Gloria Otieno
How do women and men farmers in different localities around the world perceive what is happening to the climate? Do they understand how changing climate dynamics are affecting their lives? Farmers must notice that the climate has changed, before they can identify useful adaptive practices and explore ways to implement them. The types and range of adaptation options available to farmers depend not only on their perceptions but also on a number of other factors, such as socioeconomic conditions at the household and community levels, the agro-ecology of the farming systems, cultural traditions and practices, and the policy and legal environment. To gain a better understanding of all these factors, a situational analysis must be carried out to lay the foundation for planning and designing an effective climate change adaptation process.
In this module, you will learn the key components of a situational analysis:
By the end of this model, you will have created a plan with farmers that guides research interventions based on a common understanding of the current and desired situations.
At the end ofthis module, you will be able to:
The situational analysis, which we will conduct in the context of our research on resilient seeds systems and adaptation to climate change, involves six steps:
Community profiling is a way to gain a basic understanding of the baseline conditions and trends in a community. It is an iterative process that involves the participatory analysis of a community based on four main components: analyzing the sociocultural aspects of the community; identifying agricultural activities and economic livelihoods; mapping landscapes, on-farm diversity, and agro-ecosystems; and identifying land-use characteristics and common resources within the community.
This is complemented by analyzing norms, attitudes and practices, including indigenous traditional knowledge and its application in the use, management, and conservation of agricultural biodiversity and climate change adaptation. An additional method that can be used is "traditional food ways" a participatory tool that captures the whole range of local 3 foods of a community, how food is sourced in the landscape, how it is prepared and consumed, and the roles of the household and community members involved.
The profile establishes the context for decision-making and planning. The profiling process is carried out with the active participation of the community, with the researcher acting as facilitator. The methods and data used for community profiling vary. For instance, one could use secondary sources of information, such as past surveys, or census data, which can provide useful socioeconomic information. Participatory tools, such as the transect walk and village resource mapping, support community participationin the process. A large number of useful tools exist from which a small number can be selected according to the particular characteristics of the community.
 United Nations Framework Convention on Climate Change, 2013 Best practices and available tools for the use of indigenous and traditional knowledge and practices for adaptation, and the application of gender-sensitive approaches and tools for understanding and assessing impacts, vulnerability and adaptation Literature review and analysis of best practices and available tools for the use of indigenous and traditional knowledge and practices for adaptation and the application of gender-sensitive approaches and tools for understanding and assessing impacts, vulnerability, and adaptation to climate change. |
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 Integrated Approaches to Participatory Development (IAPAD). n.d. Transect mapping and diagramming |
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Otieno, G., 2015 Preliminary steps in local climate change adaptation planning: tools and processes for conducting a situational analysis Bioversity International, Rome, Italy Succinct and clear description of the tools referred to in this section, namely the transect walk, village resource mapping, the seasonal calendar, livelihood resource and impact assessments, and institutional analysis. Available upon request from Bioversity International |
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 Maundu, P., Kapeta, B., Muiruri, P., Adeka, R., Ombonya, J. (editors) , 2013 Safeguarding intangible cultural heritage: a practical guide to documenting traditional foodways using lessons from the Isukha and Pokot communities of Kenya Unesco, Paris, France Field manual for assessing communities’ food sources in relation to their landscapes and the use and management of diverse sources of food within the community. The approach is valuable to people and institutions interested in safeguarding and promoting the use of local food resources in partnership with local schools. |
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Shrumm, H., Jonas, H. (editors) , 2012 Biocultural community protocols: a toolkit for community facilitators Natural Justice, Cape Town, South Africa Step by step documentation of the process through which external actors, such as government agencies, researchers, companies, and nongovernmental organizations can interact with communities, considering their customary protocols and governance systems and the ways in which they are codified. |
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CIP-UPWARD, 2003 Conservation and sustainable use of agricultural biodiversity: a sourcebook, Volume 1: Understanding agricultural biodiversity CIP-UPWARD, Los Baños, Laguna, the Philippines Offers 33 useful assessment tools in the area of natural resources management explained in a simple to use and illustrated manner. Depending on local context, a small number of tools can be mixed and matched from this collection. |
Analysis of climate change in a community can be done by examining weather data obtained from meteorological stations for trends and comparing this with farmers’perceptionsof changes in climate (i.e., longer-term weather dynamics).Documenting and analyzing farmers’ perceptions of climate change and its impact on agriculture are important in developing an adaptation plan. Farmers who do not perceive a change in climate or who lack knowledge about climate change will most likely have no interest or motivation to adapt. The most common way to assess how climate is changing is by using long-term meteorological observations, but these are not always easily available, let alone readable in a form that farmers can understand. Nonetheless, if these data can be collected, synthesized in a simple manner, and presented to farmers, they are a useful basis for discussing climate change with farmers.
