and in Akyemfour, Ewuimnsakraye (Twi dialect).

Box 1: Expressions for climatechange

60 � Tschakert and Sagoe156

used in the past to:• reduce the negative impacts of climaticchanges; and • enhance the desirable consequences ofchange.

What do mental models tell us?Interestingly, most participants at thecommunity level first cited God or Allah asbeing responsible for changes in rainfallpatterns. These changes are typicallybelieved to be connected to some sinfulbehaviour of humans. In the absence ofgood communication and awareness-raising tools and material on climatechange, people in Ghana’s rural areas relyon their own frames of reference to justifyprocesses that they do not fully understandor that are beyond their control. Thesecond most-often elicited causes werelocal deforestation due to industrial loggingand small-scale charcoal production, inten-sive cropping and land degradation, andbushfires. Only in rare cases could partici-pants link locally observed changes in rain-fall patterns with larger-scale drivers, suchas emissions (referred to as ‘smoke’) fromcars and industries. However, mostcommunity members believed that thesedrivers were all home-grown and thatemissions from factories and vehicles as faras Europe or the US could not possiblyinfluence the climate in Ghana.

This overemphasis on local-level driversof climatic changes, we believe, is largely

rooted in the old desertification discourse.Over the last 25 years, rural populations inWest Africa were told over and over againthat they were responsible for the devas-tating droughts in the 1970s and 1980s dueto poor land management practices,including the cutting of trees, bushfires,and dwindling fallow periods. Manycommunity-level participants areconvinced that these practices haveresulted in fewer and fewer trees. In theirminds, fewer trees can no longer effectively‘catch’ or trap the clouds through theirhigh-reaching canopy, which causes short-ages in rainfall. Today’s environmentalvillains mentioned during the mappingactivity were charcoal producers, bushhunters, farmers during land preparation,and herders setting fires for new pastures.While attempts to improve and enforceenvironmental regulations at the local levelare both laudable and crucial for sustain-ability, repeated blaming of local misman-agement distracts from much largerproblems, most of them originating in theNorth. Excessive fossil-fuel burning, large-

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A pictorial mental model, Kaadi, Bawku East, Ghana.

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The coordinating director at the district assemblyworking on a mental model, Donkorkrom, KwahuNorth, Ghana.


scale industrialisation, and extensive trop-ical deforestation continue to remainoutside of rural people’s empirical radar.

Not surprisingly, we found that agricul-tural extension agents and governmentalofficials were generally better informedabout, and could more readily compre-hend, these global linkages. For instance,there was a broader understanding of therole of gases, pollution, and vehicle emis-sions in global warming. Some knew aboutgreenhouse gases such as chlorofluorocar-bons in old refrigerators and methane fromlivestock. Others cited volcanic eruptionsas contributors to climate change. Therewas, however, some confusion regardingthe difference between climate change andozone depletion. One agricultural exten-sion agent was absolutely convinced thatclimate change was caused by spaceshipsthat drive holes into the ozone layer andhence allow more sun rays to reach theearth.

With respect to consequences of climatechange for people and the environment, allparticipants listed negative impacts first.These were roughly evenly split betweendrier, wetter, and more unpredictable condi-tions for agricultural activities, resulting inlower crop yields, hunger, poor health, andpotentially death. On the positive side,people envisioned more fish and increasedavailability of drinking water under wetterclimatic conditions. Extension agents andgovernmental representatives also stressedsea-level rise and flooding, migration, andspecies extinction. Surprisingly, the largemajority of strategies that participantsproposed to deal with observed changesfocused on planting trees, constructingdrainage systems and dams, storing food,and preventing deforestation and bushfires.What most participants did not mention,not even extension folks and policy makers,was the need for better climate forecasts.Preparing for climatic extremes and

Aggregate mental model from communities in Kwahu North, Wenchi/Tain, and Bawku East.

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60 � Tschakert and Sagoe158

embracing some of the uncertainty involvedin projections is at the core of successfuladaptation. Much more needs to be done toincrease awareness on this front.

Advantages of mental modelsParticipatory mental modelling can be usedin both literate and illiterate contexts. Thecolour post-it notes and markers keep trackof every element that is mentioned and,hence, make the entire activity very trans-parent. At the same time, mistakes can beeasily corrected by moving the post-it noteson the paper. How much informationemerges during the mapping and the delib-eration depends on the skill of the facilita-tor in terms of how well s/he encouragesparticipants to identify specific reasons forand links between empirical observations.Depending on the detail of the discussion,the activity may last up to three hours.

The mental model has proven to be anexceedingly helpful tool to make apparentthe complexity of climatic changes. It notonly allows local stakeholders to engage insometimes heated discussions about who isresponsible and accountable for thesechanges; it also encourages participants tothink about the possible control andpredictability of the consequences. As longas people retain a fatalistic attitude – oftenbecause they lack access to appropriateinformation materials and wider commu-nication channels and platforms aboutclimate change – community-based adap-tation will continue to be an enormous chal-lenge, especially among the most vulnerablepopulations. Even if subsistence farmers,herders, and fishermen have no control overmost larger-scale driving forces (such asemissions from cars and industries in theNorth), a better understanding of the mech-anisms behind these drivers of change canenhance confidence in anticipating futurechanges. The maps developed by agricul-tural extension officers at district level areproving useful in monthly trainings organ-ised for their field assistants who give tech-nical assistance to farmers.

Such conceptual maps are also highlyuseful for facilitating the merging of differ-ent knowledge bases. While communitymembers and other local stakeholders layout how they believe climatic changes occur,they typically request more detailed infor-mation from outside ‘experts’. Althoughextension agents and governmentalemployees tend to know more aboutclimate change, their knowledge revealedsome major gaps as well. Hence,researchers or NGO staff carry a significantresponsibility, especially if the level ofcommunity awareness is very low. The situ-ation becomes tricky, however, when partic-ipants presume that a more detailedunderstanding of causes and consequencesof climatic changes will allow ‘experts’ topredict when the next rainy season will startand how long it will last, and whether or notthere will be a drought. This, of course, isnot possible. What is crucial is that outsideresearchers or facilitators admit where theirknowledge ends while complementingand/or correcting community perceptions,without overwhelming less informed indi-viduals with complex details.

While such conceptual mapping repre-sents a tool that can be easily employed asa stand-alone activity, we strongly recom-mend that it be complemented by anawareness-raising exercise, during whichmisconceptions can be addressed andcorrected. This is best achieved throughcollective learning activities such as work-shops, radio programmes on local FMstations, or hands-on experiments likesimple rainfall monitoring that encouragecommunity members to grapple with thecomplexities of climate change and movefrom observations to adaptive actions (seee.g. Awuor and Hammill, this issue).

In the CCLONG project in Ghana, wehave used the results from these mentalmodels to prepare Open Days on climatechange in 2009 in two district capitals,Donkorkrom and Wenchi. Our aim was toexplain greenhouse gases, atmosphericcirculation patterns, and climate projec-


tions in a way that added to people’sconceptual maps and could boost theircapacity for adaptation. So far, evenseasonal climate forecasts are barely acces-sible to rural decision makers in Ghana.Much more needs to be done to effectivelycommunicate content, interpretation, andlimitation of short-term forecasts andlonger-term, down-scaled projections. Thisalso implies better collaboration betweenresearchers, meteorological agencies,NGOs, media people, and rural extensionservices. The USAID-funded Open Dayswere a much-appreciated effort in the rightdirection.

ACKNOWLEDGEMENTSWe gratefully acknowledge funding from USAID (Global ClimateProgram) and participation in data collection by Gifty Ofori-Darko, Kirk Anderson, and Samuel Nii Codjoe.

CONTACT DETAILSDr Petra TschakertAssistant ProfessorDepartment of Geography Alliance for Earth Sciences Engineering and Development in Africa (AESEDA)315 Walker BuildingPennsylvania State UniversityUniversity ParkPA 16802USAEmail: [email protected]: +814 863 9399www.geog.psu.edu/people/tschakert

Regina SagoePhD student, Regional Institute for Population Studies (RIPS)University of GhanaPO Box Lg 96, LegonGhanaPhone: +233 21 500274Email: [email protected]

REFERENCESBostrom, A., M.G. Morgan, B. Fischhoff., and D. Read (1994). ‘What

do people know about global climate change? 1. Mental models.’Risk Analysis 6, pp. 959-970

Bostrom, A., B. Fischhoff, and M.G. Morgan (1992). ‘Characterisingmental models of hazardous processes: a methodology and anapplication to radon.’ Journal of Social Issues, 48, pp. 85-100

Zaksek, M. and J.L. Arvai (2004). ‘Toward improved communicationabout wildland fire: mental models research to identify informationneeds for natural resource management.’ Risk Analysis 24 (6), pp. 1503-1514

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1 For more details of our work in the Philippines and El Salvador, see Tanner et al., this issue.

IntroductionField-based action research on community-based adaptation to climate change needsto engage with all different sections ofcommunities. Children form a significantgroup that is often overlooked by researchand practice at community level, in partbecause of a lack of appropriate actionresearch tools. In this short piece, wedescribe some tools for child-friendlyparticipatory research that were used in thePhilippines.1

In general, we found that child-friendlyaction research is most successful when: • Cultural norms and the age range ofparticipants shape the research design. • Research methods are focused on havingfun.• Activities are carried out in small groups,so that individual children feel confidentenough to participate.• Methods are iterative, allowing childrenthemselves to shape and change them.

• Researcher intervention is limited to anexplanation of the tool or method.• A mix of oral, visual, and written activitiesis used. These help children to express theirperceptions, experiences, and ideasconcerning hazards, vulnerabilities, andcapacities.• Children also gain from the experience ofparticipating in the research.

Using child-friendly tools• Organise the children into small groups.Whenever possible, group by gender andage to highlight differences between maleand female, and older and younger chil-dren. • Facilitate icebreakers between sessions tokeep the group energetic, develop confi-dence, and to introduce the tools andmethods.

Some useful tools for working with chil-dren are shown in Table 1. Whilst many ofthese will be familiar to practitioners, we

by GRACE MOLINA, FATIMA MOLINA, THOMAS TANNER, andFRAN SEBALLOS

Child-friendlyparticipatory researchtools 14

161Child-friendly participatory research tools

found that they often had to be adapted tomake them more child-friendly. Childrenwere invited to invent and adapt tools andmethods.

Icebreaker – typhoon massageIcebreakers can range from high energyintroductory games linking names anddance moves to topic-related exercises suchas the ‘typhoon massage’. The group standsin a circular line. As the leader calls out localgeographies and different typhoon stages,the group give and receive ‘typhoonmassages’ on each other’s backs. Differentareas of the back represent the three areas ofthe Philippines: Luzon in the north (shoul-ders), the central Visayas (central back) andMindanao in the south (lower back). Themassage ‘style’ is linked to typhoon devel-opment phases:‘early rain’ (tapping fingers),‘heavy rain’ (chopping motion), and ‘storm’(drumming of knuckles).

Stakeholder analysis and mappingStandard stakeholder mapping requiresparticipants to first understand the conceptof what a stakeholder is. A Venn diagram

approach is then used to represent thepower/influence of different ‘stakeholders’using larger or smaller circles. The locationof the circle on a ‘map’ reflects the degree ofinvolvement each stakeholder has with thegroup. The Venn diagram represents bothparameters simultaneously by drawing theappropriately-sized circle at a representa-tive location directly onto the map.

However, in the Camotes Islands, chil-dren had difficulties in understanding thelinked concepts of ‘stakeholder’, ‘power’ and‘involvement’. This led to researchers intro-ducing a ‘Me/We map’ and developing arevised step-by-step approach to themapping (see Figure 1).

Table 1: Some participatory tools for working with children

Tool

Mapping

Ranking

Drawing

Transect walks

Acting and theatre

Pyramids

Races

Participatory video

Application

Risks (hazards, vulnerabilities, capacities)StakeholdersCommunication pathways

Risks, adaptation, and risk management actions

Visioning exercises for their future and that of the community FeelingsMotivations for participation

Risk identificationAction plans

Re-enacting impacts of disaster events and responses, as well as for advocating forbehavioural and policy change by others

Visual representation of pathway from problem to action

Rapid identification of benefits of different actions

Research into problem, awareness-raising, advocacy process

Figure 1: The ‘Me/We’ map

Home/neighbourhood

Community

School

External/outside thecommunity

Me/We

60 � Molina, G., Molina, F., Tanner, and Seballos162

• Divide some paper into four quarters, witha representation of the children’s group atthe centre. Label each quarter with a spaceof interaction such as the home, thecommunity, the school, and those beyondthe community. Ask the children to recordthe people they interact with in thesespaces, revealing all potential stakeholders. • Using the map as a guide, children canthen represent the influence or power ofeach stakeholder in relation to the group byrecording them on to colour-coded cards. • Once completed, these cards can then bereallocated in a single line, with the prox-imity to the individual or group (theMe/We) reflecting the degree of involve-ment of the stakeholder.

Risk and activity ranking exercisesRanking exercises allow children’s groupparticipants to identify their priority issueswhich need to be addressed. • First, write down each hazard on separatecards, e.g. landslides. • Then place these on a 3x3 grid thatrequires the children to consider both theimpact of the hazard and the frequency ofits occurrence (each divided as high,medium, and low).

• Next, give each child three votes and askto them vote individually for the hazardsthey feel pose the greatest risk to them. • Finally, ask the children to list activitiesthey have undertaken in response to thehighlighted hazards.

By generating this grid and list, childrenare able to consider the full range andimpacts of their disaster risk reduction(DRR) and adaptation activities, considertheir long-term plans, and discuss newinitiatives that might help in dealing withrisks. We found the exercise particularlyuseful in highlighting activities where therewere multiple risk reduction and adapta-tion benefits, for example, mangrove refor-estation.

Benefits races‘Benefits races’ allow small groups of chil-dren to rapidly develop ideas and generateresearch results. In the Philippines, a bene-fits race challenged children in differentteams to write down as many perceivedadvantages of different adaptation and riskreduction options as possible. Feedbacksuggested this was among the favourites ofthe children because it was exciting andlively.

Regular icebreaker sessions keep the group energetic.

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Identifying messages through visioningA drawing activity aimed to highlightmessages that children convey in order toenable adaptation and risk reductionactions. • Ask the children to draw their vision of thefuture for their community and their ownlives after they have successfully deliveredtheir DRR activities. • Then ask them to identify what is differ-ent in their picture to the current situation. • The drawing helps to stimulate creativethinking about what they are trying toachieve, why it is important, and what elseneeds to happen to help them deliver theirfuture community.• It enables the children to identifymessages they want to raise with stake-holders – from community to national levels– who can provide support towards the real-isation of their envisioned community.

Following the drawing process, childrenin Catig, Lilo-an, Southern Leyte recognisedthat their coastal clean-up activities wereaimed at increasing the fish population andimproving livelihood sustainability(message for fisherfolk associations and toobtain local government support) butrequired everyone in the community toparticipate in proper waste managementand segregation activities (message forfamily and the village council).

Building pyramids and validatingcommunication pathwaysDuring the second fieldwork phase, datagathered from earlier visits was used to mapcommunications pathways from risksthrough to actions, key messages needed topromote change by other stakeholders,through to forms and barriers of communi-cation.

Hazard and risk ranking exercises in Lower Poblacion, Philippines.

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One method used with child partici-pants to illustrate this flow graphically wasan iterative process to develop a pyramidform. The pyramid was a means of repre-senting and verifying key messages relatedto child-led and child-friendly priority activ-ities in each community. The pyramidbriefly showcases:• the purpose of the endeavour through theidentification of the prioritised risk reduc-tion goal (single top level);• the key causes of the risks: social,economic, or natural (second level);• the identification of the key impacts of therisk e.g. increased habitat for mosquitobreeding or the benefits of achieving theirgoal e.g. no habitat for mosquitoes to breed(third level); and• the DRR activities that groups alreadyundertake to achieve their goal (baseline).

