Indicatorstoassesscommunitylevel socialvulnerabilitytoclimatechange:

AnaddendumtoSocMonandSEMPasifika regionalsocioeconomicmonitoringguidelines 1
FIRSTDRAFTFORPUBLICCIRCULATIONANDFIELDTESTINGAPRIL2011

Indicatorstoassesscommunitylevelsocial vulnerabilitytoclimatechange: AnaddendumtoSocMonandSEMPasifika regionalsocioeconomicmonitoringguidelines

BySupinWongbusarakumandChristyLoper

April2011

FIRSTDRAFTFORPUBLICCIRCULATIONANDFIELDTESTING

TableofContents
Acknowledgements .......................................................................................................................................5 Authorsnote:...............................................................................................................................................5 1. 2. 3. 4. Whyassesssocialvulnerability?........................................................................................................... 6 Whydidwewritethisdocument?........................................................................................................ 7 Definingsocialindicators...................................................................................................................... 8 Socialindicatorschosenforthisaddendum....................................................................................... 10 CC1:Demographicallyvulnerablegroups............................................................................................... 14 CC2:Dependenceonvulnerableresourcesandservices....................................................................... 18 CC3:Currenthouseholdlivelihoodandincomediversity ....................................................................... 21 CC4:Perceivedalternativeandsupplementarylivelihoods..................................................................24 CC5:Awarenessofhouseholdvulnerabilitytoclimatehazards.............................................................26 CC6:Accesstoanduseofclimaterelatedknowledge.......................................................................... 29 CC7:Formalandinformalnetworkssupportingclimatehazardreductionandadaptation.................31 CC8:Abilityofcommunitytoreorganize................................................................................................ 33 CC9:Governanceandleadership............................................................................................................ 35 CC10:Equitableaccesstoresources...................................................................................................... 37 5. 6. Fromvulnerabilityassessmenttoadaptationplanning..................................................................... 39 Referencesandsuggestedreadings................................................................................................... 40

 Acknowledgements
TheauthorswishtoacknowledgesignificantcontributionsbyJamesHardcastle,NadineMarshall,Paul Marshall,LizzieMcLeod,MariaPena,andCarolineVieux.Inaddition,theexpertiseofAmeerAbdullah, NicolaBarnard,DavidObura,andJerkerTamelanderwascrucialtothecreationofthisdocument. FundingforthispublicationwasprovidedbytheSecretariatforthePacificEnvironmentProgramme throughtheCoralReefInitiativeSforthePacific(CRISP)andIUCN.InkindsupportwasprovidedbyThe NatureConservancyandtheNOAACoralReefConservationProgram.

Authorsnote:
Theseindicatorstoassesscommunitylevelclimatechangevulnerabilityarepresentedhereasafirst draftforfieldtesting,circulation,andrevision.Yourcommentsarewelcome,andwelookforwardto improvingthedraftasthescienceofassessingsocialvulnerabilityadvances.Pleasesendany suggestionstoChristyLoperatchristy.loper@noaa.gov.

1. Whyassesssocialvulnerability?

Resourcedependentcommunitiesareparticularlyvulnerabletoclimatechange,whoseinfluenceonour naturalsystemsisalreadybeingfelt.Projectionspointtolarge,potentiallydramaticchangesthatare likelyinthiscentury.Formarineandcoastalsystems,thedirecteffectsofclimatechangeinclude increasingseatemperatures,risingsealevels,shiftsinthestrengthandtimingofoceancurrents, increasedfrequencyofseveretropicalstorms,andhigheroceanacidity.Thesealterationswillhave impactsthatcascadethroughtheecosystem,ultimatelyaffectingnaturesabilitytoprovidethegoods andservicesonwhichcommunitiesdepend.Socialsystemsandsectorsthatdependonthemarine environmentwillhavetoadaptinwaysthatarelikelytoincludechangestothedistributionand productivityofimportantfisheryspecies,potentiallossesintourismvalue(recreationandaesthetic)of importantmarinehabitatssuchascoralreefsandbeaches,andreducedeffectivenessofprotective featuressuchasbarrierreefsandmangroveforests.Changingclimateimpactswillalsohavelarger effectsonsocialandculturalwaysoflifeinmanysocieties.Adjustmentswillbeneededatthesametime peoplearecopingwithsuchdirectimpactsaschangesinavailabilityofdrinkingwater,coastalerosion, andsaltwaterintrusionandinundationofresidentialandfarmlands,andundergroundwatersources. Naturalresourcemanagersandotherconservationpractitionersarebeginningtoreviewtheir approachestomarineecosystemmanagementwiththeaimofimprovingecosystemresilienceto climatechange.Inmostcases,theresilienceofecosystemsandhumansystemsareinterdependent: Buildingresilienceinonewillincreaseitintheother.Armedwithgoodknowledgeaboutthenatureof theselinkagesandtheimplicationsofdifferentmanagementoptions,naturalresourcemanagersand communityleadershavethebestchanceofidentifyingstrategiesthatimproveecosystemresilience withoutexacerbatingsocialvulnerability. Understandingandmappingthelinkagesbetweensocialandecologicalsystemscanbecomplex,but evenabasicunderstandingofsocialvulnerabilityanditsdriverscansubstantivelyinformfuture planningforcoastalandmarinemanagement.Conventionalvulnerabilityassessmentshavefocused mainlyonbiological,physical,andenvironmentalaspects.Buttherelationshipofpeopletoimpacted physicalenvironmentsandecosystemsandtheircapacitytocopewithandadjusttothenewsituation playafundamentalroleinthelevelofvulnerabilitytoclimateeventsandimpacts.Inotherwords, communitieswithvaryingcapacitytorespondtoclimateeventswilllikelyyielddifferentlevelsof vulnerability.Itisthereforeimportantthatbiophysicalandsocioeconomicassessmentsbeintegrated andcomplementeachother,toprovideaholisticunderstandingofvulnerabilitytoclimatechange. Herewepresentanapproachforachievingasynopticviewofsocialvulnerabilityandadaptivecapacity, andtheimplicationsforthemanagementofmarinesystemsinthefaceofclimatechange.