In recent years, a number of researchers have developed methods for asking farmers about perceived changes in climate and discussing them. This kind of inquiry can reveal why there might be a discrepancy between meteorological observations and farmers’ perceptions as a result of socioeconomic factors and/or biotic stresses that may influence farmers’ decisions to adapt or to choose certain measures of adaptation. Qualitative studies often find that the sensitivity of agricultural systems to climate is rarely attributed solely to changes in some exposure or in adaptive capacity to respond to the exposure, as assumed in crop models. Instead, it can be better viewed as a trend over time, influenced by other factors in addition to climate and weather variability.
Various methods and approaches — both qualitative and quantitative — can be used to assess observed changes in climate and their impact on a community. Among them, the seasonal calendar is a tool that involves community members in the process and supports a discussion about significant changes concerning crops and climate. Other methods involve focus-group discussions with farmers.
Boureima, M., Abasse, A.T., Sotelo Montes, C., Weber, J.C., Katkoré, B., Mounkoro, B., Dakouo, J.M., Samaké, O., Sigué, H., Bationo, B.A., Diallo, B.O. , 2013 Participatory analysis of vulnerability and adaptation to climate change: a methodological guide for working with rural communities World Agroforestry Centre, Nairobi, Kenya This guide is designed to help researchers and development workers conduct a participatory analysis of vulnerability and adaptation to climate change with rural communities and to develop action plans that reflect their concerns. Occasional paper 19 |
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 World Bank,The seasonal calendar tool World Bank, Washington, DC, USA Detailed description of the key elements of the seasonal calendar and some of its limitations. |
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UNU-IAS, Bioversity International, IGES and UNDP, 2014 Toolkit for the indicators of resilience in socio-ecological production landscapes and seascapes |
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OXFAM-NOVIB, ANDES, CTDT, SEARICE, CGN-WUR, 2013 Building on farmers’ perceptions and traditional knowledge: Biodiversity management for climate change adaptation strategies OXFAM-NOVIB, The Hague, Netherlands Initial findings of surveys carried out in Peru, Vietnam, and Zimbabwe to document farmer communities’ perceptions of climate change and adaptive actions they have already taken |
Analyzing farmers’ vulnerability and risk places importance on local indigenous knowledge and draws on information from communities and their perceptions of this information. The 6 results of the analysis can be used to design strategies for adaptation and can complement other data, such as climate information, weather forecasting, and disaster records.
Participatory vulnerability and risk assessment has four main objectives:
Participatory vulnerability analysis is based mainly on qualitative data gathered through focus-group discussions with the community. Combining and integrating qualitative and quantitative data (if they are available) can result in rich collections of information. Other data sources can include secondary information obtained from past household surveys or information from key informants or other community or district resource people, such as extension workers and agricultural officers.
The influence of gender and other social variables (class, age, ethnicity) merits special attention and will require appropriate preparations and tools. This can be done by identifying major livelihood activities by gender, age, ethnicity, or class and working with these groups to determine their major livelihoods, the risks and threats they face, and their vulnerabilities.