Through the visual representation, chil-

dren are given an avenue to further thinkabout information that might be missing.This helps pave the way to determine clearlythe communication pathways of childrenand youth by helping participants to recog-nise:• their sources of information and knowl-edge relating to each cause, impact, orbenefit; and• the target recipients of their messageswhich will differ according to whether theyare communicating cause, impact, benefitsof action, or a combination.

The use of these tools helps to foster atwo-way learning for the researchers andyoung people in the field of DRR and adap-tation. Its participatory and interactivenature allows each participant to share hisor her thoughts and at the same time gainawareness from others’ experiences andinsights. It also provides space to explore

Benefits race exercise, Villahermosa, Philippines.

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further opportunities to continuouslystrengthen and sustain efforts to improvesafety, sustainability, and communityresilience.

Ranking enabling and limiting factors One way to further support children in real-ising their role as change agents is by iden-tifying and ranking factors that can enableor limit their capacity to act. • Phased research means common factorscan be identified from early phase outputsof multiple (single country) research sites. • During follow-up phases, children arrangethe set of factors from the most significantto the least.• Children must be given the freedom toremove factors which are not relevant totheir context or add those which have notbeen included. • This allows children to see which issues theyneed to address as well as what resources theyneed to strengthen their ability to undertakedevelopment-oriented initiatives, includingdisaster risk reduction (DRR).

Common factors which limit Filipinochildren’s participation and engagement indevelopment-oriented initiatives includedlack of finance, lack of confidence, and alack of adult understanding of their goals.

These are areas that they now plan toaddress.

Other tools for creative expression The research also facilitated a variety ofspaces for children to express their viewsand ideas. In one exercise, sheets of paperand drawing equipment were providedand participants were asked to draw theirmotivation for participating in the youthgroups and their activities. Presentingthese pictures back to the group stimu-lated discussion as well as highlightingthe diversity of motivations for participa-tion. Researchers also joined in, drawingtheir motivation for undertaking theresearch.

Similarly, children were invited to createsongs or poems about their activities, andact out different disaster impacts andresponses (see Tanner et al., this issue). Likeparticipatory video activities (see Plush, thisissue), these provided a method both fordiscussion and learning within the chil-dren’s groups, but also a tool for advocatingchange in others. Feedback from theseactivities suggests that the children gainedas much from the process of such creativeexpression as they do from the finishedproduct itself.

Drawing for visioning exercises, Catig, Southern Leyte, Philippines.

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CONTACT DETAILSFatima Molina and Grace MolinaCenter for Disaster Preparedness (CDP)CSWCD Bldg., R. Magsaysay AvenueUniversity of the Philippines CampusDiliman, Quezon City, PhilippinesTelephone: +632 9266996Email: [email protected]: www.cdp.org.ph

Thomas Tanner and Fran Seballos Institute of Development Studies (IDS)University of SussexBrightonBN1 9REUKTelephone: +44 1273 606261Email: [email protected]: www.ids.ac.uk/climatechange

NOTESFor further information about work on children, disaster risk reduction,

and climate change adaptation, including an annotatedbibliography, please visit: www.childreninachangingclimate.org

Child Oriented Participatory Risk Assessment and Planning(COPRAP): A Toolkit. Center for Positive Future, Center for DisasterPreparedness, Philippines. Online:http://proventionconsortium.org/?pageid=43

Child-led Disaster Risk Reduction: A practical guide. Save theChildren Alliance. Online: www.savethechildren.org/publications/emergencies/Child-led-Disaster-Risk-Reduction.pdf

Children on the Frontline: Children and Young People in Disaster RiskReduction. Plan International and World Vision. Online: www.plan-uk.org/pdfs/childernonthefrontline.pdf

ACKNOWLEDGEMENTSThe authors would like to thank all participants in the research and aregrateful for logistical and financial support from Plan International andthe UK Economic and Social Research Council (ESRC).

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Introduction A growing number of studies on theimpacts of climate change and potentialadaptation options are becoming available.However, they commonly fall short on inte-grating climate change impacts and adap-tation options into development choicesand priorities, as well as lacking properdescriptions of the influences that differentdevelopment options might have on adap-tation and adaptive capacities. Scenariodevelopment methodologies provide auseful way of exploring future developmentchoices and pathways and the impacts ofclimate change and adaptation options, aswell as the forms of policy or investmentsupport needed to facilitate effective adap-tation. They provide a means for policymakers and service providers to take intoaccount local people’s priorities and knowl-edge in their decision-making.

Participatory scenario development Scenarios are neither predictions of socio-economic development nor impacts ofchanging climate; rather they are plausible

descriptions of how the future mightdevelop, using current information andassumptions about future trends. They alsohelp to explore the differing outcomes thatmight result if basic assumptions arechanged (UNEP, 2002). In order to fullyexplore opportunities from scenarioapproaches, growing attention is beingdevoted not only to the developed scenar-ios, but also to the scenario developmentprocess. This includes an increasingemphasis on stakeholders’ involvement indeveloping scenarios – referred to as partic-ipatory scenario development (PSD).

Currently available studies show differ-ing degrees of participation in scenariodevelopment, varying from involving stake-holders as reviewers of the scenarios devel-oped by climate change ‘experts’ to havingstakeholders develop and assess the feasi-bility of the scenarios. We found the mosteffective process to be one which bringstogether stakeholder and ‘expert’ knowl-edge. This includes: • involving stakeholders in creating locallyrelevant responses that are the combination

by LIVIA BIZIKOVA, THEA DICKINSON, and LÁSZLÓ PINTÉR

Participatory scenariodevelopment forclimate changeadaptation 15

60 � Bizikova, Dickinson, and Pintér168

of development choices, adaptation options,and capacities;• creating learning opportunities for stake-holders about the impacts of a changingclimate and their implications at the locallevel; and • promoting collaboration betweenresearchers and stakeholders to helpbalance the biophysical risks associatedwith climate change and social risks andissues, such as local well-being, access tobasic services, employment, and food secu-rity.

Key steps in participatory scenariodevelopmentCombining qualitative stakeholder andquantitative scientific information (i.e.,climate change projections and impacts) inPSD offers a unique opportunity to mixgood data, scientific rigour, imagination,and expertise from different perspectives(Volkery et al., 2008). The PSD consists ofthe following five steps:

Defining the scope of the scenarioprocess: changing climate will affectdiverse areas and sectors in different waysand the impacts will change with progres-sive climate change. A key question there-fore is: under available projections ofclimate change, how might the communityadapt its plans and policies to make themost of their potential future develop-ment? Identifying key factors shaping localdevelopment: gathering informationabout the current system will help to framewhat measures are feasible in the short-and long-term, and what the capacity gapsare with regard to development and adap-tation needs. Key factors shaping localdevelopment could include key economicsectors, population changes and migration,access to basic services, poverty levels, andavailable infrastructure. Developing scenarios: based ondiscussing how the identified factors willevolve in the future. This implies identify-

Figure 1: Scenarios created during PDS workshops in Hungary (Lake Balaton region), using collage technique.

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169Participatory scenario development for climate change adaptation

ing a long-term target vision and optionsthat trigger movement towards thismoving target in a sequential fashion.1

Only internally consistent combinations,i.e., those where developments in onefactor do not contradict developments inanother, are considered. For the develop-ment of scenarios, different techniques canbe used, such as collages or index cards(Figure 1).Reviewing scenarios: the identifiedscenarios should be carefully examined fortheir potential to determine climatechange impacts on the attainment of localdevelopment visions. We used ‘what if ’questions to determine whether changes

or trends in biophysical indicators such asfuture rainfall patterns, sea-level rise, orchanges in the number of consecutive hotor cold days could be addressed within thescenarios. This included identifying theimpacts of climate change on the localenvironment and human well-being, andthen identifying adaptation options(Figure 2).Strategy building: if we want to be effec-tive in reaching the long-term vision,short- and long-term actions need to beidentified. This includes identifying poli-cies needed to create an enabling environ-ment for moving from scenarios andidentified adaptation measures to actions.

1 A vision refers to a moving target guiding the self-organising, innovative forces of asociety, forces that otherwise would remain diffuse. It differs from a goal in that it is atangible image of a future society without being subject to fierce arguments about exactdefinitions that characterise the operationalisation of goals (Jaeger et al., 2000).

Figure 2: Impacts of climate change on local environment and human well-being, adaptation options, and futurescenarios in Southern Ghana.

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Case study: PSD in Lake Balaton,Hungary This case study was co-led by the researchteam and the local development agency – theLake Balaton Development CoordinationAgency (LBDCA).2 The researchers providedinformation on climate impacts and adapta-tion, and guidance on the participatorysessions and synthesising the outcomes. Thelocal development agency was responsible foridentifying and gathering practitioners forthe participatory activities, and communi-cating the outcomes to local NGOs, councilmembers, and news channels.

Preparing for the PSDPrior to the PSD session, we developed aseries of participatory events to exploreclimate change impacts and adaptation.We started with an assessment of climatechange impacts at 50 km2 resolution usingalready published projections for thecountry. This was followed by focus groupsand brainstorming sessions to discuss whatthe local impacts could be. For example,the effects of the predicted drop in summerprecipitation could lead to losses in agri-cultural production, decreases in wateravailability, and negative impacts on localbiodiversity and on local business revenue.The participants helped to interpret down-scaled model outputs and identified majorconsequences of the impacts in relation toother vulnerabilities that the region isfacing. They drew on their own expertiseand knowledge of the region, evaluatinglessons learnt from past extreme weatherevents and sharing experiences about theeffectiveness of past responses.

After gaining an understanding of theconsequences of climate change at the locallevel, we held three participatory work-shops in different locations in the area toidentify adaptation options. We discoveredthat many adaptation options had alreadybeen implemented autonomously at the

individual level, and the workshopsprovided opportunities to share the lessonslearnt from this. In some cases, gaps andbarriers in standards and codes thatprohibited the use of local materials wereidentified, as well as complex approvalprocedures for measures that affected anumber of sectors. The workshops alsohighlighted a lack of technical expertisethat hinders putting potential solutionsinto action. We concluded these sessionswith a list of priorities for action on adap-tation.

The PSD workshopsThe PSD one-day workshops includedapproximately 80 participants from localuniversities, high schools, local businessorganisations, farmers’ organisations,municipal officials, local NGOs, and othercommunity members.

The objective of the PSD was to createscenarios of potential development for keysectors of the local economy (includingagriculture and tourism) while protectingbiodiversity. Key factors that are importantfor the local economy and can contributein developing adaptation actions andcapacities were identified through stake-holder group consultations focusing oneconomic, environmental, and socialissues. The key factors identified were: • water resources management focused onpolicies influencing water level in LakeBalaton; • agricultural practices, including plantedspecies and available irrigation systems; • economic performance of the agriculturalsector;• tourism development – represented bytourist nights per season, revenues,employment, and seasonality; • shoreline property development; and • biodiversity protection, including currentpopulation of protected species and sizes ofhabitat.

2 Livia Bizikova and László Pintér were key members of the research team, which alsoincluded Dr. Anthony Lehmann from UNEP/DEWA GRID-Europe and University ofGeneva, Dr. Karoly Kutics (K+KConsulting), Jill Jeager (SERI), and many others.

171Participatory scenario development for climate change adaptation

Current trends were then identified forthe factors by analysing collected statisti-cal data.

Focusing on these key factors, groups ofstakeholders then developed future scenar-ios that were desirable yet plausible futurepathways, attainable from the currentconditions. The scenario process includedcreating a vision for the future of the keyfactors and identifying actions to reachthese visions. Vision development wasdone in small groups of stakeholders ofdiverse expertise and affiliations using acollage technique (Figure 1).

Some of the identified actions included:• protecting agricultural land and sensitiveshoreline by limiting development;• accelerating the use of local grape speciesand diversification;• creating agricultural extension agenciesand incentives for local markets; and• development of small and medium enter-prises, especially in towns with less intensetourism.

We then reviewed the scenarios, using‘what if ’ questions. For instance, can theprojected further reduction in summerprecipitation and increasing temperaturesbe addressed within the community’s visionsfor the future? Local experts presentedclimate change projections relevant for theregion and then groups of stakeholdersindentified potential impacts and adapta-tions and then, in small groups, assessedwhether these impacts and adaptations wereincluded in the future scenarios.

Identified impacts included:• changes in the volume, intensity, andtiming of precipitation;• decreased snowfall;• critical water and heat stress on newlyestablished vineyards;• increased erosion; • disturbances such as wildfire and insectoutbreaks; and • changes in vegetation growth.

A list of adaptation options in thecontext of regional agriculture were thenadded to the local scenarios:

• increased rainwater storage capacity torespond to the droughts; • increased diversity of planted crop vari-eties and species, including those tolerantto heat and drought; • increased emphasis on planting nativeand traditional species and varieties; • more widespread use of mulching andpermanent cover to increase moistureretention in soils;• introduction of shade-producing plantsto create sun shelters during heat waves; • increased efficiency of irrigation tech-niques; and • adjusted planting schedules.

Lastly, we followed up the scenarioexercise with the development of policiesand actions needed to support adaptationto climate change while moving toward thecommunity’s desired goals for the future.Short-term actions, for example, includedincreasing the efficiency of irrigation(including small-scale actions) andpromoting local and traditional foodproduction. Examples of long-term actionsincluded developing a local food securitystrategy and making a long-term commit-ment to a restricted land-use policy to limitshoreline development and protect agri-cultural land.

PSD policy influenceThe outcomes of the workshops fed intoclimate change adaptation policies in anumber of different ways:• some of the identified actions wereincluded in the national climate changestrategy; • LBDCA changed its guidance for the eval-uation of proposals for local developmentprojects, so that any projects supportedwould fit with the short- and medium-termactions identified; and• the workshop created additional pressureto move ahead with actions which hadalready been included in regional develop-ment plans but where implementation hadbeen neglected, e.g. improving irrigation,reforestation, protecting agricultural lands.


Benefits and challenges of participatoryscenario developmentBased on our experiences, PSD providesan opportunity to integrate developmentpriorities and plans with adaptation needsto address climate change and climatevariability. The key outcomes include:• Identification of development prioritiesand actions that need to be accelerated,because they also increase capacities foradaptation (e.g. improving healthcareservices in areas prone to diseases becauseof changing climate). • Identification of on-going developmentprogrammes and actions dealing withcurrent impacts that need to be intensifiedand applied to other regions facing similarimpacts in the future (e.g. rainwater collec-tion is often a small-scale initiative, butcould be expanded in areas where reducedrainfall is expected). • Encouraging thinking about the commu-nity’s future and eliciting valuable knowl-

edge that local community memberspossess about climate change impacts andadaptation, even though those practicesmay not be explicitly recognised as helpingto reduce vulnerability to climate change.Building on this familiarity helps toempower local communities and decisionmakers to engage in their communities’development, building resilience toclimate change.

Several challenges exist when usingPSD. One key challenge is to find ways oflinking quantitative information aboutcurrent trends and climate projectionswith qualitative scenarios, and transform-ing them into policies. Increased attentionneeds to be paid to maintaining thedialogue between researchers andcommunity groups on the challenges anduncertainties of climate change projec-tions and sharing information that can beused to advance adaptation and develop-ment despite existing uncertainties.

CONTACT DETAILSLivia Bizikova and László PintérInternational Institute for Sustainable development (IISD)161 Portage AveWinnipegR3B 0Y4, MBCanadaTel: +1 204 958 7753Email: [email protected]: [email protected]

Thea DickinsonBurton Dickinson Consulting Ltd204-600 Kingston RdTorontoOntarioM4E 1R1 Canada Tel: +1 416 347 0018Email: [email protected]

REFERENCESJaeger, C.C., B. Kasemir, S. Stoll-Kleemann, D. Schibli, and U.

Dahinden (2000). ‘Climate change and the voice of the public,’Integrated Assessment 1: 339–349

Volkery A., T. Ribeiro, T. Henrichs and Y. Hoogeveen (2008).‘Scenario development on a European scale,’ Systemic Practiceand Action Research 21: 459-477

UNEP (2002). Global Environment Outlook-3: past, present andfuture perspectives. Earthscan: London

173

ForewordThe following extracts come from two arti-cles previously published in ParticipatoryLearning and Action. Both extracts containthe same key message: that good partici-patory practice needs to be based on a solidfoundation of practical ethics which focuson empowerment.