2. Whydidwewritethisdocument?
Thepurposeofthisaddendumistoprovideaminimumsetofsocioeconomicindicatorsrelatedto climatechange.Thesecanbeincludedinasocioeconomicassessmentofanysiteforwhichclimate changeimpactsareanimportantissue.Theresultinginformationcantheninformcoastalmanagement needsandadaptivemanagement.Thisdocumentisbeingaddedtoregionalsocioeconomicmonitoring guidelinesproducedbytheGlobalSocioeconomicMonitoringInitiativeforCoastalManagement (SocMon)1anditsPacificcounterpart,SEMPasifika,whichaimtoimprovesitemanagementofcoastal andmarineareasbyprovidingsimple,userfriendlyguidelinesonhowtoconductasocioeconomic assessment.Suchassessmentshelpcoastalmanagersincorporatecommunityviewsintoadaptive managementofmarineresources. Ithasbecomeevidentoverthelastfewyearsthatmanycoastalandislandsitesareexperiencingmore climaterelatedeventsandimpacts,whichaddstresstocoastalandmarineresourcesaswellasthe communitieswhosewayoflifeisintimatelyconnectedwiththem.Coastalmanagersandconservation practitionersworldwidearebeginningtogetinvolvedineffortstounderstandandaddresscritical climaterelatedissues,andtherehasbeenagrowingneedforindicatorstohelpunderstanda communitysvulnerabilityandadaptivecapacitytochangingclimate.Thisaddendumistherefore intendedtoaddspecificindicatorsforunderstandingsocialvulnerabilityandsocialadaptivecapacityas itrelatestoclimatechange. Theintendedaudienceisprojectmanagers,NGOstaff,andcommunitymemberswhoareinterested andabletoconductasocioeconomicassessmenttohelpunderstandacommunitysvulnerabilityto changingclimate,andhowitmightplantoadapt.

1 RegionalguidelineshavebeenproducedandareactivelybeingusedforSoutheastAsia, Caribbean/CentralAmerica,SouthAsia,WesternIndianOcean,PacificIslands,andWestAfrica.Copies ofguidelinesforallregions,includingtranslationintolocallanguages,areavailableatwww.socmon.org. Pleaserefertoregionalguidelinesforinformationondatacollectionmethods,monitoringobjectives otherthanassessingclimatechangevulnerability,andabroaderlistofreferences.

3. Definingsocialindicators
Vulnerabilityassessmentsinvolvetoolsandprocessesusedtoassessthevulnerabilityofacommunity anditsnaturalresourcestoclimatechange.Theapproachrecommendedinmuchclimateliterature (includingMarshalletal.2010,USAID2009,Turner2003)coversthreemainareas:exposure,sensitivity, andadaptivecapacity,astheycollectivelydeterminethelevelofvulnerabilitytoclimatechange impacts.Thehumandimension,whichisthefocusofthisaddendum,isgatheredtoprovidebetter understandingofthesocialaspectsofexposure,sensitivity,andadaptivecapacityoftheassessed community. Inasocialcontext,thefollowingtermsaredefinedasfollows: Exposure:Theextenttowhichacommunitycomesintocontactwithclimateeventsorspecific climateimpacts.Specifically,thisincludesareasofresidencyandresourceuseexposedto differentclimateeventsandimpacts.Forexample,housesnearthehighwatermarkmayhave highexposuretorisingsealevels.Coastalsagopalmplantationsornearshoretaropatchesmay havehighexposuretosaltwaterintrusionandinundation.Shallowreefsexposedtofullsunin areasoflowwindmayhavehighexposuretoincreasesinseasurfacetemperature. Sensitivity:Thedegreetowhichacommunityisnegativelyaffectedbychangesinclimate. Sensitivityislargelydeterminedbytherelationshipofindividuals,households,oracommunity toresourcesimpactedbyclimateevents,andbythedegreeofdependencyonthoseresources. Forexample,ifexposedsagopalmplantationsortaropatchesareamainsourceoffoodand incomeforacommunity,family,orgroupofhouseholds,thentheymayhaveahighdegreeof sensitivity.Iftheexposedreefsarethemainareaoffishingthatprovidesincomeandfoodfora community,thatcommunityishighlysensitivetothemasscoralbleachingthatresultsfroma riseinseasurfacetemperature. Adaptivecapacity:Thepotentialorcapabilityofacommunitytoadjusttoimpactsofchanging climate.Adaptivecapacityiscomplex.Itmaybeinfluencedstronglybyafewkeycharacteristics, orbyawiderangeofsocialcharacteristics.Forexample,awellinformedvillagewithastrong traditionalleaderwhoisabletodevelopgoodplansandmakedecisionsthathelpandinvolveall membersofthecommunitywilllikelyshowhighadaptivecapacity.Ahouseholdthathas diversifiedsourcesofincomeandsupplementarylivelihoodoptionswilllikelyhavehigher adaptivecapacitytoimpactsofclimatechangethanthosethatdonot. Socialvulnerabilitytoclimatechangeisafunctionofexposure,sensitivity,andadaptive capacity.