 Regmi, B.R., Morcrette, A., Paudyal, A., Bastakoti, R., Pradhan, S. , 2010 Participatory tools and techniques for assessing climate change impacts and exploring adaptation options: a community based tool kit for practitioners Livelihoods & Forestry Programme, Kathmandu, Nepal, and UK AID, London, UK Presents 13 participatory tools for understanding likely local hazards and risks of climate change and vulnerability of the environment and livelihoods. |
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van Aalst, M.K., Cannon, T., Burton, I. ,Community level adaptation to climate change: the potential role of participatory community risk assessment Global Environmental Change 18(1): 165–179. Explores the value of using community risk assessments (CRAs) for climate change adaptation. Abstract available (article not freely available online) |
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Practical Action, 2011 Participatory climate risk vulnerability and capacity assessment (PCR-VCA): tools for operationalizing the Adaptive Livelihood Framework Practical Action, Colombo, Sri Lanka A method incorporating climate risk into commonly used vulnerable and capacity assessment. The PCR-VCA set of tools is broadly categorized under three themes: assessing the community’s overall risk context, assessing livelihood assets base, and assessing the enabling environment. |
A diversified portfolio of crops and crop varieties broadens the genetic base of farming and can be instrumental in creating resilience. An integral part of a situational analysis involves the assessment of a community’s crop diversity and its vulnerability to climate change. Italso includes evaluation of other factors that affect the status of and trends in crop genetic diversity, with special attention to loss of diversity. If a community’s crop diversity has reached a critical state, intervention and adaptation planning may be needed for the short, medium, and long term.
Four-cell analysis is a tool used to assess the status of diversity in a community and to monitor diversity at the local level. It is done in a participatory manner with farmers — for one or all crops. Four-cell analysis allows:
After conducting a four-cell analysis, the next step is to find out from the farmers which varieties they grow are resilient to pests and diseases and which ones could be used for climate change adaptation. During this process, farmers are asked which traits they perceive as making the crop especially resilient. This method also helps plant breeders select possible candidates for plant breeding.
To facilitate this process, we use the technique of participatory ranking of farmers’ varieties, a simple exercise where farmers are asked to rank each of the varieties mentioned in the four-cell analysis based on selected traits. The traits and their importance are agreed on with farmers in a focus-group discussion. They may include yield, drought tolerance, water logging capacity, resistance to certain pests and diseases, early maturity, etc. The ranking is done on a scale of 1 to 5 from least to most favourable. The highest ranking varieties can be selected for local adaptation or as good candidates for breeding work.
 Sthapit, B., Rana, R., Subedi, A., Gyawali, S., Bajracharya, J., Chaudhary, P., Joshi, B.K., Sthapit, S., Joshi, K.D., , 2012 On-farm management of agricultural biodiversity in Nepal Upadhyay, M. , Bioversity International, Rome, Italy Local Initiative for Biodiversity, Research and Development, Pokhara, Nepal; Nepal Agricultural Research Council, Kathmandu, Nepal. This case study from Nepal illustrates the uses of four-cell analysis, the process, and implications of the results. |
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van de Gevel, J.M.J., Bijdevaate, M., Mwenda, P., Morimoto, Y., Fadda, C., 2014 Collecting household level data on varietal diversification and adaptation strategies to climate change in East Africa Bioversity International, Rome, Italy |
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Vernooy, R., Sthapit, B., Tjikana, T., Dibiloane, A., Maluleke, N., Mukoma, T. , 2013 Embracing diversity: inputs for a strategy to support community seedbanks in South Africa’s smallholder farming areas Bioversity International, Rome, Italy, Department of Agriculture, Forestry and Fisheries, Pretoria, South Africa. This report places four-cell analysis carried out in two smallholder farming areas of South Africa into a broader context of the need for in situ conservation. |
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van de Gevel, J.M.J., Bijdevaate, M., Mwenda, P., Morimoto, Y., Fadda, C. , 2014 Guiding focus group discussions on varietal diversification and adaptation to climate change in East Africa. Bioversity International, Rome, Italy |
Stakeholder analysis is used to identify relations between the community and the various organizations and institutions that work in or influence the community and the impact of these relations on the community. It can also be used to identify relations between the stakeholders that work in the community and how these present opportunities or threats to the adaptation process. This type of analysis is useful for clarifying the roles of local actors, 9 how they affect adaptation activities, and the possibility of improving the capacity of the local community to adapt to climate change. In the context of resilience and adaptation, organizations and institutions that can provide alternative measures, such as improved seeds, varietal testing, and general support to smallholders, are of special interest.
The analysis is done by listing and interrelating the various institutions in the area and mapping their relationships with each other and with the community. A number of approaches can be used to assess institutions: for example, the Venn diagram, pictorial representation, and mapping in terms of efficiency, relationships, distance, and access toservice. These methods can be complemented by key informant interviews.