The first extract is from an article inPLA Notes 22, ‘Sharing our concerns andlooking to the future’ (Absalom et al.,1994).1 Fifteen years ago, a group of Partic-ipatory Rural Appraisal (PRA) practition-ers shared with readers a set of key guidingprinciples for participatory developmentpractice.

The next extract is from an articlepublished 12 years later. Here, we includea series of photos taken during a presenta-

tion by Robert Chambers on participatoryethics.2 Robert’s presentation became thebasis for an article on practical ethics forparticipatory mapping practice (Rambaldiet al., 2006). Included here is an adapta-tion of the ‘Who?’ and ‘Whose?’ questionsfrom that article (see Box 1).

As we move forward with community-based adaptation to climate change, theseguiding principles provide a timely andrelevant reflection on good practice forparticipatory development.

Extract: Sharing our concerns andlooking to the futureWe are an informal group of developmentpractitioners, researchers, and trainers fromSouth and North, using, supporting, anddeveloping participatory approaches, often

1 Interestingly, issue 22 was the first issue in the series to be published under the newname of ‘PLA Notes’ in 1994. The series had begun life in 1988 as ‘RRA Notes’ (RapidRural Appraisal). This change demonstrated the evolution from RRA and then PRA(Participatory Rural Appraisal), through to the umbrella term Participatory Learning andAction (PLA), which encompasses a wide range of participatory approaches andmethodologies.2 Robert’s presentation was made at the Mapping for Change International Conferenceon Participatory Spatial Information Management and Communication, Nairobi, Kenya,September 2005.

extracts from ELKANAH ABSALOM et al., and GIACOMO RAMBALDI et al.

Reflections on practicalethics for participatorycommunity-basedadaptation 16

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known as Participatory Rural Appraisal(PRA). A working description of PRA is:

… a growing family of approaches andmethods to enable local people to share,enhance, and analyse their knowledge oflife and conditions, to plan and to act.

Used well, PRA can enable local people,rural or urban, to undertake their ownappraisal, analysis, action, monitoring, andevaluation. It can empower women, poorpeople, and disadvantaged people, givingthem more control over their lives.

As part of a process of reflection, learn-ing, and sharing we have reviewed ourexperience and current developments.Many donors, government organisations,and NGOs are now requesting and requir-ing that PRA be used in their programmesand projects. This brings opportunities anddangers. The opportunities are to initiateand sustain processes of change: empow-ering disadvantaged people and communi-ties, transforming organisations, andreorienting individuals. The dangers comefrom demanding too much, in a top-downmode, too fast, with too little understand-ing of participatory development and itsimplications.

PRA practitioners have come to stresspersonal behaviour and attitudes, rolereversals, facilitating participation throughgroup processes and visualisation, criticalself-awareness, embracing error, andsharing without boundaries. We believethat these principles and concepts must beplaced at the centre of all participatorydevelopment activities. Experience has ledus, and many others to recognise the impli-cations of participatory approaches, suchas PRA, for: • personal and professional values, norms,and behaviour;• community issues;• organisational structures, styles, andpractices of management; • approaches and methods in training; • networking and sharing between all

actors engaged in the development andspread of participatory thinking and prac-tice; and,• the policies and practices of donors.

We recognise that we are only a fewamong many around the world who arestriving to develop and facilitate the spreadof participatory approaches. We offer thisstatement of principles in the hope thatothers will share their experiences, views,and values in the same spirit so that we canall continue to learn from each other. Wewelcome your responses.Elkanah Absalom, Robert Chambers,Sheelu Francis, Bara Gueye, Irene Guijt,Sam Joseph, Deb Johnson, CharityKabutha, Mahmuda Rahman Khan,Robert Leurs, Jimmy Mascarenhas, PatNorrish, Michel Pimbert, Jules Pretty,Mallika Samaranayake, Ian Scoones,Meera Kaul Shah, Parmesh Shah, DevikaTamang, John Thompson, Ginni Tym,Alice Welbourn.20th May 1994

Personal and professionalWe strongly believe that, as PRA profes-sionals, we bear a personal responsibilityto: • Develop a self-critical attitude, recognis-ing that we are continually learning, andwelcome rigorous peer review.• Be explicit about whether we are elicitinginformation for external use, or areengaged in processes leading to communityaction. We should make this distinctionclear to the people with whom we are inter-acting and document this accordingly. • Interact with others (colleagues, commu-nity members, and other professionals)with respect and empathy, transparency,and support.• Recognise the need to acquire both train-ing skills and ‘hands-on’ experience incarrying out a PRA process in the field.• Make a commitment to value equally thecontributions made by all partners (South,North, local, external) and respect the needfor diversity of others’ views and approaches.

175Reflections on practical ethics for participatory community-based adaptation

• Identify, in partnership with communi-ties, appropriate forms of compensationwhen we are eliciting information for exter-nal use. • Ensure that credit and compensation aregiven where due. • Strive towards a process of empowermentof marginalised people, in which PRAmethods can play a part. • Attempt to link up with existing PRAnetworks and professionals in everycontext.• Equip ourselves with any necessary skillsto recognise, acknowledge, and address theexistence of diversity of social relations ineach context.

These are all signs of personal andprofessional commitment to pursue devel-opment processes which strive to improvethe lives of those who are (relatively)marginalised.

Community issues

EthicsIn relation to interactions with communi-ties, we strive to: • achieve mutual respect, including acommitment to long-term partnerships;• be honest with ourselves about our ownobjectives; and• be open, honest, and transparent aboutour objectives with all community sections.

EquityWe recognise that:• Different groups, as defined locally by age,gender, well-being, ethnicity, religion,caste, language etc. have different perspec-tives.• There should be commitment by outsideorganisations to understand differentneeds and multiple perspectives withincommunities.• Responding to the needs of the vulner-able involves respect for all groups. Thismay mean challenging asymmetricalrelationships via conflict resolutionmethods.

Preconditions for engagement• Be honest with the community aboutwhat is in it for them. • PRA activities should lead to directimprovements in the community through:

• Operational development on theground.• Changes in higher level institutions(such as research, extension, and plan-ning) which have an impact at commu-nity level.• Shifts in policy, which have an impactat community level. • We should also acknowledge that someof these expected changes cannot beguaranteed.

• There should be no one-off exercises incommunities without explicitly definedoutcomes as described above.

Practice• The process with the community shouldbegin with explanations and seeking theirpermission.• Timing and pace should be governed bylocal context of separate sections of thecommunity.• Respect the fact that information isgenerated by local people and so ask theirpermission to document, remove, and useinformation. When possible, ensure thatoriginal diagrams and copies of reportsremain in the community.

Local human resource support anddevelopmentThis involves a commitment to:• enhance capacity of local people, on anindividual as well as an institutional basis,to be PRA practitioners and trainers inanalysis and implementation of develop-mental activities in their own and neigh-bouring communities; • ensure that PRA activities lead tostrengthening of existing and/or formationof new local institutions, in order to meetlocal needs; and, • ensure follow-up support for communitysections and their institutions.


Institutional aspects

Long-term commitment to process • Top managers/decision makers need tocommit themselves to a long-term processgoing ‘beyond projects’ to promote aparticipatory development approach.

Organisational environment and culture • The organisational culture shouldprovide opportunities to enable learningfrom experiences and mistakes, andshould be flexible enough to allow experi-mentation.

Institutional management and styles• There should be a transition frommanagement styles based on hierarchy,inhibited communications, and commandand obedience relationships to moreorganic styles that encourage lateralcommunication, collegial authority, andflexible roles and procedures.• Institutions should create conditions thatencourage employees to be participatory intheir work with each other, and not justduring ‘field visits’.

Incentives/rewards• Incentives and rewards must encouragestaff to be honest, work in the field withcommunities, stay on as staff, and encour-age joint action between institutions andvillages.

Organisational procedures andimplementation• Organisational and programme manage-ment procedures should be changed so asto enable linking PRA with programmemanagement and implementation (e.g.decentralisation of funds management).They should try to build PRA from thestart of the programme cycle. • PRA and related participatory processesshould be initially piloted on a small-scaleand should be mainly implementedthrough local institutions.

Outward linkages• There is a need to develop effective link-ages (e.g. training exchange, co-manage-ment of projects, information flows)outside of institutions to help partners(including donors) understand more andstrengthen participatory processes. Theselinkages must be based on mutual respect,integrity, and trust.

DonorsDonors working with PRA should...• focus on PRA as a process leading tochange, not a product in and of itself (thismeans commitment to long-term develop-ment processes and follow-up activitiesand support); • provide more flexible funding and movetowards more open-ended, event-focusedtargets for disbursement and physicalachievement; • promote participatory monitoring andself-evaluation procedures which build inreciprocal accountability (communities,development organisations, donors); • encourage and support organisationswhich can move towards participatorytraining and learning to help other organ-isations change; • encourage policies and programmeswhich offer a range of developmentoptions/choices based on locally-definedcriteria, needs, and priorities; • encourage establishment of small, self-managed teams of practitioners and train-ers within development organisations –where appropriate – with the freedom toexperiment, innovate, make and learnfrom mistakes, and act;• support pilot learning processes withgradual/phased scaling-up depending onlocal conditions; and, • avoid confusing and over-burdeningdevelopment organisations by harmonis-ing funding approaches and accountingand reporting procedures.Source: PLA Notes (1995), Issue 22, pp. 5–10, IIED: London

177Reflections on practical ethics for participatory community-based adaptation

Stage I: planning

Who participates?Who decides on who should participate? Who participates in whose community-based adaptationprocess? … And who is left out?

Who identifies the problem?Whose problems? Whose questions? Whose perspectives?… And whose problems, questions, and perspectives are leftout?

Stage II: the participatory process

Whose voice counts? Who controls the process?Who decides on what is important?Who decides, and who should decide, on what to documentand make public?Who has visual and tactile access?Who controls the use of information?… And who is marginalised?

Whose reality? And who understands?Whose reality is expressed?Whose knowledge, categories, perceptions?Whose truth and logic? Who is informed about what is being documented?(Transparency)Who understands the physical output? And who does not?… And whose reality is left out?

Stage III: resulting information control, disclosure, anddisposal

Who owns the output?Who owns the resulting data? What is left with those who generated the information andshared their knowledge?Who keeps the physical output and organises its regularupdating?… And who does not?

Whose analysis and use?Who analyses the information collated?Who has access to the information and why?Who will use it and for what?… And who cannot access and use it?

Ultimately …What has changed? Who benefits from the changes? At whose costs?Who gains and who loses?Who is empowered?… And who is disempowered?

Box 1: Compilation of ‘Who?’ and ‘Whose?’ Questions

Work in progress: Robert Chambers’flipchart notes on behaviour andattitudes.

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Participatory mapping for goodchange: notes from Robert Chambers’presentation at the Mapping forChange conference, 2005.

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)Extract: Practical ethics for PGIS practitioners, facilitators, technologyintermediaries, and researchers


REFERENCES AND FURTHER RESOURCESAbsalom, E. et al., (1995). ‘Sharing our concerns and looking to the

future.’ In PLA Notes 22, February 1995. IIED: London.Online: www.planotes.org/documents/plan_02201.PDF

Chambers, R. (2004). ‘Reflections and directions: a personal note.’ InR. Chambers, N. Kenton, and H. Ashley (Eds) ParticipatoryLearning and Action 50 Critical reflections, future directions. IIED:London. Online: www.planotes.org/documents/plan_05003.pdf

Cornwall, A. and I. Guijt (2004). ‘Shifting perceptions, changingpractices in PRA: from infinite innovation to the quest for quality.’In R. Chambers, N. Kenton, and H. Ashley (Eds) ParticipatoryLearning and Action 50 Critical reflections, future directions. IIED:London. Online: www.planotes.org/documents/plan_05017.pdf

Rambaldi, G., R. Chambers, M. McCall and J. Fox (2006). ‘Practicalethics for PGIS practitioners, facilitators, technology intermediariesand researchers.’ In G. Rambaldi, J. Corbett, R. Olson, M. McCall, J.Muchemi, P.K. Kyem, D. Weiner and R. Chambers (Eds).Participatory Learning and Action 54 Mapping for Change:practice, technologies and communications. IIED: London. Online: www.planotes.org/pla_backissues/54.html

‘Dr. Robert Chambers elaborates on Participatory GIS (PGIS) practice.’Online video interview:http://participatorygis.blogspot.com/2009/10/robert-chambers-elaborates-on.html

Building on the ‘Who’ and ‘Whose’ questions:discussion on participatory ethics.

The ‘Who’ and ‘Whose’ questions presented byRobert Chambers.

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TIPS FORTRAINERS

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IntroductionMapping relationships and communicationare important for most developmentprogrammes. They teach us about who theparticipants are talking to, what they talkabout, and how important it is. Asking is oneway of finding out either through an interviewor a questionnaire, or through group discus-sions. But these methods have their limita-tions. Not all relationships may be disclosed,the interviewer/facilitator may not be skilledin finding out information, and people maynot feel like talking about it. When workingwith children and young people, it is evenmore difficult to elicit responses verbally.

Communication mapping is a participa-tory tool which is a simple and effective wayto plot and understand how childrencommunicate with the people in their lives.The tool was developed in Nepal while eval-uating a school health programme, wherechildren were taught simple healthmessages using the active learning methodsof the Child-to-Child approach.1 Children

spontaneously communicated thesemessages to their friends, family, andcommunity and practiced healthy behaviourin their daily life. The communication maphas also been used in other programmesinvolving children and young people, inAfrica and Asia, the most recent being anational Life Skills programme for childrenaffected by HIV in India. It is a visual tool,easy to administer and children in differentcontexts and countries have used it. The toolcan be used at the beginning and at the endof a programme, with an intervention and anon-intervention group providing concreteand quantifiable evidence regardingcommunication patterns.

Making communication maps• Take half a sheet of chart paper (about 2feet by 18 inches) and different colouredsketch pens. It is important to have largethick paper because children like to drawfreely. Colourful sketch pens give expressionto their feelings.

1 See www.child-to-child.org/about/approach.html

by SONAL ZAVERI

Communication maps:a participatory tool tounderstandcommunicationpatterns andrelationships

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181Communication maps: a participatory tool to understand communication patterns and relationships

• Take the blank chart paper and with yourhand make a circle in the air in the middleof the paper and say, ‘Draw yourself in themiddle here any way you like, you can writeyour name or draw yourself in the middle ofthis paper.’ • Next, place your hand at different parts ofthe paper saying, ‘Draw or name all thepeople in your life. If you talk to them a lot,draw three lines from you to that person. Ifyou don’t talk much to them, draw one lineand if you talk somewhat, draw two linesfrom you to that person. On the line, writewhat you talk about.’

I usually do not like to ‘show’ or demon-strate a communication map as childrencopy very easily. But by drawing in the airand using a blank paper, the instructionsare easily understood without ‘priming’ chil-

dren to copy. These instructions enable chil-dren to think unfettered and allow the freeflow of their thoughts and expressions. I amalways amazed at the variety of maps chil-dren make with these simple instructions.

A word of caution – children like to lookover their shoulder at what their friends aredoing and it is a good idea to have a largeroom where children can spread out andwork on their own. In many cultures, chil-dren are expected to follow rules andbehave in a defined way – that is why it isparticularly important to emphasise andrepeat in the instructions – draw yourselfand others anyway you like.

Most children get engrossed quitequickly in the activity and it is likely to takeanywhere from 30 to 40 minutes. Oncechildren have finished, they may share their

Figure 1: Map drawn by Janak, a Class IV student, Sindhupalchowk Nepal.

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Map drawn by Jyoti, a 13-year-old girl at Ankur Night Shelter, CCDT (India).

CONTACT DETAILSSonal Zaveri International AdvisorChild-to-Child Trust, LondonMumbai, IndiaEmail: [email protected]

maps with the facilitator or their friends.Discussion and sharing illuminates muchof what children have written, creating abetter understanding for later analysis. Twoof the most common comments I havereceived from facilitators are, ‘I can see thechild’s life like a picture in front of my eyes’and, ‘I have known this child for so long butnever knew about all these relationships’.