Mostindicatorsinthisaddendumarerelatedtosocialadaptivecapacity,whichisdeterminedbyawide rangeoffactorsrelatedtoacommunityssociocultural,economic,andpoliticalconditions,aswellas relevantgovernanceandinstitutionalarrangements.Thecomplexityofsocialadaptivecapacityrequires ustotakeintoconsiderationdifferentsocialcharacteristicsofindividuals,households,andcommunities simultaneously.Informationrelatedtosocialadaptivecapacityishighlyuseful,moreover,becauseit helpsdeterminevulnerabilityofpeopletoclimatechange,andthusprovidesguidanceonwhatreally needstobeaddressedindevelopmentplanningandimplementationtoensurethatstrategicadaptation considerationsarewellintegrated.Anunderstandingofsocialadaptivecapacityiscrucialtoavoidingthe negativeimpactsofpoorlyplannedactivitiesthatmaysometimesworsenimpactsonthosewhoare mostvulnerable.Effectiveadaptationthusneedstoimproveandenhanceadaptivecapacitywhile decreasingexposureandsensitivitytoclimateeventsandimpacts.

4. Socialindicatorschosenforthisaddendum
Usersoftheseguidelinesmayselectindicatorsanddevelopothersthatarerelevanttotheirsite.They arealsoencouragedtorevisittheindicatorsinthemainSocMonorSEMPasifika,asseveralofthemcan alsohelpassessdifferentfactorsofclimatevulnerability.Forinstance,theexistingindicatorperceived conditionofresourcesiscloselyrelatedtothesensitivityfactorofvulnerability,asitprovides informationonwhatpeoplethinkabouttheconditionofthenaturalresourcesonwhichtheydepend. Monitoringperceivedconditionofresourcescanalsopointtotrendsandchangesintheseresources,as wellasrevealnonclimateandcumulativeimpactsontheseresourcesthatneedtobetakeninto considerationtoaddressadditionalclimatethreats.Themoreacommunityisdependentonaresource, andtheworsetheconditionoftheresource,themoresensitivethecommunitywillbe.Locationof coastalandmarineactivitiesisanotherexistingSocMon/SEMPasifikaindicatorthatprovides informationonexposuretoclimateeventsandimpacts,asitidentifiestheareaswherelivelihood activitiestakeplace.Severalotherexistingindicatorsinthemanagement/governanceandstakeholder sectionsofSocMonandSEMPasifikamayberevisedtoaddresslocalclimatechangeissuesatthe communitylevelaswell. Eachsitehascertaincharacteristicsthatmakesomeindicatorsmoresuitablethanothersfor vulnerabilityassessment.Alistofpossiblesocialindicatorsforeachcontributingfactortoclimate vulnerabilitycouldbequiteextensive,especiallyinthecaseofindicatorsrelatedtoadaptivecapacity thatdependonspecificlocalsituationsandthatmightencompassawiderangeofsocialconditions.An expertworkshoporganizedbytheInternationalUnionfortheConservationofNature(IUCN)washeldin December2010withrepresentativesfromNOAA,TNC,SPREP,UNEPWCMC,CSIRO,GBRMPA,and CORDIO2toreview,discuss,andprioritizepossibleindicatorsofadaptivecapacity.Theminimumsetof indicatorsproposedinthisaddendumreflectstheselectionsresultingfromtheworkshop.Afigure illustratingtheproposedindicatorsinthevulnerabilityframework,atablewithexamplesofrelevant purposes,anddetaileddescriptionoftheseindicatorswillbethefocusofthefollowingsections.