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Regmi, B.R., Morcrette, A., Paudyal, A., Bastakoti, R., Pradhan, S. , 2010 Participatory tools and techniques for assessing climate change impacts and exploring adaptation options: a community based tool kit for practitioners. Livelihoods & Forestry Programme, Kathmandu, Nepal, and UK AID, London, UK, pp. 41–43 Tool 12 in this kit, Mapping adaptation partnerships, explores the institutional context in which a community operates and identifies appropriate institutional partners for adaptation. |
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Reed, S.M., Graves, A., Dandy, N., Posthumus, H., Hubacek, K., Morris, J., Prell, C., Quinn, C.H., Stringer, L.C. ,Who’s in and why? A typology of stakeholder analysis methods for natural resource management Journal of Environmental Management 90: 1933-1949, |
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Chevalier, J.M., Buckles, D.J., 2008 Stakeholder identification: identifying stakeholders in a project to prevent and reduce the impacts of floods and landslides in Nepal. In SAS²: a guide to collaborative inquiry and social engagement. International Development Research Centre, Ottawa, Canada, pp. 165-177 |
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Chevalier, J.M., Buckles, D.J. , 2013 Module 4: Knowing the actors. In Participatory action research: theory and methods for engaged inquiry Abingdon, Routledge. UK, pp. 253-292 (not available online) |
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Schmeer, K. , 1999 Guidelines for conducting a stakeholder analysis. Partnerships for Health Reform Bethesda, Maryland, USA Developed in the context of health reform, these guidelines present a systematic process for collecting and analyzing data on stakeholders. |
The final step in situational analysis is participatory adaptation planning. The aim is to develop short-, medium-, and long-term strategies to increase the resilience of smallholders and their adaptation mechanisms. It includes three main stages. First, analyzing information collected during each step of the situational analysis is an all-inclusive process involving the community, the researchers, and the institutions that work in or close to the community, such as farmers’ organizations, extension workers, local community-based organizations, and nongovernmental organizations.
The second stage is development of an implementation plan based on identified vulnerabilities. It should include various intervention strategies, such as using climate-smart technologies, introducing new or improved varieties, and participatory plant breeding, as well as other institutional interventions or policies.
The third and final stage of the implementation plan should spell out who is doing what, where, and how. Priorities should be based on criteria, such as cost effectiveness, feasibility, and impact. Implementation plans can also describe long-, medium-, and short-term strategies, indicate the timeframe for implementing each, and include mechanisms for monitoring, evaluation, and impact assessment. As for the other steps in situationalanalysis, this is done in collaboration with the local community.
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Regmi, B.R., Morcrette, A., Paudyal, A., Bastakoti, R., Pradhan, S. , 2010 Participatory tools and techniques for assessing climate change impacts and exploring adaptation options: a community based tool kit for practitioners (pp 44-49) Livelihoods & Forestry Programme, Kathmandu, Nepal, and UK AID, London, UK Tool 13, Community based adaptation planning, gives insight into methods for adaptation planning, stakeholder engagement, and the development of adaptation plans with communities. |
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Chaudhury, A.S., Helfgott, A., Thornton, T.F., Sova, C. , 2014 Participatory adaptation planning and costing: applications in agricultural adaptation in western Kenya. Mitigation and Adaptation for Global Change, July. , This paper introduces an analytical framework called Participatory Social Return on Investment, which provides a structured framework for multistakeholder planning, selection, and valuation of appropriate methods of adaptation. |
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Vynne, S., 2011 A participatory approach to adaptation planning in the US. Climate Prep, adaptation stories, lessons, explorations World Wildlife Fund, Washington, DC, USA This is an interesting case study of adopting a participatory approach to adaptation planning in the context of climate change. |
Here is a quiz that will help you test your newly acquired knowledge. Once you have covered the content sections and completed the assigned readings, please answer the, please answer the Situational analysis and planning quiz.
Now that you are able to conduct a situational analysis, it is time to apply your new knowledge. Please, document this step of the research process by identifying the data collected through:
The next module in our research process is Data preparation and software selection.
Let us begin!