Using the maps for evaluation purposesThe communication map has been used inevaluation. In our study in Nepal, we learntthat children were communicating abouthealth to their parents and siblings and thatthere were gender differences. In other eval-uations, a before/after design indicated thatchildren of sex workers were communicat-ing about their studies and life goals, weretalking to neighbours without stigma, and

had stopped communicating to those who‘used’ or exploited them.

Because the map provides several dimen-sions of study, one can plot changes in:• who children communicate with;• how much they communicate (one line isthe least, and three lines is the most); and • what they communicate (topics and issuescan be identified).

All these can be counted and quantified.If you are using a before/after design or arandomised controlled trial, it will be neces-sary to store the maps safely for latercomparison with the maps drawn after theintervention.

Although this tool has been developedfor children and young people, it has beenused extensively during the training of facil-itators and many field programmes haveused it with parents of the children as well.

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IntroductionRivers of life is one of the most powerfultools I have experienced in my professionallife as a trainer and facilitator, as it helpsgroups to ‘bond’ quickly. It allows partici-pants to reflect on personal experiencesand influences that have motivated themin their personal and professional life.Participants are invited to use the symbolof a river to reflect on key stages in theirlives, positive experiences and influences,and difficult challenges.

PreparationAs preparation, I suggest that you drawyour own ‘river of life’. Do this exercise withsomeone else if possible and share yourexperiences.

During the workshop, much dependson the space available. I have found that itis very useful to hang the flipcharts on thewall and let participants draw.

Time• 15 minutes to prepare the ‘rivers’ • Sharing depends on the time available

The time needed to share the results ofthe exercise depends on what you expect toachieve and how much time you have inyour workshop. Ideally, it is advisable toshare the outcomes of the exercise in aplenary session.

Participants drawing their ‘rivers’ at the RCPLAworkshop in Cairo, March 2008.

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Apart from the 15 minutes needed toprepare the rivers, you need an average offour to five minutes per participant topresent them. So if the group size is 12-18you can do it in plenary but you wouldneed to ensure very strict time keeping.For groups of 18 or more, you can dividethem in smaller groups of 9-12 partici-pants each.

Materials• Blank piece of paper and pen for eachparticipant• Flipchart

Optional• Multicoloured paper• Coloured markers, crayons, pens• Magazines, scissors, glue

Method

Step oneIn this activity participants are invited touse the symbol of a river to reflect on their

own personal lives. Explain that a river is ameaningful symbol in many cultures andthat people may find it quite natural andstimulating to think of their own lives interms of a river.

Step twoAsk each person to take a piece of blankpaper and a pen (or for a more creativeapproach, provide them with additionalmaterials).

Step threeOn the flipchart write the following: • River of life: key stages in your life• Tributaries: positive experiences andinfluences• Rough waters: difficult challenges

Step fourDemonstrate how you might draw theriver, tributaries, and rough waters andthen ask each person to draw their own.Various points on the river representsignificant stages in one’s life:

Uttam Uprety from Nepal Participatory Action Network (NEPAN) presents his ‘river’ at the RCPLA workshop inCairo, March 2008.

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185Rivers of life

• Tributaries are drawn to indicate keyinfluences (e.g. people, education, books,experiences, events, etc.) that havecontributed directly or indirectly to theirlives and work. • Rough waters in the river illustrate timeswhen one has encountered difficult chal-lenges in life that have potentially been thesource of valuable learning.• The river can run straight or it can twist(e.g. on turning point moments in one’slife). It can also become narrow or widen,depending on the horizon perspective at aparticular moment in time.

Step fiveEncourage participants to be as self-disclosing in this exercise as they arecomfortable with. Explain that they will beasked to share some of these experienceseither in small groups, or in plenary.

Step sixAllow five to seven minutes for drawingthe river. If using additional materials (e.g.

images from magazines), allow more timefor cutting and pasting. Encourage thegroup to be creative, for example, usecolours to express different moods atdifferent periods of their lives. I sometimesask the participants to dig in their pocketsand stick on the drawing pictures of them-selves and their families, business cards,souvenirs, etc.

Step sevenDiscuss the rivers in plenary. Each partici-pant explains her/his river while standingnext to it and the other participants canmove around the room as the rivers arebeing presented.

Step eightTo close the activity, emphasise the wealthof experience that is gathered in the room.For example, you can ask the participantsto highlight how many years of experiencesthey have and sum them up collectively…they can add up to many centuries. You canalso mark on a roughly drawn map of the

A typical ‘river’, where the participant chose tobenchmark his river along key dates in his life.

An example of how a team has drawn their rivers inparallel to each other’s.

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world the countries in which the partici-pants have lived, studied, and worked. Theresult can be impressive too!

Variation Many people view their life as a ‘pathway’or ‘roadway’ rather than a ‘river’. As facili-tator, it is important to be flexible to seewhich metaphor works best for people.Also, some participants may not feelcomfortable drawing. Have them write outtheir river of life rather than draw it.

Another variation of the exercise whenparticipants are part of a team, is to ask theteam to draw their rivers in parallel andmake the rivers meet when the participantscame across each other.

CONTACT DETAILSZiad MoussaEmail: [email protected]

ACKNOWLEDGEMENTSAdapted from ‘River of Life’ exercise in Community Organizingcurriculum published by New Mexico Department of Health, PublicHealth Division, 1994.

IN TOUCH187

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Welcome to the In Touch section ofParticipatory Learning and Action.Through these pages we hope to create amore participatory resource for theParticipatory Learning and Actionaudience, to put you, as a reader, in touchwith other readers. We want this sectionto be a key source of up-to-dateinformation on training, publications,and networks. Your help is vital inkeeping us all in touch about:• Networks. Do you have links with

recognised local, national orinternational networks for practitionersof participatory learning? If so, whatdoes this network provide – training?newsletters? resource material/library?a forum for sharing experiences? Pleasetell us about the network and providecontact details for other readers.

• Training. Do you know of anyforthcoming training events or coursesin participatory methodologies? Are youa trainer yourself? Are you aware of anykey training materials that you wouldlike to share with other trainers?

• Publications. Do you know of any keypublications on participatorymethodologies and their use? Have you(or has your organisation) produced anybooks, reports, or videos that you wouldlike other readers to know about?

• Electronic information. Do you knowof any electronic conferences or pageson the Internet which exchange orprovide information on participatorymethodologies?

• Other information. Perhaps you haveideas about other types of informationthat would be useful for this section. Ifso, please let us know.

Please send your responses to: Participatory Learning and Action, IIED,3 Endsleigh Street, London WC1H ODD,UK. Fax: + 44 20 7388 2826; Email: [email protected]

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CLIMATE CHANGE

Tiempo – aquarterly bulletin onclimate anddevelopment� IIED and SEI

This quarterly bulletin on climate anddevelopment is published each quarter byIIED and the Stockholm EnvironmentInstitute. It covers global warming,climate change, sea-level rise, and issuesrelated to climate change in thedeveloping world. Articles arecontributed by writers from developingcountries. To download copies and formore information visitwww.tiempocyberclimate.org/portal/bulletin.htm

For francophone readers, TiempoAfrique is now available in Frenchthrough ENDA Tiers Monde in Dakar,Senegal. This has a regional West Africanfocus. Contact: [email protected] orvisit the website: http://endaenergy.org/2008/11/13/tiempo-afrique

Joto Afrika� ALIN and IDSJoto Afrika – Swahili for‘Africa is feeling the heat' –is a new series of briefingsand online resourcesabout adapting to climatechange in Africa. The

journal is produced by the Arid LandsInformation Network (ALIN) in Kenya inpartnership with AfricaAdapt and theInstitute of Development Studies, UK.

Joto Afrika focuses on thematic areasaround climate change adaptation anddevelopment. It draws lessons,experiences, and practical informationfrom across sub-Saharan Africa. Writtenin a clear, easy-to-read style, it includessummaries of academic research onclimate change, case studies ofcommunity-based knowledge and actionin response to climate change, andfeedback from readers. It targets NGOs,government officials, researchers,decision makers, planning departments,CBOs, and all individuals in Africa whoneed to know about climate changeadaptation at the regional and local level.

The first issue, edited by Victor Orindifrom the International DevelopmentResearch Centre in Nairobi, Kenya, looks atclimate change and African food securityand was produced in June this year.

Visit ALIN’s website for moreinformation: www.alin.net

Understanding ClimateChange Adaptation:lessons from community-based approaches� Jonathan Ensor andRachel BergerPractical ActionPublishing, 2009

ISBN: 978 1 85339 683 0Co-authored by one of the guest editors ofthis issue of Participatory Learning andAction, this book is an important andtimely contribution to the climate changeadaptation debate, providing bothanalysis and experience from practice.

Book reviews

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The introduction locates community-based adaptation in the broader contextof ongoing development challenges andinternational negotiations.

The main body comprises a series ofcase studies of adaptation projects, whichseek to clarify the meaning of adaptationand draw lessons for practitioners andpolicy makers. Each chapter has beenprepared with the participation of one ofthe team members that undertook theproject work. The chapters contain asection on lessons learnt to give a frankdiscussion of what worked well, as well asany weaknesses that emerged.

The concluding chapter examines therelationship between reducingvulnerability to climate change, buildingadaptive capacity, and strengtheningresilience. It also addresses the challengesof scaling up adaptation projects, notingthe necessity of addressing existingpolicies, politics, and power relationships ifcommunities are to be empowered toidentify and develop appropriate responsesto the challenges of climate change.

Available from Practical ActionPublishing:www.practicalactionpublishing.org

The Earthscan Reader onAdaptation to ClimateChangeEdited by E. Lisa F.Schipper and Ian BurtonEarthscan, 2009ISBN 978 1 84407 531 7This reader opens with a

chapter on the origins, concepts, practice,and policy of adaptation and continueswith contributions from many climateexperts exploring the theory ofadaptation, offering a collection of someof the most significant writings onadaptation to climate change from thepast two decades.

The book is divided into five parts:adaptation theory; adaptation,vulnerability, and resilience; adaptation

and disaster risk; adaptation anddevelopment; and adaptation and climatechange policy.

Recommended for all who need asolid grounding in all aspects of climatechange adaptation.

Available from Earthscan:www.earthscan.co.uk

Climate Change andVulnerability� Edited by Neil Leary,Cecilia Conde, JyotiKulkarni, Anthony Nyong,and Juan PulhinISBN: 978 1 84407 688 8

Earthscan, 2009 (paperback)Together with Climate Change andAdaptation, these two books are theresult of a research initiative proposed bythe IPCC after its Third Assessment in2001 and highlight the much neededinvestments required to reducevulnerability.

The case studies in the book aredetailed and well researched, providing adeeper analysis of vulnerability to climatechange in different sectors and countriesin the developing world.

The book is essential reading for thosewho wish to further their understandingof how climate change affects people andtheir environment, and what they can doto reduce vulnerability.

Available from Earthscan:www.earthscan.co.uk

Climate Change in Africa� Camilla ToulminAfrican ArgumentsISBN: 978 1 84813 015 9This book offers acomprehensive, succinct,and timely review of thechallenges facing Africa in

the context of climate change. It openswith an overview of climate change scienceand the implications of the IPCC’sassessment report of 2007 for different

191In Touch � Book reviews

regions of Africa, outlining the agreements,institutions, and funding mechanisms setup, and reviews performance in achievingcuts in greenhouse gas emissions. Aselsewhere in the developing world, theclimate change challenge for Africa is offinding ways to adapt. Adaptation needsattention at many levels, and the bookemphasises the need to combine a focus onbuilding more resilient local food andwater systems with national plans for foodsecurity and international management ofkey resources.

Toulmin looks at the impact of climatechange on the availability and access tonatural resources, firstly looking at howwater availability is affected. With someareas becoming drier and others wetter asa result of climate change, the very limitedinvestment in managing domestic watersupplies in rural and urban settings needsaddressing, as well as the untappedpotential of dams to capture water forenergy generation and agriculturalproduction.

The reliance of African countries onagriculture and natural resources meansthat farmers are facing ever greaterchallenges. Toulmin draws on successstories which incorporate greaterresilience into farming systems,particularly in the West African Sahel.

Forests are a huge source of incomeand provider of services, and the growth incarbon markets and Reduced Emissionsfrom Deforestation and Degradation(REDD) schemes bring potential benefitsto Africa. Toulmin questions who has therights to trees and who can claimpayments from a global fund. Sheemphasises the time and effort required toclarify and enforce rights of access and useover these resources, so as to bestdistribute the proceeds from theseschemes among local people, localgovernment, and national authorities. Inher view, a combination of localempowerment and national support islikely to work best.

Urban growth can bring manynegative impacts on people’s health andthe environment, as well as vulnerabilityin the context of climate change. Toulminlooks at the potential of cities to be part ofthe solution rather than the problem,through redesign which will need the closecollaboration of local communities,residents’ groups, town councils, and localgovernment.

In a chapter on climate change andconflict, Toulmin questions whetherfuture conflict and resource wars could beattributed entirely to climate change. Sheexamines the effect resource scarcity canhave on migration patterns, which oftenhave a very significant impact on people’sincome. She also looks at the rise inbiofuel cultivation and the ‘land grabs’which are taking place in some regions.Again, Toulmin suggests positive waysforward to reduce the shifts in resourceavailability.

Overall, Toulmin focuses on theopportunities facing Africa, and how itcan gain from the new funding streamsthat will arise from the climate changenegotiations. Africa has a large part toplay in the new carbon economy, but it isthe voices of the poor and vulnerable –who are most affected by climate change –which need to be heard as the policies andinstitutions for addressing climate changeare designed.

Available from Zed Books:www.zedbooks.co.uk

Planning withUncertainty: UsingScenario Planning withAfrican Pastoralists� SOS Sahel UK andIIED, 2009ISBN: 978 1 84369 743 5

This booklet illustrates how the idea ofscenario planning as a participatory tool isbeing used to help pastoralists in Africamanage uncertainty and change. It usesscenario planning in a constructive way to

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imagining multiple futures and considerhow they might be influenced. Pastoralistsare masters in the art of engaging withuncertainty and turning it to theiradvantage, since unpredictability ischaracteristic of the ecologicalenvironments in which they operate.

The book is based on SOS Sahel UK’swork with Boran and Somali pastoralistsin Kenya and IIED’s work with WoDaaBepastoralists in Niger. It captures the earlylessons from an approach which hasexcited all those involved.

After a brief introduction, the firstsection looks at the three experiences fromwhich this booklet is drawn – two in Kenyaand one in Niger. The second sectiondiscusses the role of the facilitator whilethe third describes the main elements of ascenario planning process. The finalsection offers some concluding reflections.

The booklet is written withcommunity development workersprimarily in mind – for those who may beinterested in facilitating scenarioplanning with communities and wish toknow more about it. It describes theprocess involved and discusses thebenefits, challenges, and implications ofthe approach. The booklet includes aDVD and is also available in French.

To request a hard copy, please contact:[email protected] or download acopy at: www.iied.org/pubs/display.php?o=12562IIED

GENERAL

Communication forAnother Development:Listening Before Telling� Wendy Quarry andRicardo RamirezZed Books, 2009ISBN: 978 1 84813 009 8This is fun and

entertaining book looking at thechallenges of communicating in thedevelopment sector. It is a lively, personal

account by two development practitionerswho have been frustrated with theoutcomes of their research not beingcommunicated effectively.

To quote from the book; “it is notcommunication that makes gooddevelopment but good development thatcontains good communication”. The bookunravels this notion. It is divided intothree parts – the first looking at the moveaway from results-based approaches, atcommunication for Another Developmentand how development is more aboutexploring and enabling, rather thanprescribing. It also explores whycommunicators have a hard timeexplaining what they do.

The second part reflects on experience.It looks at early champions in the field anduncovers principles which made themsuccessful communicators – these includecombining advocacy, educational andparticipatory communication functions. Italso looks at new ways of working withestablished media.

The final part looks forward to howthings can be done differently, noting thateven with new technologies, there aresome hardy principles to adhere to.The book is a must for all developmentprofessionals and shows clearly theopportunities arising from gooddeployment of communication processes.