TheNationalOceanicandAtmosphericAdministration(UnitedStates),TheNatureConservancy,theSecretariat ofthePacificEnvironmentProgramme,UnitedNationsEnvironmentProgramWorldConservationMonitoring Centre,CommonwealthScientificandIndustrialResearchOrganisation(Australia),GreatBarrierReefMarinePark Authority(Australia),andCoastalOceansResearchandDevelopmentintheIndianOcean.

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Figure1:Proposedindicatorstoaddressclimatesocialvulnerabilityframework

Sensitivity Exposure
CC1:Demographically vulnerablegroups CC2:Dependenceonresourcesandservices vulnerabletoclimatechangeimpacts InexistingSocmon/SEMPasifika: Perceptionofresourceconditions

AdaptiveCapacity
CC3:Currentlivelihoodandincomediversity ofhousehold CC4:Perceivedalternativeandsupplemental livelihoods CC5:Awarenessofhouseholdvulnerability toclimatehazards CC6:Accessanduseofclimaterelated knowledge CC7:Formalandinformalnetworks supportingclimatehazardreductionand climateadaptation CC8:Abilityofcommunitytoreorganize CC9:Leadershipandgovernance CC10:Equitableaccesstoresources

Potential Impacts

Vulnerability

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Table1:Socialindicatorsandexamplesofhowtheymightbeused Areaand Indicator number Exposure CC1

Indicatoranddatacollecting methods3 Demographicallyvulnerable groups KI,S,HH

Howinformationmightbeused

Identifywhichgroupsandareasmayneedthe mostassistanceinclimatechangeadaptation Understandwhycertaindemographicgroupsincur moreclimateassociatedrisk Predictorforfuturelivelihood,economic,andfood securityimpactsofclimatechange Pointtolivelihoodsthatarehighlysensitiveto particularclimatethreats Provideinformationonnaturalresourcecondition andabilitytoabsorbadditionalimpacts

Sensitivity CC2 Dependenceonresourcesand servicesvulnerabletoclimate changeimpacts S,M,BM,KI,HH Existing Perceptionofresource SocMon conditions andSEM HH Pasifika AdaptiveCapacity CC3 Currentlivelihoodandincome diversityofhousehold HH,KI,seasonalcalendar CC4 Perceivedalternativeand supplementallivelihoods HH,KI Awarenessofhousehold vulnerabilitytoclimatehazards HH(S,KI)

Identifyeconomicsensitivityofcommunityto climatechangeorotherexogenousshocks Identifyneedtodevelopdiverselivelihoodoptions Identifyfuturelivelihoodpossibilitiesandneeded resourcesforadaptationtoclimatechangeorother exogenousshocks Understandparticularareasofclimatethreat Understandlevelofimpactofdifferentclimate eventsonhouseholdandcommunity Prioritizeadaptationeffortstoaddressthemost threateningimpactsandevents

CC5

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

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 CC6 Accessto,anduseof,climate relatedknowledge KI,HH Tailortypesofoutreachandeducationprogramto addressclimatehazards Fillgapsininformationnetworks Identifycurrentandpossibleusesofclimate information Identifypotentialnetworkstoserveasconduitfor climaterelatedinformationandassistance Collaboratewithexistingnetworksthatmight supportadaptationandplanning Measurewhetheracommunityisableto restructureinthefaceofimpacts Determinelevelofselfreliancewithina community Identifyareasthatneedtobestrengthenedfor adaptationwork Utilizelocalsupportfromcommunityleadersin adaptationwork Understandlevelofstakeholderparticipationin managementanddecisionmaking Identifyvulnerablepopulationsegmentsthatmay belessabletoadapttoclimatechange Indicateoveralllevelofcommunityadaptation (higherequity=higheradaptivecapacity)

CC7

Formalandinformalnetworks supportingclimatehazard reductionandadaptation KI Abilityofcommunityto reorganize KI,HH