Available from Zed Bookswww.zedbooks.co.uk

Speaking to Power – 27Voice ToolsBuilding bridges forparticipatory learning,action and policy-making� Neela MukherjeeForeword by RobertChambers

Studies in Rural Participation Series No. 7Concept Publishing, 2009ISBN: 81-8069-588-3This book looks at the practical side ofenabling ordinary people to ‘speak to


power’. Those whose voices are rarelyheard include women, minority groups,indigenous peoples, and the poor – andmaking these people’s voice heard inpolicy-making remains a serious issue.

This book is based on the assumptionthat if those in power do not listen toordinary people then the latter can usetheir united power to try and influencethem. The book provides tools andmechanisms to organise people’s voicesfor transmission, thereby connecting thecommunity voice at the local level withhigher levels of policy-making.

As the title says, the book presents 27voice tools from practice. These are dividedinto tools for participatory assessmentsand tools for social accountability. The firstset includes methodologies such asparticipatory poverty assessments,participatory monitoring and evaluation,and most significant change tools. Thesecond set includes participatorybudgeting, citizens’ advisory boards,lobbying and advocacy, and people’s courts.

The concluding chapters look ataspects of institutionalising communityvoice, including major gaps andweaknesses of the conventional policyframework.

Available from Concept PublishingCompany, New Delhi:www.conceptpub.com

Strengthening Voicesof the ExcludedAffirming Life andDiversity, Ruralimages and voices onFood Sovereignty insouth India.� The DDSCommunity Media

Trust, P.V. Satheesh (DDS) and MichelPimbert (IIED), 2008ISBN: 978 1 843969 674 2

In PLA 58, we announced Affirming Lifeand Diversity. Here, two reviewers givetheir thoughts on this multimediapublication.

Reviewed by Nick Lunch, Director and Co-founder, InsightShareAffirming Life and Diversity celebrateslocal knowledge, innovation, self-determination, and local action forchange. The compilation of 12 videosmade by women filmmakers, who are alllocal farmers from Andhra Pradeshworking with the DDS (DeccanDevelopment Society) CommunityMedia Trust, are a clear and outstandingresult of community-led research,guided by the International Society ofEthnobiology’s Code of Ethics.

Throughout eight years of work, DDSand IIED have encouraged localcommunities to undertake their ownresearch and make their ownpublications. This logic identifies thelocal inhabitants as the best experts toconduct research on biodiversity in theirown communities. Using a tool thatequalises access to the results, the dalitwomen used community video and radioto record systematically the variety ofvoices horizontally and vertically.

This project also clearly celebratesaction as a direct result from research. As Michel Pimbert acknowledges in hisradio interview with Mark Sommer (A World of Possibilities, 2008), actionresearch provides space for directdemocracy and cultural affirmation.1 Thevideos produced in this long-term actionresearch project show collaboration,production, and validation of commonknowledge with an active role of thecommunity in its outputs.

Affirming Life and Diversity sets aprecedent in participatory and actionresearch showing how multimedia is a

1 Listen online: http://tinyurl.com/pimbert-interview Full URL: http://aworldofpossibilities.org/program/vanishing-and-re-emerging-reviving-biological-and-cultural-diversity

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perfect tool for results dissemination andestablishing equality in access, whilecreating outputs with a multiplicity ofuses as advocacy tools. Besides, the long-term approach opened up a creative spacefor local capacity building andstrengthening farmer-led researchinstead of extracting information toprovide knowledge for outsiders.

The community videos unpack areflective process, and make visible thecareful adherence to participatorypractices that have led to localcommunities gaining autonomy indecision-making as well as horizontalsharing from local to global spaces. Theexchange and mutual learning processesamong farmers from India, Peru, Mali,Iran, Indonesia, and South Africa mightbe shared also with many other farmersaround the globe, thanks to the videos.

The final palpable outcome is a highand advanced level of communitycollaboration, both local and global,involving political empowerment andpower over decision-making. Theresearch findings are judged in terms ofthe degree to which communities setresearch agendas and frame policies. It isrefreshing to learn of a long termparticipatory video intervention that hasled to so many positive changes in localpeople’s lives.

The evidence of the process: an outlineof the community videos2

The 12 videos are carefully organised toarticulate an argument with a variety ofvoices: farmers, scientists, CSOsrepresentatives, government officials, andinternational stakeholders. This result ofthis participant-led research had puteveryone at a sangham shot level: that is,the eye level when you sit together in asangham community group. As PVSateesh commented to InsightShare in2007 in a video interview, the process has

achieved farmers talking to farmerslocally and globally:

That is for me the power of communityvideo.

The video-arguments articulated bythe women filmmakers include:• Explanation of the research project andprocess, presenting the stakeholders andthe case.• Celebration about biodiversity events asa community forum for awareness anddecision-making, creating a privilegedspace for sharing local knowledge andestablishing an agenda on foodsovereignty. The process of filming andscreening back to the community isdocumented too. • Concrete examples of successfuladvocacy using community video films,e.g. reversing the Public DistributionSystem which had flooded local marketswith subsidised rice and has now becomethe Community Grain Fund, promotingindigenous cereals like sorghum; or thewonderful case of banishing BT Cottonfrom the State of Andra Pradeshfollowing a long-term video campaign bythe Community Media Trust; or thecontroversial work of local citizen jurieswho shamed DfiD and UK partners intoabandoning the green revolution tacticswhich supported the spread of GM seedsand export-led industrial agriculture.• Analysis of biodiversity (uncultivatedfood), including a diversity of voices andcomparing traditional and scientificknowledge.• Sharing of local technology innovationamong local farmers.• Analysis of markets and their influencein the communities of Andhra Pradesh.Presentation of issues and solutions, suchas community certification, alternatives toestablished markets, development ofcommunity action groups, creation ofnew local market institutions, educationcampaigns, and inclusion of all the

2 See: www.insightshare.org/video_PVSateesh1.html


stakeholders in the process.• Review of the national learning grouprole on the action research project andtheir interaction with communitymembers. The video also documents theprocess of participatory video as a tool forresearch and for opening new pathways:‘radio and video are our weapons’ (quotefrom a sangham filmmaker).• Documentation of the DDS progressand the influence of the local sanghamsin policy-making at local, regional,national, and international level.Evidence of the power of communityvideo as a rigorous tool for research andadvocacy.• A case of horizontal global exchange:Indian-Peruvian farmers. It includes thesharing of sustainable farmingtechniques, culture, market institutions,community videos, and participatorytools for biodiversity registration. This isthe powerful, human, emotional, spiritualside of development we rarely see.• Documentation of the process of doingresearch through participatory video inrelation to BT cotton. The research wasconducted throughout three years,filming once a month systematically.Emphasis on stories and its impact onaction and change.• Global advocacy video: how to take theprocess beyond. The sangham filmmakersdecided to take the research to the Globalsouth, including farmers, scientists, andother stakeholders from South Africa,Indonesia, Thailand, and Mali, to recordexperiences around GMOs and BTcotton.

Similar experiences and approachesfrom InsightShareI met PV Satheesh3 at his home inPashtapur in 2005. You may laugh, but itwas a bit like meeting my guru! Sittingunder a huge tree in a beautiful courtyardand sharing local food as farmers came

and went from a variety of sanghammeetings, we chatted about participatoryvideo, we talked to the ladies at theCommunity Media Trust, shared videos,and agreed to work together to bringother PV pioneers across the globetogether and build a coherent movementfor community media. What struck memost from that meeting with Satheeshwas the dedication and life-longcommitment it takes to seed real change.He lives and breathes what he preaches!On my return to UK, I also met withMichel Pimbert, who since has remaineda mentor and friend.

At InsightShare today we feel in mid-stream of a powerful current. And wecontinue to nurture long-term links withthe wider work of IIED’s FoodSovereignty Programme partners, as wellas other IIED initiatives focused oncommunity-based adaptation to climatechange.

We have carried out capacity buildingfor community video in many countriessince our beginnings in 1996. This hasshown us there is no standard pathway,but that a community hub (physical spaceto come together and produce communityvideos, similar to the DDS CommunityMedia Trust) will need some form ofhands-on support, encouragement, andmentoring for two to three yearsminimum. What we have learnt frommaking mistakes is that we need to buildrelations at the most grassroots level toensure we are contributing to positivesocial change. We work less and less withdevelopment agencies and more directlywith communities.

There are huge advantages toanchoring the hub within an alreadysupportive and responsive network suchas The Christensen Fund’s regionalprogrammes and the UNDP GlobalEnvironment Facility (GEF) Small GrantProgramme’s local partners, or the Land

3 See: www.insightshare.org/videos

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is Life network of indigenousorganisations, as we have been doing inour Biocultural Diversity programme.

We call Year One the conceptionphase, whilst Year Two is the birth of thehub. Some community partners maychoose not to host a permanent mediahub but many opt to go on developing atruly community-led and long-term socialmedia hub. Year Three would see thedevelopment of a more intensive strategyfor developing local sustainabilitystrategies for the hubs, with less hands-oninvolvement from InsightShare. Projectswould be almost entirely locally drivenafterwards.

Our strategy to hand over the tool andconnect the communities in a globalnetwork is palpable in the videos createdby our first two hubs: Durban andLondon.3 This year, in a multimediaproject called Conversations with theEarth, we are working with sixindigenous communities to identify, train,and equip local videographers to enablethem to record the impacts of, andresponses to, climate change at the locallevel.

Sharing these video stories will enableindigenous peoples to present their ownperspectives on the effects of climatechange to inform the global discourse andbuild capacity in community media forlocally-driven processes. These six hubsare in Peru, Panama, Cameroon, Kenya,Canadian Arctic, and Philippines.

I am convinced by the words of Djengui(the Great Spirit of the forest) who haspredicted a radiant future: I feel it is in ourhands and I am going to work for that.Member of the Baka CommunityAssociation in Eastern Cameroon

Affirming Life and Diversity: RuralImages and Voices on Food Sovereignty insouth India is undeniable proof of theunlimited possibilities of combiningparticipatory action research and

community media for culturalaffirmation, self-determination, capacitybuilding, and socio-political local andglobal change – led by and for the realdevelopment experts: communitymembers, farmers, indigenous peoples,and local inhabitants. It is a must-see forthose in the development industry,development academia, and policymakers. And it is an inspiration to fellowcommunity media practitioners!

For more information aboutInsightShare, visit: www.insightshare.org

For more information and communityvideos amplifying voices of indigenouspeoples on climate change visit:www.conversationsearth.org

Reviewed by Zoe Young, a Film Producer andSian Sullivan, a Lecturer in Environment andDevelopment at Birkbeck College, Universityof London.Smartly packaged and produced, this boxset of films and text is an importantdocument of community focused actionresearch and media, exploring the foodsovereignty of marginalised people indryland areas of Andhra Pradesh, India.It offers multi-vocal accounts of actionresearch on food, farming, ecology, andlivelihoods ‘by, with and for’ people whohave tended to be treated by well-meaning elites as objects of research or ofpity, and as more-or-less passiverecipients of aid and agriculturalextension work. A particular contextualfocus is the displacement of localdiversities (crops, technologies, farmingpractices, exchange strategies, etc.)through the distribution of free or cheapwhite rice produced in industrialmonocultures. This is a staple whichrequires little labour to prepare, butwhich is relatively low in nutrient value.The films highlight some of problematicoutcomes of this incidence of India’s‘Green Revolution’. Even moreimportantly they document the processesengaged in by local people, and


particularly local women, to remember,reclaim, and share indigenous knowledgeand diverse farming practices appropriateto the relatively dry and remote (in termsof urban market access) rural landscapein which they dwell.

Issues covered include alternativestrategies for distributing food to thepoorest, growing new and traditionalcrops for market, the use of naturalfertilisers, the establishment ofbiodiversity festivals to celebrate localdiversity, and the problems faced by localfarmers pressured to grow geneticallyengineered cotton. A significant emphasisis on the ongoing work, networking, andorganisational development of theDeccan Development Society (DDS) as ahighly progressive and effectivecampaigning development NGO. A keyaspect of the initiative, and one which isof particular relevance for IIED, for‘participatory development work’ ingeneral, and for this publication, has beenthe establishment of an ethical researchprotocol and practice between the DeccanDevelopment Society and IIED, andvillage sanghams. These are ‘voluntaryassociations of poor women… basicallyformed by dalit women, but not to theexclusion of poor women from a widearray of castes’ (p. 16). An Annex sets outthe comprehensive Code of Ethics,established and agreed by theInternational Society of Ethnobiology,which has been drawn on in this projectto guide good research practice in thenew, ethically unarguable framework of‘farmer first’.

This is an innovative combination oflocally-filmed and directed visualmaterial with an accompanying and well-produced text elaborating further on thegeographical and institutional setting ofthe research. The films contain momentsof real beauty and excitement. Highpoints for us were sections where farmersspeak among themselves, makingmatrices for local biodiversity registers,

dividing up benefits between villagers,and documenting seed-keepers’ storagefacilities. From these, the passion ofspeakers committed to this grassrootsapproach to development andconservation is clear. On a more technicalnote, the film graphics are generally goodand clear, and the sound mix mostlyworks. There is some varied audio andlight levels on a couple of films (e.g. FilmThree is very dark for some reason), andat times for us the repetitive and almostconstant use of women singing, whateveris being said or is happening on screen,grated after a while.

More substantially, the total packageslightly misses an opportunity to reallydocument and present the project as apotentially exemplary process ofparticipatory video making. Theaccompanying booklet states:‘Participatory video was an integral partof this action research; the CMT [DDSCommunity Media Trust] documentedthe dynamics and outcomes of theresearch through the eyes of marginalisedwomen farmers and other small farmers’(p. xii). But while the camera may directlypresent what local women’s eyes wereseeing, the soundtrack only rarelypresents what their voices might besaying. Film Seven (‘Learning fromGrassroots’) does give more space towomen’s voices, including their views onthe role and practice of participatoryvideo in the process of co-inquiry, but forthe most part, women’s voices are heardprimarily as untranslated backgroundgroup singing. Where they might betelling their own stories, and interviewingeach other to give narrative shape to thefilms that we see, we are led instead by anauthoritative male narration, scripted(according to the credits) by PV Satheesh,the director of DDS. We wondered whythe women filmmakers themselves werenot describing in their own words thesignificance of their local biodiversityfestivals, or sharing their experiences of

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travelling to Peru to discuss local agro-biodiversity issues with Andean farmers?There is room here for a separate filmfocusing on the participatory videoprocess itself in the context of this project,indicating, for example, how women’sgroups agreed on edits and storylines andincluding some clarification of theirengagements with specialists inproducing the final versions. Anotherinteresting option would be to hear PVSatheesh’s own personal and professionalexperience as a key motivating forcebehind such a globally important andinnovative social movement organisation.

One of the films that does approachthis more successfully is the first film onDVD 4 (themed as ‘Grassroots confrontgenetic engineering’), entitled ‘Why areWarangal farmers angry with BT Cotton?’This film opens with clips of farmersheatedly explaining that this modifiedcrop actually does not provide the returnthey need on their investment. For us,this opening grabbed our attention andconcern as viewers, because we were ableto see and hear those immediatelyaffected voice their views and experiencesdirectly. At the same time, and from aprofessional filmmaker’s perspective thatunderstands the time and interest of aviewer to be at a premium, some of thefarmer accounts regarding what thenwent wrong with these introduced cashcrops perhaps are allowed to run on toolong, thereby losing the viewer’s attentionand concern. This is a common dilemmafor filmmakers desiring to give space forviews and voices that often remainunheard, while producing edits that alsoare attractive, coherent, and attention-grabbing for the viewing consumers ofthe ‘product’.

In general, however, we would haveappreciated a few more glimpses of localpeople making and watching filmstogether, as well as some more time givento permitting the emotional connectionthat can be made when hearing

protagonists speak directly of their ownviews and experiences. Arguably, it isthrough making possible these sorts offelt and empathic connections withpeople in such different contexts andexperiencing such alien constraints thatthe broader changes associated withsustaining and celebrating diversity, bothbiological and cultural, might manifest.With the sensitive use of translation andsubtitles, filmed media can providepowerful vehicles via which such subtleyet strong connections can beengendered.