CC8

CC9

Leadershipandgovernance KI,HH

CC10

Equitableaccesstoresources HH

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CC1:Demographicallyvulnerablegroups
Differentgroupsinthesamecommunityorregionmayexperiencedifferentlevelsofvulnerabilityto changingclimate.Demographicallyvulnerablegroupsarethosethat,becauseoftheirparticular demographicorsocialcharacteristics,aremorevulnerablethanothersinthebroadercommunity. Particulardemographiccharacteristicsmayresultinvaryinglevelsofexposuretocertaintypesof climatehazards(e.g.locationofhome,neededresourcesandinfrastructureinrelationtohazardprone areas),howsensitivepeoplearetohazards(age,healthcondition,occupation,economicstatus,or dependencyonimpactedresources),andtheiradaptivecapacities(attitudesandknowledge,skills, economicstatus,socialaffiliation,andwillingnessandabilitytochange).Thesedemographic characteristicsmayinclude: householdsizeandstructure age sex educationallevel literacy occupation incomeoreconomicstatus migrationstatus homelocationandproximitytohazardareas healthstatusandspecialneeds affiliationwithcertaindemographicgroups,suchasreligious,ethnic,andlanguage accesstolifelines(drinkingwater,electricity,healthcare,transportation,and telecommunications) Howtocollectthedata(KI,S,HH) Ideallythisindicatorwillbeaddressedusingbothkeyinformantandhouseholdinterviews/censusdata. Keyinformantsshouldbeinterviewedtodeterminewhichsegmentsofthepopulationmaybemostat risktodifferenttypesofclimateevents,wheretheyare,andhowtoreducethoserisks.Keyinformants mightincludethevillagechieformembersofparliament,representativesfromcertaindemographic groups(suchaswomen,elders,andethnicgroups),representativesofoccupationalgroups(fishers, farmers),andthosewhoservethecommunityincertaincapacities(suchashealthcareworkers,utility serviceproviders,directorsofemergencyrelieforganizations,churchleaders).Existingsecondary sourcescanthenbeused,suchasgovernmentcensusandexistingdemographicreports,toget informationontherelativeproportionofvulnerablegroupswithinthecommunity.

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Ifsecondarysourcedataisnotavailableandthecommunityhaslessthan100households,afullcensus survey(interviewingallhouseholds,notjustasample)canbeconductedtoobtaindetaileddemographic profilestogetanaccurateunderstandingofsitedemographics.Thefollowingexamplesshowhowsome demographicdatacanbecollectedbyhouseholdsurveyquestionnaire. Examples: Pleasefilloutthefollowingforeachhouseholdmember. Household Age Sex Education/ Occupation Anyspecial member* literacy healthneeds Mother 48 F College Nurse None Grandmother 74 F Highschool Retired Needswheelchair Son 22 M Highschool Fisherman None *Identifyalllivinginhousebyrole(e.g.father,mother,grandmother) Isyourhouseexposedtoanyofthefollowingclimateimpacts: Climatehazards* Check ifyes Tropicalstorm(e.g.hurricanes,typhoons) Stormsurge Coastal/beacherosion Saltwaterinundation Flood Climaterelatedlandormudslide Bushfire Other(specify_________________) *Customizeforyoursite,assomehazardsmaynotapply,whileothersmay applytoallhomes. Comparedwithotherfamiliesinyourcommunity,howwouldyouratetheeconomicstatusofyour household? ______Belowaverage ______Average ______Aboveaverage 15

Howwouldyourateyourhouseholdincomelevel,basedonyourexpenses? ______Usuallynotenoughtocoverimportanthouseholdexpense ______Justenoughtocoverimportanthouseholdexpenses ______Usuallyhavesomeleftafterimportanthouseholdexpenses ______Yes,since_________ Areyounewlymigratedintothearea?______No Whatisthemainlanguage(s)spokeninyourhousehold?______________________________ Whatisyourhouseholdreligiousaffiliation?_________________________________ Doesyourhouseholdhavethefollowing? Lifelines Yesorno Ifrelevant,identifythem 1. Backupforelectricity 2. Backupfordrinkingwater 3. Toolstocatchorgrowfood 4. Landvehicles 5. Boat/canoe 6. Radio 7. Telephone 8. Internetaccess 9. Firstaidkits 10. Accesstoshelter 11. Accesstohealthcare x Howtoanalyzethedata Keepinmindthatwhiledemographicindicatorsmaycontributetounderstandingcommunityprofiles andvulnerabilities,itisoftenimportanttoconsiderothersocialindicatorsaswell.Olderpeople,often takenasoneofthemostvulnerabledemographicgroups,forexample,whomayhavelivedthrough climatehazards,mighthavedevelopedcopingmechanismsthatgivethemmoreresiliencethanother agegroups.Somepeoplewithlowincomeshavesecureaccesstoresourcesforsubsistence,andsomay bemoreadaptivethanpeoplewithhigherincomewhohavenoknowledgeorskillsforproducingor gatheringtheirownfood.Womenmightbesupportedbydifferentsocialgroupsandnetworks,orbe equippedwithlivelihooddiversificationstrategiesthatallowthemtobemoreadaptivetoclimate impactsthantheircounterpartsatdifferentsitesorwholacksuchnetworksorstrategies. 16