In sum, however, this is an excitinginitiative and product with greateducational value in terms of content,methodologies, and institutional setting.We would love to see some sort ofdistillation of the material here into asingle hour-long film that weaves theconnected issues together through asuccinct juxtaposition of images, content,and narration. This should be possible,and would constitute a product with greatpedagogical value for a wide range ofcontexts. These could include the sharingof experiences between different localitiesand rural peoples globally, as a resourcefor ‘development professionals’ as well asfor social movements and campaignsworking with related issues, and inuniversity teaching for a range of coursesand degree programmes. Such anextension of this product would of courseencounter tensions in the interactionsbetween the producers of content andeditorial choices. But we feel that theseproductive tensions would be worthgrappling with, so as to enhance the reachand impact of the significant stories,experiences and ‘developments’documented here.

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Fourth International Conference onCommunity-Based Adaptation� 21st–27th February 2010Dar es Salaam, TanzaniaThe Fourth International Conference onCBA aims to share and consolidate thelatest developments in CBA planning andpractice in different sectors and countriesamongst practitioners, policy makers,researchers, funders, and thecommunities at risk. It will disseminatelessons learnt both at the conference andthrough conference proceedings. This hasbecome an annual event at whichpractitioners, policy makers andresearchers can share information onmethodologies for CBA, up-scaling CBA,communicating CBA, CBA in differentecosystems, funding for CBA etc. Theconferences involve field visits to CBAprojects in different ecosystems andregions so people can see CBA activitieson the ground. Ultimately the aim is toshare knowledge and experiences to helpthose most vulnerable to climate change.

For more information please contact:Saleemul Huq or Hannah Reid,International Institute for Environmentand Development (IIED), 3 EndsleighStreet, London, WC1H 0DD, UK. Tel: +4420 7388 2117; Fax: +44 20 7388 2826;Email: [email protected] [email protected]. Website: www.iied.org/climate-change/key-issues/community-based-adaptation/cba-conference

Online courses: International Institutefor Sustainable Development (IISD)� 22nd January – 26th February 2010

(Spring Session I)IISD offers a series of related onlinecourses on various aspects of community-based development designed forpractitioners in the field, projectdirectors, funders, or anyone interested inlearning more about community-baseddevelopment. IISD courses do not requireuniversity admission. Courses areintensive and provide practical tools forthose working in the field. IISD offers acomprehensive development trainingprogramme covering 13 different subjectareas within the field of sustainablecommunity-based development.

All courses are organised in a seminarformat and last five weeks. Each coursecosts USD$360. All course materials areprovided and can be downloaded fromthe course website after registration.

Deadline to register is 15th January2010.

Community-based healthSee: www.colostate.edu/Orgs/IISD/courses/Health.htmlUsing case studies and other readings,along with group discussion, this coursewill explore the global, social, political,economic, and cultural factors thatcontribute to poor health. It will also lookat methods for empowering communitieswho lack access to healthcare to createpractical solutions that are relevant totheir unique situations. Participatoryresearch will be one of the key strategiesdealt with in this course due to its focuson promoting change at the grassrootslevel.

Events and training

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Approaches to community-baseddevelopmentSee: www.colostate.edu/Orgs/IISD/courses/Approaches.htmlThis course explores both the structureand practice of community developmentaround the world. Using case studies,videos, readings, and online discussions,participants in this course will engage in acritical analysis of different approaches tocommunity development, their historicaldevelopment, and underlyingassumptions with the goal of distilling outkey structures and practices that will helpthem be more effective on the ground.While not required, it is recommendedthat this course be taken prior to takingother IISD online courses.

Online certificate programme incommunity-based development Students who complete the ‘Approachesto community-based development’ coursealong with three other elective courseswill receive a certificate in Community-Based Development from theInternational Institute for SustainableDevelopment at Colorado StateUniversity.

Community-based organising See: www.colostate.edu/Orgs/IISD/courses/Organizing.htmlTaking a practical ‘hands-on’ perspective,this course will explore the theories, tools,styles, and challenges of community-based organising. It will discuss practicalstrategies for developing communityleadership and working withmarginalised communities, exploring theideas and examples from Evo Morales,Paulo Freire, Saul Alinsky, Sup-Comandante Marcos, the BridgeImmigrant Rights experiment, andMartin Heidegger. By looking at ways oforganising with intentionality, this courseexamines the impact that ordinaryindividuals can and have had on theworld.

Community-based mapping See: www.colostate.edu/Orgs/IISD/courses/Mapping.htmlThis course will explore theories, ethics,applications, and methods of community-based mapping and its role inparticipatory learning and action as wellas larger processes of integratedcommunity-based development. Thiscourse, while drawing on many of therecent case studies, academic writings,and reports from the field, will be highlyinteractive and will emphasise the sharingof experiences, ideas, and insights fromcourse participants.

Participatory research and development www.colostate.edu/Orgs/IISD/courses/Research.htmlThis course stems from the emergence ofparticipatory approaches especiallyParticipatory Rural Appraisal (PRA)pioneered by Robert Chambers in the1990s. This course will cover the theorybehind participatory research and actionmethodologies used by academics anddevelopment professionals, as well asfocus on practical tools to conductresearch and evaluations that, through theresearch process itself, empowercommunities and local people.Participants will examine the ethics ofresearch in marginalised communitiesand also learn appropriate tools toconduct baseline studies, academicresearch, and monitoring and evaluationreports.

All courses are organised in a seminarformat and last five weeks. Each course is$360 USD. All course materials areprovided and can be downloaded from thecourse website after registration. For moreinformation visit the web pages above orcontact: Jamie Way, Training Coordinator.Email: [email protected]; Tel: +1970 491 5754.

Bond Network training coursesBond provides a range of learning and

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training services for NGOs working ininternational development. Bond coverissues that matter to NGOs, sharingpractical, real world knowledge through arange of learning methods. All trainingcourses: • are open to non-members as well asmembers, although members receive adiscount;• are competitively priced (prices start atjust £69 for a one-day workshop);• focus on active learning andparticipation; • reflect the latest thinking, concepts andissues; and• are delivered by experienced facilitatorswith a thorough knowledge of their field.

Examples of courses offered by Bond

Monitoring and evaluation foraccountability10th February 2010Aimed at people new to monitoring andevaluation or who want an overview ofmonitoring and evaluation systems. If youare responsible for developing monitoringand evaluation systems, or need toimprove an existing system to record andanalyse project information, this coursewill help you understand the purposes ofmonitoring and evaluation and how to setup systems that satisfy multiplestakeholders.

Introduction to advocacy3rd March 2010Aimed at people new to advocacy orlooking for an overview of best practice.To plan effective campaigns and influencedecision makers to change policy youneed a clear understanding of theadvocacy process, its purpose and impact.This participative course will explore theissues involved in policy work, lobbyingand public campaigning, and the skillsand techniques you will draw on.

All our open training events arecurrently run in central London. They are

also available in-house. For moreinformation about in-house training visit:www.bond.org.uk/pages/in-house-service.html

Download form (BOND members):www.bond.org.uk/learning-and-training-booking.php?event_id=a0E40000003w38BEAQ

Download form (if you are not aBOND member): www.bond.org.uk/pages/how-to-book.html

Post to: Learning and Training EventsAdministrator, Bond, Regent’s Wharf, 8All Saints Street, London N1 9RL. Email:[email protected]; Fax: +44 20 78374220

International Association for PublicParticipation training coursesCourses offered in February 2010. Seewebsite for future course dates.

Planning for Effective PublicParticipation1st–2nd February 2010Calgary, AB, Canada. See:www.iap2.org/cde.cfm?event=281938Edinburgh, Scotland, UK. See:www.iap2.org/cde.cfm?event=284113This two-day module of the IAP2Certificate Programme provides anintroduction to the foundations ofeffective public participationprogrammes. The planning modulefocuses on defining the issues for whichpublic participation is required,identifying stakeholders, and ensuringtheir involvement throughout the process.Using IAP2’s Spectrum for PublicParticipation, course participantsestablish clear and achievable objectivesfor public participation and a promise tothe public. Participants learn how toprepare an organisation for conductingpublic participation and to plan for thetiming, techniques, and resources neededto make public participation a success.Emphasis is placed on creating and usingcontinuous feedback and evaluation.

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Note: Planning for Effective PublicParticipation is a prerequisite for all otherIAP2 Public Participation Certificatetraining.

Communications for Effective PublicParticipation3rd February 2010Calgary, AB, Canada. See:www.iap2.org/cde.cfm?event=281939Edinburgh, Scotland, UK. See:www.iap2.org/cde.cfm?event=284116This one-day module in IAP2’s CertificateProgram in Public Participation offers anoverview of the communication skillsused by public participation practitioners.The course provides an introduction tocommunication skills and models. Itintroduces the Principles of AuthenticCommunications and focuses on toolsused to prepare and present informationmaterials in a variety of forms, small andlarge group interaction models andfacilitation essentials.

This course is suitable for beginning tointermediate level practitioners and thosewho want a review of basiccommunication techniques.

Note: Planning for Effective PublicParticipation is a prerequisite for this course.

Techniques for Effective PublicParticipation4th–5th February 2010Calgary, AB, Canada. See:www.iap2.org/cde.cfm?event=281940Edinburgh, Scotland, UK. See:www.iap2.org/cde.cfm?event=284119This two-day module in IAP2’s CertificateProgramme in Public Participationprovides an introduction to a range ofpractical tools and techniques used at allfive levels of IAP2’s Public ParticipationSpectrum. It gives course participants anopportunity to try out or observe anumber of specific techniques includingWorld Cafe, Interviews, Samoan Circle,Citizens Jury, and Advisory Group. Itincludes overviews of more than 20 tools

and techniques tested and used by publicparticipation practitioners around theglobe. The course is suitable for beginningto intermediate level practitioners andthose who want a review of basic groupprocess techniques. Interactive exercisesand practical tips are used to enliven thebasic theory and reference materialspresented throughout the two-day sessionand reinforce skills that participants canput to immediate use.

Note: The Planning for EffectivePublic Participation module is aprerequisite for this course

For further information aboutEdinburgh courses please contact: VikkiHilton, Hilton Associates, 3 Priory Grove,South Queensferry, Scotland, EH30 9LZ,UK. Tel: +44 131 331 1523; Fax: +441315101523; Email:[email protected]

For further information about Calgarycourses please contact: Canadian TrainersCollective, c/o Gay Robinson PublicRelations, 163 Woodpark Circle SWCalgary AB T2W 6G1, Canada. Email:[email protected]; Fax:+403 281 8945.

Call for applications: Training onManaging for Impact, January 2010South Africa, 18 to 29 January 2010Managing for Impact (M4I) is a holisticapproach to managing developmentinitiatives. It integrates a diverse range ofexisting processes, methodologies, andtools to address common challenges andcontribute to enhancing developmenteffectiveness. M4I involves strengtheningcapacities (skills, knowledge, systems etc.)and conditions (including formal andinformal policies, principles, values etc.).

The overall purpose of the workshop isto continue to develop and strengthen thecapacity of individual service providersand practitioners within Eastern andSouthern Africa to support pro-poorprojects/programmes to effectivelymanage toward impact.


Deadline: 4th December 2009.Cost: USD$ 2400 to cover training

costs including accommodation, meals,training materials and stationery, tuition,local travel expenses, fieldwork costs, andother related workshop expenses.However, participants are expected tocover their travel expenses.

For more information see:http://tinyurl.com/m41-training

Application form:http://tinyurl.com/m41-training-app

Website: www.khanya-aicdd.orgPlease complete the application form

and participant profile if you wish to beconsidered for the training workshop.Return completed form to:[email protected]; Fax: +2751 430 8322.

Participants selected will be expectedto have had basic training and at least sixmonths experience working with pro poorinitiatives and facilitating participatoryplanning, monitoring, evaluation andlearning processes.

PRIA Education certificate courses,distance learning, from April 2010The Society for Participatory Research inAsia (PRIA) is an international centre forlearning and promotion of participationand democratic governance. PRIAContinuing Education (PCE), theacademic wing of PRIA draws upon theknowledge and resources of PRIA andrepackages it into learning material.

All certificate programmes inviteapplications from Indian as well asInternational students. The minimumrequired qualification is Bachelor’s degreein any subject. The certificate programmesare offered in a distance mode and includeprint materials, audio-visual CDs, guestfaculty, and immediate and engagedcommunication through a bulletin board.

Courses include:• International perspectives inparticipatory research• Civil society building

• Understanding gender in society• Perspectives in participatory monitoringand evaluation (IPPME)• Panchayati raj institutions in India(local-self governance)• International dimensions of adulteducation and lifelong learning• Perspectives on citizenship, democracyand accountability• Urban local self governance in India(municipal governance)

Each certificate programme lasts threemonths and sessions start in April 2010.

For more information, contact: Ms.Martha Farrell, Director, PRIAContinuing Education and PRIA, 42Tughlakabad Institutional Area, NewDelhi 110062, India. Tel: +91 11 29960931/32/ 33; Fax: +91 11 2995 5183;Email: [email protected]; Website:www.priaeducation.org

Mosaic.net International, Inc. trainingcoursesInternational workshop on results-basedmanagement, appreciative inquiry, andopen space technology12th–16th July 2010www.mosaic-net-intl.ca/rbmworkshop.shtmlRights-based management is shaping theway Government, the private sector andNon-governmental organisations conductbusiness. Managers are increasingly beingasked to design, manage, and assess theresults and performance of theirorganisation and projects. AppreciativeInquiry has shifted traditional thinkingfrom a problem-focused approach toseeking out and building on what works:strengths, innovations, and achievements.Open Space Technology is a processwhere groups can self-organise aroundissues of importance to them.

International workshop on gendertraining A joint collaboration involving GenderEquality Incorporated and Mosaic

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International, Inc. 19th–23rd July 2010www.mosaic-net-intl.ca/gender.shtmlThe gender training workshop seeks toprovide workshop participants with coreconcepts, gender analytic frameworks,and gender strategies that can improvethe effectiveness of your organisation,programmes, and projects in workingwith vulnerable and marginalised womenand men, boys, and girls. The workshopwill move beyond theory to apply inpractical and useful ways gender analysisand gender sensitive strategies to yourorganisation and its programmes andprojects to achieve greater social justice,development, and peace

Participatory monitoring and evaluationworkshop with two-day communitypracticum 26th–31st July 2010Ottawa, Canadawww.mosaic-net-intl.ca/pmeworkshop.shtmlThis is a practical, iterative and hands-onworkshop. The format will vary betweensmall group work and discussion, plenary,and practical community assignments toencourage the sharing of knowledge andapplication of participatory concepts andtools to real life situations. Participantswill go out into the community on a dailybasis to apply tools and to learn by doing.The community practice assignments willbe in one of five different communities inand around Ottawa. Teams ofparticipants will carry out a simulatedparticipatory monitoring and evaluationexercise, using the tools learnt in theworkshop and defined by the hostorganisation. Where appropriate, linkswill be made to existing communitygroups and their issues. Evening meetingsand on-going team-building exercises willbe part of this process.

For more information, please contact:Françoise Coupal, Mosaic.netInternational, Inc.

705 Roosevelt Avenue, Ottawa,Canada, K2A 2A8. Tel: +613 728 1439;Fax: +613 728 1154; Email:[email protected]; Website:www.mosaic-net-intl.ca

MA Participation, Power, and SocialChangeUniversity of Sussex, UKThe MA in Participation, Power, andSocial Change (MAP) is a unique 18-month programme providing experienceddevelopment workers and social activistswith the opportunity to critically reflecton their practice and develop theirknowledge and skills while continuing towork or volunteer for most of this period.

The MA combines academic study,practical experience, and personalreflection. Students carry out an actionresearch project related to their work,inquiring into the challenges ofparticipation and power relations,reflecting on their actions andassumptions, and exploring what itmeans to facilitate change.

Students come from a wide range ofprofessional backgrounds, includingcommunity organisations, NGOs, socialmovements, governments, businesses,and consultancies. They work on diverseissues such as agriculture, health, HIV-AIDS, natural resources, climate change,youth, gender, community development,governance, communication, planning,evaluation, and policy-making, amongothers.

A core component of MAP is the 12-month period of work-based learning inwhich students examine issues in theirown practice and use the findings tobenefit their organisation. Theirplacements are based in countries in boththe global South and North, focused on awide variety of issues, sectors, andinstitutions. Students are supported bytheir employers, donor agencies andscholarships, or are self-funded.

An acceptable first degree or


equivalent academic qualification, and atleast three years of voluntary orprofessional experience which should bein some way connected to the MA subjectarea. Minimum acceptable level ofEnglish language competence required.

Cost: £12,500 for all students. University of Sussex paper

application: www.sussex.ac.uk/study/pg/applying/applications

University of Sussex onlineapplication: www.sussex.ac.uk/study/pg/applying

For more information contact: AngelaDowman, Programme Administrator,University of Sussex, Brighton, BN1 9RE,UK. Tel: +44 1273 915644; Email:[email protected]; Website:www.ids.ac.uk/go/teaching

For a hard copy of the prospectus andapplication pack, please use the link toorder one: www.sussex.ac.uk/studywithus/ug/orderprospectus

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Adaptation Learning Mechanism (ALM)www.adaptationlearning.net

Shares guidance and tools for developingand implementing adaptation initiatives,including a list of materials available forimmediate download or online browsing.

Assessments of Impacts andAdaptations to Climate Change – Data,Methods, and Synthesis Activity (AIACC)http://sedac.ciesin.columbia.edu/aiacc

Facilitates access to extensive data,software, and bibliographic resourcesrelated to climate impacts, adaptation,and vulnerability across multiple sectors.

Bangladesh Centre for AdvancedStudieswww.bcas.net

Bangladesh Centre for Advanced Studiesis an independent, non-profit, non-government, policy, research, andimplementation institute working onsustainable development at local,national, regional, and global levels.BCAS addresses sustainable developmentthrough four interactive themes:environment and developmentintegration; good governance andpeople’s participation; poverty alleviationand sustainable livelihoods; and,economic growth and public-privatepartnership. Established in 1986, it hasgrown to become a leading institute inthe non-government sector in Bangladeshand South Asia. Many of theirpublications are available as freedownloads.

Capacity Strengthening of LDCs forAdaptation to Climate Change (CLACC) www.clacc.net

This is a group of fellows andinternational experts working onadaptation to climate change for leastdeveloped countries. Their aim is tostrengthen the capacity of organisationsin poor countries and support theirinitiatives in sustainable developmentthrough the network of fellows in 15countries in the South, 12 in Africa, andthree in South Asia.

Climate Change and AgrobiodiversityResearchwww.agrobiodiversityplatform.org/blog/?page_id=1016

The Platform for AgrobiodiversityResearch project on climate change iscollecting information about initiativeson adaptation to climate change that arebased on the use of agrobiodiversity. Thistool intends to facilitate a learningdialogue between rural communities allover the world and build a knowledgebase that can be used to increaserecognition for the multitude ofadaptation practices communities engagein. Compiling and synthesising thesepractices will allow them to be validatedin a rigorous way and used in advocatingstronger involvement for marginal groupsin the climate change policy debate.

CBA-Xhttp://community.eldis.org

CBA-X is a shared online resourcedesigned to bring together and grow the

e-participation

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CBA community. It provides a website forthe exchange of up-to-date informationabout community-based adaptation,including news, events, case studies, tools,policy resources, and videos. Supportedby CARE, OXFAM, ActionAid, TearFund,and WWF.

CRiSTAL (Community-based RiskScreening Tool – Adaptation &Livelihoods) www.cristaltool.org

Screening tool for existing livelihoodsprojects which enables project plannersand managers to (a) understand the linksbetween local livelihoods and climate; (b)assess a project's impact on livelihoodresources important for climateadaptation; and (c) devise adjustments toimprove a project's impact on these keylivelihood resources.

Famine Early Warning Systems Network(FEWSNET) www.fews.net/Pages/default.aspx

Provides information on food security(including weekly climate andprecipitation forecasts) for West, East,and Southern Africa, Central America,the Caribbean, and Afghanistan.

GRAINwww.grain.org

GRAIN is a small international non-profit organisation that works to supportsmall farmers and social movements intheir struggles for community-controlledand biodiversity-based food systems.Their website contains a number ofdownloadable resources concerned withclimate change, the global food system,and the potential role of smallholderfarms and farming communities inmitigating the food and climate crises.

Global Environmental Change and FoodSystems (GECAFS)www.gecafs.org/index.html

International, interdisciplinary research

project focused on understanding thelinks between food security and globalenvironmental change. The GECAFS goalis to determine strategies to cope with theimpacts of global environmental changeon food systems and to assess theenvironmental and socio-economicconsequences of adaptive responsesaimed at improving food security. Itfocuses specifically on Southern Africa,the Indo-Gangetic Plain in South Asia,and the Caribbean.

IDS Climate Change and DevelopmentCentrewww.ids.ac.uk/climatechange

www.climategovernance.org

Aims to drive forward collaborativeresearch and policy analysis, buildingprogrammes, and delivering high qualityknowledge services, teaching, andtraining. Research themes includeclimate change adaptation, low carbondevelopment, internationalenvironmental law, developmenteconomics, social protection, sustainablelivelihoods, and migration. IDS havedeveloped the ORCHID (Opportunitiesand Risks for Climate Change andDisasters) adaptation tool for assessingdevelopment projects.

IDS also runs the Climate andDisaster Governance platform, whichaims to identify governance optionswhich could help reduce climate anddisaster risk to poor communities andkeep development on track.

International Institute for Environmentand Development Climate ChangeProgramme www.iied.org/climate-change/home

Focuses on improving the understandingof climate change impacts for poordeveloping countries, including bothpolicy makers and poor groups;improving the decision-making capacitiesof vulnerable developing countries tocope with impacts of climate change;

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improving the negotiating capacities ofpoor developing countries in the climatechange negotiations through analysis ofissues relevant to them; and improvingthe sustainable livelihoods opportunitiesof poor communities in developingcountries in light of possible climatechange impacts. Most publications free todownload.

Indigenous Peoples’ Assessments ofClimate Changewww.ipcca.net

Indigenous peoples-led initiative, inpartnership with IIED, the United NationsUniversity, the Christensen Fund, andNovib-Oxfam. Particular focus on theimpacts of climate change on food security,landscapes, and human well-being. This isa bottom-up process grounded inindigenous worldviews and knowledgesystems. This multiregional project alsoseeks to inform policy and practice onresponses to the food and climate crisis.

Intergovernmental Panel on ClimateChange (IPCC)www.ipcc.ch

The IPCC website has download links forthe 4th IPCC Assessment Report (2007),a comprehensive assessment of thephysical science basis (Working Group 1),impacts, adaptation, and vulnerability(Working Group 2), and mitigation ofclimate change (Working Group 3).

The Nairobi Work Programme onimpacts, vulnerability, and adaptation toclimate change http://unfccc.int/adaptation/sbsta_agenda_item_adaptation/items/3633.php

http://maindb.unfccc.int/public/adaptation

Developed to help countries improvetheir understanding of climate changeimpacts and vulnerability and to increasetheir ability to make informed decisionson how to adapt successfully. Inparticular, the database on local copingstrategies is intended to facilitate the

transfer of long-standing copingstrategies/mechanisms, knowledge, andexperience from communities that havehad to adapt to specific hazards orclimatic conditions to communities thatmay just be starting to experience suchconditions, as a result of climate change.

National Action Plans for AdaptationDatabase (NAPA) www.napa-pana.org

Provides information on all aspects ofNAPAs and NAPA development,including a useful risk assessment andadaptation resources page with links toadaptation resources and guidelines.

National Communications to theUNFCCC http://unfccc.int/national_reports/non-annex_i_natcom/items/2979.php

Contains information on nationalcircumstances, vulnerability assessment,financial resources, transfer of technology,and education, training, and publicawareness.

Practical Actionhttp://practicalaction.org/practicalanswers/technical_enquiry_service.php

Runs a technical enquiry service forgrassroots development workers,community-based organisations, NGOs,and other agencies using appropriatetechnologies to implement sustainabledevelopment. Includes information onadaptation to climate change.

Participatory Learning and Actionwww.planotes.org

Back issues of Participatory Learningand Action are free to download onlineand contain a range of articles onparticipatory processes and methods thatare relevant to CBA practitioners.

Southsouthnorth www.southsouthnorth.org

A network of non-profit organisationsworking in the fields of climate change

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and social development, and seeking toreduce poverty and promote sustainabledevelopment in Sub-Saharan Africa, Asia,and Latin America by building Southerncapacity and delivering community-basedmitigation and adaptation projects.

UNDP Climate Change Country Profiles http://country-profiles.geog.ox.ac.uk

Fifty-two country-level climate datasummaries intended to address theclimate change information gap fordeveloping countries by making use ofexisting climate data to generate a seriesof country-level studies of climateobservations. Each report contains a setof maps and diagrams demonstrating theobserved and projected climates of thatcountry as country average time series, aswell as maps depicting changes on a 2.5°grid and summary tables of the data. Anarrative summarises the data in thefigures, placing it in the context of thecountry's general climate.

weADAPT – collaborating on climateadaptationwww.weadapt.org/c03

weADAPT is an expanding collaborationthat offers a wealth of experience, data,tools, and guidance to develop soundstrategies and action on climateadaptation. weADAPT provides supportfor adapting to climate change, both onits own and as part of broaderdevelopment processes, by poolingexpertise from a wide range oforganisations that contribute toadaptation science, practice, and policy.weADAPT espouses a principle ofopenness, encouraging contributionsfrom a range of expertise across differentdisciplines. It aims to enable expertiseand experience in vulnerability scienceand development practice to be coupledwith climate science and modelling tocreate innovative thinking and integratedmethods to support adaptation. Lots ofresources available from the website.

AcknowledgementMany of these websites were taken fromthe resources section of Christian Aid’sAdaptation Toolkit: integratingadaptation to climate change into securelivelihoods, Module 2. Many thanks toChristian Aid for their work in gatheringthis information together, and allowing usto reproduce it.

RCPLANETWORK

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In this section, we update readers onactivities of the Resource Centres forParticipatory Learning and ActionNetwork (RCPLA) Network(www.rcpla.org) and its members.RCPLA is a diverse, internationalnetwork of national-level organisations,which brings together developmentpractitioners from around the globe. Itwas formally established in 1997 topromote the use of participatoryapproaches to development. The networkis dedicated to capturing anddisseminating development perspectivesfrom the South. For more informationplease contact the RCPLA NetworkSteering Group:

RCPLA Coordination and NorthAfrica & Middle East Region: AliMokhtar, Near East Foundation – MiddleEast Region, Center for DevelopmentServices (CDS), 4 Ahmed Pasha Street,10th Floor, Garden City, Cairo, Egypt.Tel: +20 2 795 7558; Fax: +20 2 794 7278;

Email: [email protected];[email protected]; Website: www.neareast.org/main/cds/default.aspx

Asia Region: Tom Thomas, Director,Institute for Participatory Practices(Praxis), S-75 South Extension, Part II,New Delhi, India 110 049. Tel/Fax: +91 11 5164 2348 to 51; Email: [email protected];www.praxisindia.orgJayatissa Samaranayake, Institute forParticipatory Interaction in Development(IPID), 591 Havelock Road, Colombo 06,Sri Lanka. Tel: +94 1 555521; Tel/Fax: +94 1 587361; Email: [email protected]

West Africa Region: Awa Faly BaMbow, IED-Afrique, BP 5579 DakarFann, Senegal. Tel: +221 33 867 10 58; Fax: +221 33 867 10 59; Email: [email protected] Website: www.iedafrique.org

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European Region: Jane Stevens,Participation, Power and Social ChangeGroup, Institute of Development Studies(IDS), University of Sussex, BrightonBN1 9RE, UK. Tel: + 44 1273 678690; Fax: + 44 1273 21202; Email: [email protected];Website: www.ids.ac.uk/ids/particip

Participatory Learning and ActionEditorial Team, International Institutefor Environment and Development(IIED), 3 Endsleigh Street, LondonWC1H 0DD, UK. Tel: +44 207 388 2117; Fax: +44 207 388 2826; Email: [email protected]; Website: www.planotes.org

Latin America Region: Jordi Surkin,Grupo Nacional de Trabajo para laParticipación, PO Box 3371, Santa Cruz,Bolivia. Tel/Fax: +591 3 3376076; Email: [email protected];Website: www.gntp.org

East Africa Region: Eliud Wakwabubi,Participatory Methodologies Forum ofKenya (PAMFORK), Jabavu Road, PCEAJitegemea Flats, Flat No. D3, PO Box2645, KNH Post Office, Nairobi, Kenya.Tel/Fax: +254 2 716609; Email: [email protected].

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Integrating participation into climatechange projects: experiences from theRCPLA

The New Land New Life Project: climate changeimpacts on water and health, Aswan, EgyptThis two-year action research projectaims to derive and test possible relationsbetween climate change, watermanagement issues, and healthconditions, for the benefit of the poorpeople in new resettlement communitiesaround Lake Nasser.

The Near East Foundation’s projectteam has worked closely with communitymembers to enhance the adoption ofpositive environmental actions andreduce climate change effects on waterand health. Early in the project, the teaminvested in building people’s trust,interest, and ownership. The focus was onthe community – not only as the projectbeneficiary, but also as the mainstakeholder. Settlers in the area wereinvolved in all steps of implementation.With guidance and support from theresearch team, settlers designed their ownexperiments, implemented them, andparticipated in the analysis of results.Importantly, decision makers were alsoinvolved in the implementation.Throughout the project, the researchteam acted as facilitators, trainers, andadvisors.

The community-based participatoryresearch approach offered opportunitiesfor settlers to identify and assess theirneeds and strengthened cooperation withthe research team. It resulted in technicalproject gains, and yielded greater benefitsto the settlers’ livelihoods. It alsoestablished policy dialogue betweenresearchers and decision makers, andbetween community members anddecision makers.

Adaptation to the impacts of sea-level rise inthe Nile Delta coastal zone, EgyptThis three-year research project aims to

develop and test methods and approachesfor determining optimum and feasibleadaptation options to sea-level rise inEgypt. Working in Ras El Bar-Gamasa asa pilot study area, it integrates traditionalmodelling approaches with multi-stakeholder deliberation processes, toreduce vulnerability and minimise theexternal costs of adaptation.

The project is being implemented bythree Egyptian partners: the CoastalResearch Institute, Ministry of WaterResources and Irrigation; the Institute forGraduate Studies and Research,Alexandria University; and the Center forDevelopment Services. This project uses aparticipatory approach withcommunities, involving them in allproject activities. It aims to involve allconcerned stakeholders and gain theirsupport in the process of identifying andimplementing appropriate adaptationoptions. So far, a participatory socio-economic study has been conducted inthe pilot areas. The study has identifiedthe basic social and economic patterns inthe community, and the community’sbasic knowledge about climate changeand sea-level rise. We now plan to holdmeetings with different stakeholders toinform them about the research results,receive their feedback, and consult withthem on possible adaptation options. � For further information about theseprojects please contact: [email protected]

News from the RCPLA NetworkCoordinatorOver the past few months, RCPLAmembers have been active in promotingparticipatory approaches by organisingworkshops to introduce participation asan effective tool to bring about ‘socialchange’ – adopting participationthroughout the lifecycle of the projectsthey are implementing and documentingtheir best practices to be disseminatedworldwide.