Synthesizethedatacollectedfromsecondarysourcesandkeyinformants.Aggregatethedatafromthe householdsurveytodeterminethepercentageineachofthedemographiccategories.Comparethe resultstoanyexistingdatatounderstandchangesovertime.Ashortnarrativeisagreattooltodescribe thedemographicmakeupofthesite,howithaschanged,anddemographicgroupsthatarelikelytobe morevulnerable,aswellasexplanationsofwhythismaybe. Howtheinformationcanbeusefultomanagers Variablesthatidentifythedemographicdiversityofacommunitycanhelpmanagersunderstandthe characteristicsofthecommunitytheyareworkingwithandplanrelevantadaptationstrategies.This informationalsohelpspointoutgroupsthatmaybemorevulnerable,suchaspeoplewithphysicalor mentalhealthissuesthatmakethemdependentonothers,newlymigratedfamilieswhomaynot understandthelocallanguageandlacklocalsocialnetworks,andpeoplewitheconomichardshipsand limitedaccesstoresources,allofwhomaregenerallylessabletoprepare,respondto,oradaptto climatehazards.Atthesametime,informalsocialnetworksmighthelpthemtobelessvulnerableto hazards,aswellasbeingtheironlysourceofdisasterassistance.Understandinglevelsofliteracy, education,sex,andagecouldhelpindevelopingmoreappropriatetypesofoutreachandmethodsof informingrespectivegroupsaboutclimateandrisks.Informationonoccupationsandeducationlevel couldbeusefulfordevelopingprogramsthatenhanceadaptivecapacity,suchasalternativelivelihood training.Incommunitieswherereligiousaffiliationisstrong,religiousservicesormeetingsmightbea meansofreachingpeople,andsupportfromreligiousleadersmaybecrucialforlocalparticipationand successofprojectimplementation.Inothercommunities,highoutmigrationofyoungpeoplecouldbe anindicatoroffewacceptableoravailablelivelihoodoptions,whichcouldalertdecisionandpolicy makerstodevelopprogramstoaddressthisissue.

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CC2:Dependenceonvulnerableresourcesandservices
Dependenceonresourcesandservicesisameasureofhowdependenthouseholdsareonlocal resourcesthatarevulnerabletoclimateimpactsfortheirfoodsecurity,income,physicalprotection,or othersocioculturalaspects.Theseresourcesmightbenatural,suchasecosystemsandtheirproducts andservices,ormanmadeinfrastructure,suchasjetties,coastalroads,andotherfacilitiesandservices includingschools,publichealthcenters,andutilities(e.g.powerplantsandwaterreservoirs). Howtocollectthedata(S,M,BM,KI,HH) Thefirstdatatocollectisthatwhichwillhelpidentifythetypesofresourcesandservicesvulnerableto climatechange.Relevantdatacollectionmethodsmayinclude: Secondarysources:Theseincludescientificreportsonclimatechange,impacts,andthreatstolocal resourcessuchascoralreefs,beachesandcoasts,crops,andforests. Communitymapping:Communitymembersareinvitedtocreatemapsthatshow(1)thetypesand locationofnaturalresourcesthattheydependupon,(2)communityinfrastructureandservices,(3) areaswherekeysocialandeconomicactivitiestakeplace,and(4)areasimpactedorthreatenedby climatehazards(seeRambaldi2010). Physicalandbiologicalassessmentsandmonitoring:Thisdatacanprovideanunderstandingof physicalresources,currentbiologicalconditions,andchanges.Itcanalsohelpidentifyclimate relatedproblemsandthreatstophysicalareas,species,andecosystems. Seasonalcalendar:Communitymembersorrepresentativesofoccupationalgroupsareinvitedto reviewannualseasonsandclimateevents(e.g.rainy/dryseason)andassociateduseofnatural resourcesandsocialactivities(e.g.traditionalceremoniesorlocalcustoms).Thiscanprovidean understandingofpotentialsocialandnaturalimpactsfromchangesinseasonalevents,andhowto preparetodealwiththem. Havingidentifiedtheresourcesandservicesthatarevulnerabletoclimatehazards,askkey informantstoidentifythemajoractivitiesconductedbyhouseholdsinthearea(i.e.,fisheries, tourism,aquaculture,etc.).Thenaskthemtoestimatethepercentageofeachgoodandservice producedthatisusedforpersonalconsumptionorincomegeneration.Askkeyinformantsalso abouttheimportanceofecosystemsthatmayprovidephysicalprotectiontothecommunity(e.g., reefsandmangroves).

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Ahouseholdsurveycanbeusedtolistresources,relatedgoodsandservices,andpercentageof dependencyintermsofbothpersonalconsumptionandincomegeneration.Theimportanceof culturalvalueandservicesandphysicalprotectionprovidedbytheecosystemcanalsoberecorded.

Itisimportanttokeepinmindthatmanyresourcesareimpactedorthreatenednotonlybyclimate,but alsobymanmadecausessuchaspollution,sedimentation,overfishing,destructivefishingmethods, andcoastaldevelopment.Inareaswheresuchnonclimatefactorsarepresent,thecumulativeimpacts needtobetakenintoconsiderationaswell. Howtoanalyzethedata Addupthedatafromallthekeyinformantsorsurveyedhouseholdsandcalculatetheaverage percentageofeachresourcetoseethelevelofdependencyoneach. Example:Percentageofcommunitydependentoncoastalandmarineresources Resource Relatedgoodsand services Fisheries Tourism/Recreation Culturalvalueand services Islandprotection Woodforbuilding Woodforcharcoal Fisheries Crops %householduse 60 10 n/a n/a 100 100 80 80 %sale(incomegeneration) 40 90 n/a n/a 0 0 20 20