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• A series of Training of Trainers (TOT)entitled ‘Building the Capacity ofProgrammes that Empower Participationand Child Rights’ was carried out by theCenter for Development Services (CDS)in Egypt. The training providesdevelopment practitioners with thetechniques required to transform theirrole from resource transferors tobecoming agents of social change in theirown communities. The trainingsintroduce the concept of participatorylearning and action (PLA) and how it canbe integrated at the different levels of theproject cycle. • The Participatory Methodologies Forumof Kenya (PAMFORK) have usedparticipatory action research (PAR)methodologies and PLA tools in theirproject ‘Determining the relationshipbetween the status of water, sanitation,and hygiene in schools and theperformance of boys and girls’. For moreinformation see News from the EastAfrica region in this section.• The RCPLA network is in the process offinalising its new publication ‘DeepeningParticipation for Social Change’. Thispublication presents conceptualreflections on participation indevelopment; analyses participation as anactive process throughout the projectcycle; and identifies the challenges facedin deepening the use of participatoryapproaches. It also includes a series ofcase studies from China, Egypt,Zimbabwe, and Nigeria, and will beavailable online.

Please visit the recently updatedRCPLA website. Interesting news andresources are now available. Don’t missthe interview by Robert Chambers onPGIS! See: www.rcpla.org

News from the Asia regionThe Annual Praxis Commune onParticipatory Development (Workshop

09) – as announced in the last issue – washeld in Kerala, India, 30th September –9th October 2009. Workshop 09 saw adiverse group of participants from sixteencountries and from several states of India.It was widely acknowledged by the groupthat the experience was well worth thejourney. Highlights included RobertChamber’s presentation on attitude andbehaviour changes (ABC’s) forparticipatory development and, withinthe workshop’s different modules,exploring practical approaches toeffectively implement participation. Formore information, including photos andvideos of the event visit:www.theworkshop.in

Also, in a UNICEF-funded projectthat requires the community to take theinitiative on the issue of maternal deathsin India, Praxis is working on a designthat will feature children as agents ofchange. The UN Convention on theRights of the Child has clearly outlinedthe importance of child participation inissues that concern their welfare.1 Yet asense of apathy prevails on creatingadequate infrastructure to enable childparticipation to become a reality.However, Praxis and UNICEF arecommitted to the active role of childrenwithin the programme. We hope that thismarks the start of more child-centredprojects in the near future.

Praxis continues its engagement withthe Bill and Melinda Gates Foundation’s(BMGF) Avahan project to ensureeffective participation of communitymembers.2 After conducting aparticipatory data collection, Praxisworked with community-based groupsconsisting of female sex workers,transgender groups, and men having sexwith men, to use participatory rankingand scoring tools to assign differentweights to different indicators used inassessing an empowered community-

1 See: www2.ohchr.org/english/law/crc.htm2 See: www.gatesfoundation.org/avahan/Pages/overview.aspx


based group. The deliberations thatemerged were rich in content, analysis,and reasoning, leading Praxis to alter itsinitial weights and demonstrating thedynamic engagement between Praxis andthe community.� For more information visit:www.praxisindia.org

News from the East Africa regionThe Participatory Methodologies Forumof Kenya (PAMFORK) and SNV-Netherlands Development OrganisationKenya’s South Rift Portfolio havepartnered with the Kajiado Water,Sanitation, and Hygiene (KWASH)Forum to determine the relationshipbetween the status of water, sanitation,and hygiene (WASH) in schools related tothe performance of boys and girls innational examinations.

Kajiado is located in the southerngreater Rift Valley, Kenya. In this actionresearch partnership, PAMFORK ispromoting participation through the useof participatory action research (PAR)methodologies and facilitating multi-stakeholder processes that deepen theunderstanding of the relationshipbetween WASH and performance andlearning in schools. This helps to buildstakeholder capacity from the district toimplement WASH-related interventions.SNV Kenya seeks to contribute towardsincreased access to safe drinking waterand improved sanitation for the peri-urban poor, for rural communities, and inschools. Their main clients are DistrictWater and Sanitation Forums – multi-stakeholder platforms to improve accessto water and sanitation.

The multi-stakeholder KWASHForum developed a district WASHagenda in July 2008, facilitated by SNVSouth Rift Portfolio. The KWASHobjective is to provide leadership,direction, and to facilitate effectivecoordination of WASH issues andinterventions. The forum also aims to

develop and share knowledge to bothenhance awareness and stimulateinvestment in water development andsanitation improvement.

The proposed action research is anideal convergence between water andeducation sector issues. The projectobjective is to support the forum inenhancing its coordination function andstimulate synergy and joint action bystakeholders on specific strategic WASH-related issues. The first step was tosupport the forum in a participatoryagenda-setting process in July 2008. Thisidentified specific issues and challenges ofthe greater Kajiado district related toWASH. The poor state of water,sanitation, and hygiene in schools wasidentified as a key issues, especiallybecause it requires the input of diversestakeholders. Taking immediate action atthe district scale was, however, achallenge. There was not enoughinformation on the magnitude of theproblem. So 120 primary schools from thegreater Kajiado district were randomlyselected and invited to participate in theWASH action research. Poor WASH inschools was identified as a major concern,due to:• inadequate water in schools, includinginappropriate technologies for harvestingand supplying water in schools; and• poor sanitation and hygiene in schoolsand inadequate sanitation facilities(partly due to an inadequate emphasis onsanitation in schools) and inappropriatetechnologies for sanitation and hygiene inschools.

PAR was used to ensure meaningfuland informed participation of allstakeholders, and to assess how WASHissues affected the learning andperformance of boys and girls in schools.We used an interactive enquiry process togather evidence, stimulate reflection, andinform debate, so that stakeholders atvarious levels could take appropriateaction. Six PLA tools were created and

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used in the process: • School WASH mapping;• WASH scoring and analysis;• WASH situation and relationship tolearning;• Institutional WASH response;• Future WASH mapping (to stimulateaction); and • Transect walk (to stimulate action).

These tools were designed to ensurethat the respondents were able to analyseand assess their own WASH situation anddeepen the understanding and analysis ofthe WASH issues from their ownperspectives, in order to:• enable respondents to share experiencesand demonstrate the value and relevanceof their existing knowledge about WASHin schools, and stimulate them to takeaction;• involve respondents in self-directedinquiry and compiling, tabulating, andinterpreting data on WASH andperformance in schools;• stimulate creative self-expression withinthe group so that school WASH problemscan be viewed from a new perspective,opening up new possibilities forinnovative solutions;• strengthen analytical and planningcapabilities through tasks which involvecomparative analysis, making choices andconnections among alternatives, andplanning logical courses of action; and • help respondents acquire and retainnew information, which can lead to betterdecision-making and achieving desiredgoals. � For more information visit:www.rcpla.org

News from the European RegionMembers of the Participation, Power, andSocial Change team at the Institute ofDevelopment Studies (IDS), UK havecontinued their work on a broad range of

research, events, and workshops. In May 2009, Citizenship DRC

contributed to a workshop calledReconsidering human security: does itwork for the insecure?3 This looked at aframework for peace-building that movesbeyond the state-centred model, to onewhere security is a collaborative project,involving and benefiting all parts ofsociety. The team was also involved in asymposium in Cape Town in September2009, focusing on how developmentcould be done differently to really dojustice to the diversity of people’s socialand sexual identities. In addition, wefacilitated a workshop in Dublin forTrocaire on participatory and accountablegovernance, and took part in a Bonddebate on the merits – or otherwise – ofthe logframe.4 We hosted a VisitingFellowship programme which receivedover 100 applications and generated arich exchange with the nine fellows whospent the summer with us, fromBangladesh, India, Kenya, Ethiopia,Nigeria, Uganda, South Africa, Pakistan,Colombia, and Chile. And in October,students taking our MA in Participation,Power, and Social Change arrived,bringing with them a rich diversity ofexperience and learning. We welcomethem and hope that they enjoy their timehere.

Recent publications by our teaminclude the IDS Bulletin ‘Violence, SocialAction and Research’ by R. McGee and J.Pearce, and an IDS Practice Paper‘Changing the World by ChangingOurselves: reflections from a bunch ofBINGOs’ by Cathy Shutt. Another IDSPractice Paper ‘Going to Scale withCommunity-Led Total Sanitation:reflections on experience, issues and waysforward,’ came out in the spring, and thelatest in a number of pastoralist-relatedpublications was published last month:

3 The Development Research Centre on Citizenship, Participation, and Accountability(Citizen DRC), IDS.4 Bond, formerly known as BOND (British Overseas NGOs for Development).


‘Raising Voice: Securing a Livelihood: therole of diverse voices in developing securelivelihoods in pastoralist areas of Ethiopia– a summary paper.’

As a team we are entering a period oftransition as funding for our coreprogramme of work came to an end inSeptember this year. We are now in aninterim phase, re-assessing our focus andputting together proposals for futureprogrammes. For more information, visit:www.ids.ac.uk

News from the Food and AgricultureTeam at IIED

Declaration on AgrobiodiversityConservation and Food Sovereignty From 20th–29th September 2009, agroup of farmers and scientists fromEthiopia and Peru met in the Potato Park,Pisac, in the Department of Cusco, Peruto engage in cross-cultural and horizontallearning about concepts and methods onhow to design, plan, implement, andmanage Agrobiodiversity ConservationAreas. This was organised by IIED’spartner Association ANDES and theAssociation of Communities of the PotatoPark.

Discussion covered a range of issuesrelated to the conservation andsustainable use of native crops andagrobiodiversity. This included theIndigenous Biocultural Territory andAgrobiodiversity Conservation Areasapproach, and continued with customarylaws and governance structures forconservation of agrobiodiversity,resilience in managing climatic changes,indigenous knowledge, access to geneticresources, and intellectual property.Workshop participants consideredpossibilities for the implementation ofnational and key international legalframeworks for agrobiodiversityconservations such as the UN Declarationon the Rights of Indigenous Peoples, theConvention on Biological Diversity, and

the FAO’s International Treaty on PlantGenetic Resources for Food andAgriculture.

An outcome of the workshop was theDeclaration on AgrobiodiversityConservation and Food Sovereignty,signed by the participants. For moreinformation see: www.andes.org.pe

Citizen deliberations on Democratising Foodand Agricultural ResearchA number of citizens’ deliberations arebeing facilitated as part of the IIEDmulti-regional project on DemocratisingFood and Agricultural Research. This abottom-up process whereby farmers andother citizens can decide what type ofagricultural research is needed to achievethe right to food and food sovereignty –and also organise to collectively push forchange in policies and practice.

The first in a series of citizens’ juries,Raita Teerpu, will be held in the southIndian state of Karnataka on 1st–5thDecember 2009. The process involvesseveral partners from Karnataka andother Indian States. For more details seethe specially designed website:www.raitateerpu.com

Thanks to a partnership with Indianmedia, this unique event is also beingannounced and explained through localradio programmes. We plan to do a livetelecast of part of the jury hearings andthe presentation of the final verdict andset of farmer recommendations on thedirections and governance of agriculturalresearch in India.

Guidelines for contributorsFor a full set of guidelines, visit our websitewww.planotes.org

Types of material accepted • Articles: max. 2500 words plus illustrations – see below

for guidelines.• Feedback: letters to the editor, or longer pieces (max.

1500 words) which respond in more detail to articles. • Tips for trainers: training exercises, tips on running

workshops, reflections on behaviour and attitudes intraining, etc., max. 1000 words.

• In Touch: short pieces on forthcoming workshops andevents, publications, and online resources.

We welcome accounts of recent experiences in thefield (or in workshops) and current thinking aroundparticipation, and particularly encourage contributionsfrom practitioners in the South. Articles should be co-authored by all those engaged in the research, project, orprogramme.

In an era in which participatory approaches haveoften been viewed as a panacea to developmentproblems or where acquiring funds for projects hasdepended on the use of such methodologies, it is vital topay attention to the quality of the methods and processof participation. Whilst we will continue to publishexperiences of innovation in the field, we would like toemphasise the need to analyse the limitations as well asthe successes of participation. Participatory Learningand Action is still a series whose focus is methodological,but it is important to give more importance to issues ofpower in the process and to the impact of participation,asking ourselves who sets the agenda for participatorypractice. It is only with critical analysis that we canfurther develop our thinking around participatorylearning and action.

We particularly favour articles which contain one ormore of the following elements: • an innovative angle to the concepts of participatory

approaches or their application;• critical reflections on the lessons learnt from the

author’s experiences;• an attempt to develop new methods, or innovative

adaptations of existing ones;• consideration of the processes involved in participatory

approaches;• an assessment of the impacts of a participatory process;• potentials and limitations of scaling up and

institutionalising participatory approaches; and,• potentials and limitations of participatory policy-

making processes.

Language and style Please try to keep contributions clear and accessible.Sentences should be short and simple. Avoid jargon,theoretical terminology, and overly academic language.Explain any specialist terms that you do use and spellout acronyms in full.

AbstractsPlease include a brief abstract with your article (circa.150-200 words).

ReferencesIf references are mentioned, please include details.Participatory Learning and Action is intended to beinformal, rather than academic, so references should bekept to a minimum.

Photographs and drawingsPlease ensure that photos/drawings are scanned at ahigh enough resolution for print (300 dpi) and includea short caption and credit(s).

Submitting your contributionContributions can be sent to: The Editors,Participatory Learning and Action, IIED, 3 Endsleigh Street, London WC1 0DD, UK.Fax: +44 20 7388 2826; Email: [email protected] Website: www.planotes.org

Resource Centres for Participatory Learning and Action(RCPLA) NetworkSince June 2002, the IIED Resource Centre forParticipatory Learning and Action has been housed bythe Institute of Development Studies, UK. Practicalinformation and support on participation indevelopment is also available from the variousmembers of the RCPLA Network.

This initiative is a global network of resource centresfor participatory learning and action, which bringstogether organisations from Africa, Asia, SouthAmerica, and Europe and is committed to informationsharing and networking on participatory approaches.

More information, including regular updates onRCPLA activities, can be found in the In Touch sectionof Participatory Learning and Action, or by visitingwww.rcpla.org, or contacting the network coordinator:Ali Mokhtar, CDS, Near East Foundation, 4 AhmedPasha Street, 10th Floor, Garden City, Cairo, Egypt. Tel: +20 2 795 7558; Fax: +2 2 794 7278; Email: [email protected]

Participation at IDSParticipatory approaches and methodologies are also afocus for the Participation, Power and Social ChangeGroup at the Institute of Development Studies,University of Sussex, UK. This group of researchers andpractitioners is involved in sharing knowledge, instrengthening capacity to support quality participatoryapproaches, and in deepening understanding ofparticipatory methods, principles, and ethics. Forfurther information please contact: Jane Stevens, IDS,University of Sussex, Brighton BN1 9RE, UK. Tel: +44 1273 678690Fax: +44 1273 621202Email: [email protected]: www.ids.ac.uk

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ISBN: 978-1-84369-729-9ISSN: 1357-938X

International Institute for Environment and Development3 Endsleigh StreetLondon WC1H 0DD, UK

Tel: +44 20 7388 2117Fax: +44 20 7388 2826Email: [email protected]: www.planotes.orgIIED website: www.iied.org

Scientists are clear that climate change is happening. Those likely to be worst affectedare the world’s poorest countries – especially poor and marginalised communities.Industrialised countries accept that they have a responsibility to help these countries toadapt. Yet most adaptation efforts have been top-down, with little attention paid tocommunities’ experiences of climate change and their efforts to cope with theirchanging environments. This special issue focuses on recent approaches to climatechange adaptation which are community-based and participatory. It highlightsinnovative participatory methods to help communities analyse the causes and effects ofclimate change, integrate scientific and community knowledge, and plan appropriateadaptation measures. Although CBA is a relatively new field, lessons and challengesare beginning to emerge, including the need to bring together disaster risk reduction,livelihoods, and climate change adaptation work, issues around the type and quality ofparticipation in CBA, and the need for policies and institutions that support it.

Participatory Learning and Action is the world’s leading informal journal onparticipatory approaches and methods. It draws on the expertise of guest editors toprovide up-to-the minute accounts of the development and use of participatorymethods in specific fields. Since its first issue in 1987, Participatory Learning andAction has provided a forum for those engaged in participatory work – communityworkers, activists, and researchers – to share their experiences, conceptual reflectionsand methodological innovations with others, providing a genuine ‘voice from the field’. It is a vital resource for those working to enhance theparticipation of ordinary people in local, regional, national, and international decision-making, in both South and North.