Coralreefs

Mangroves Upland areas

Howtheinformationcanbeusefultomanagers Theextenttowhichhouseholdsaredependentoncoastalandmarinegoodsandservicesisan importantindicatorofhowsensitivetheycouldbetorelatedclimateevents.Thisinformationoffers insightintotheimportanceofdifferentecosystemsandresourcestothecommunityintermsoffood securityandincome,socialandculturalpractices,andotherservices.Crossreferencedwithinformation onresourcecondition,thisinformationcanalsobeusedtoidentifythreatsandpossiblenegative impactstoparticularresourcesonwhichthecommunitydependsheavily.Whencrossreferencedwith informationonlivelihoodalternatives,itcanhelpmanagersunderstandtherangeofpossibilitiesand 19

limitationsofadiversifiedeconomicstructureatthesite,andthusdevelopscenariosrelatedtofood andincomesecuritythatmitigateproblems.Forexample,ifahouseholdssourcesofproteinandcash incomeareprimarilydependentonfishingandharvestinginreefareas,theimpactsofmasscoral bleachingorotherformsofreefdegradationarelikelytothreatenitsfoodsecurityandincomesource. Alertedtothis,managersmaybeginworkingtowardadaptationstrategiesthatsupportalternative livelihoodsthatarenotreefdependent.

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CC3:Currenthouseholdlivelihoodandincomediversity
Livelihoodandincomediversityisthelevelofhouseholdengagementinstrategiesandactivitiesthat supportsubsistenceandgenerateincome.Householdlivelihooddiversitymaybeshapedbythe availabilityofresources,socialnormsandinstitutions,localcustomsrelatedtoresourceaccess, traditionalandlocaltenures,andsocialrelations(socialnormsrelatedtogenderandagegroups),as wellaseconomicopportunities(availabilityofdemand,andaccesstomarket). Livelihooddiversificationfocusesontheprocessofcreatingdiverselivelihoodstrategies,andrelated opportunitiesandchallenges. Howtocollectthedata(HH,KI,seasonalcalendar) Householdsurvey.Beforedevelopingthesurveyquestionnaire,consultwithlocalresidentswho areknowledgeableabouttherangeoflivelihoodsinthearea,andincludethesechoicesinthe questionnaire.Therespondentmightbetheheadofhouseholdoranothermemberwhoknows aboutthetypesoflivelihoodpursuedbyeachhouseholdmember. Otherdatacollectingmethods,suchasseasonalcalendarandkeyinformantinterviewing,can provideindepthinformationaboutlivelihooddiversificationstrategyinthecommunity.Inacoastal orislandcommunity,itisnotuncommonforsomeyoungeradultstobeengagedinseasonal employmentoutsidethevillagetoearncashincomeinacity,forexample.Aseasonalcalendarcan provideavisualtimelinethatgathersinformationaboutwhencertainweatherpatternsnormally occur,andwhatseasonalevents(fruitingseason,tourismseason,spawningaggregations)are associatedwithspecifictimesofyear.Itcanalsoprovideinformationonsuchlocalpracticesas seasonalclosuresforcertainspecies(seeexamplesofparticipatorytoolsandmethodsonclimate riskandseasonalcalendarsinWWFsClimateWitnessCommunityToolkit,WEBGEOApplied/FAO, andAtkinsonetal.) Insomesites,livelihooddiversificationmightbeacriticaladaptationstrategytoclimatechangeimpacts, whichiswhythisdatashouldbecollected.Relatedfactorsmightincludelevelofattachmenttoones profession,skilllevel,interestandwillingnesstochangeoccupationorresidence,accesstoresources thatwouldhelpcreatenewlivelihoods,andsocioculturalnormsthatmaysupportorinhibitlivelihood diversification.

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Example: Whatarethemainlivelihoodsourcesforyourhouseholdforbothcashincomegenerationandhousehold use?)Checkallthatapply. Numberof household members Sources Forhousehold For engagedinthe cashincome household activity,and use theirrole Fishingforfinfish 2,grandfather andeldestson Harvestingothermarinelife 2,motherand eldestdaughter Farming 1,mother Livestock Handicrafts 1,mother Salaryfromemployment 1,father Moneyreceivedfromrelativesabroad Privatebusinessownership(e.g.stores) Pension/socialsecurity 1,grandfather Tourism Other(pleasespecify) 1,eldestson ____Construction__________ Howtoanalyzethedata Theindividualhouseholdsurveywillprovideinformationonthathouseholdslivelihooddiversity.Taken together,thehouseholddatacouldalsobeaggregatedtocalculatetheproportion(percentage)of householdengagementineachlivelihoodinthecommunity.Combineresponsestocalculatethe proportionofhouseholdswithvariouslevelsoflivelihooddiversity,i.e.percentageofhouseholdswith one,two,three,ormoretypesoflivelihood.Alsocrosstabulatethetypesoflivelihoodwiththenumber ofmaleandfemalehouseholdmemberstounderstandthegenderrolesassociatedwithdifferent livelihoodtypes.Summarizetheinformationfromtheseasonalcalendarandkeyinformantinterviews.

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 Howtheinformationcanbeusefultomanagers Householdsthatrelyonasingleeconomicsectorfortheirlivelihood(e.g.,tourismorfishery)aremore vulnerabletoclimateimpactsthanthosethathaveamorediversifiedeconomy,especiallyiftheyare highlydependentonsensitiveresources.Damagedordegradedresourcescouldmakeitdifficultto recoverfromanimpact.Diverseincomesourcesmayalsoindicatehigherwillingnesstochange occupationsinthefaceofhazardsorotherimpacts.Forexample,researchhasshownthathouseholds withhighernumbersofincomesourcesaremorelikelytoleavedecliningfisheriesthanthosewith fewerincomesources(Cinner,Daw,McClanahan2009).Thisinformationprovidesanunderstandingof bothhouseholdandcommunitylevelvulnerability,andisusefulforlivelihooddevelopmentand intervention. Theinformationonlivelihooddiversificationstrategiesprovidedbyaseasonalcalendarorkeyinformant interviewsisusefulforidentifyingchangesinnormalseasonalpatternsthatmaybeassociatedwith climatechange,andtoconsidertheimpactsoffutureclimatescenariosonseasonalevents.Itcanalso provideinsightintohowresourcescanbestbemanaged,andwhattypeofadaptationshouldbe plannedwithseasonallimitationsandopportunitiestakenintoconsideration.

23

CC4:Perceivedalternativeandsupplementarylivelihoods
Alivelihoodismadeupofthecapabilities,activitiesandassets(includingbothmaterialandsocial resources)thatcontributetoameansofliving(Carney1998).Alternativelivelihoodsareactivitiesthat householdmemberscouldengageintosupporttheirfamiliesiftheywerenolongerabletopursuetheir currentlivelihood.Supplementarylivelihoodsareactivitiesthatmightaddtoexistinglivelihoods. Sustainabilityoflivelihoodandincomesourcesisacriticalissuewhenahouseholdfacesgrowing impactsandchallengestothatlivelihoodactivity.Alivelihoodisconsideredsustainablewhenitcan copewithandrecoverfromstressesandshocksandmaintainorenhanceitscapabilitiesandassetsboth nowandinthefuture,whilenotunderminingthenaturalresourcebase(CarneyinIMM2008).Theless sustainableahouseholdscurrentlivelihoods,themoreimportantitistodevelopalternativeand supplementarylivelihoodswherethisiswithinthehouseholdsmeans,knowledge,andcapabilities. Understandinghouseholdsperceivedlivelihoodoptionscangreatlyinformadaptationstrategies. Howtocollectthedata(HH,KI) Conductahouseholdsurveyinwhichrespondentsareaskedtoidentifypossiblealternativeand supplementarylivelihoodsfortheirhousehold,and(optionally)whyeachalternativelivelihoodwas selected.Recordanystoriesoranecdotesthatillustratewhyfamilymembersareorarenotengagedin certainlivelihoodactivities.Findoutfromkeyinformantswhetherthelivelihoodoptionsareseasonal, temporary,orpotentiallylongterm.Alsoaskkeyinformantswhethertheremightbepotential livelihoodoptionsatthecommunitylevelofwhichhouseholdsarenotyetaware(suchasasustainable aquacultureprojectunderdevelopment,oragovernmentprojectonaquaormariculture). Howtoanalyzethedata Makealistofthesupplementaryandalternativelivelihoodsidentified,andorderthemfromthemostto leastoftenmentioned.Summarizetherequirements,opportunities,andconstraintsofeachlivelihood optionanditspotentialsustainability. Howtheinformationcanbeusefultomanagers Theavailabilityofalternativeandsupplementarylivelihoods,andthedegreetowhichtheyare dependentonresourcespotentiallyimpactedbyclimate,couldinfluencetheadaptivecapacityofa householdanditslevelofvulnerability.Researchhasshownthattheavailabilityofalternative livelihoodsseemstolowerperceivedvulnerabilityandincreaseperceivedresilience;householdswith alternativelivelihoodsdonotratetheirvulnerabilitytoextremeeventsashighasthosewithout (Wongbusarakum2010).Anunderstandingofavailablealternativeandsupplementarylivelihoodscan 24

alsoassistmanagersindesigningnewmanagementandadaptationstrategiessothatnewlivelihoods canbedevelopedandexistingonesenhanced.Thegatheredinformationcanalsopointtothetypesof trainingandcapacityneeded,whichmightbeusefulfordesigningalivelihoodprogramthatcanhelp reducepressureonimpactedcoastalresourcesbyusingmoreresilientoruntappedresources.A communitysmorevulnerabledemographicgroupsmightbebettersupportedtoachievealternativeor supplementallivelihoods.

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CC5:Awarenessofhouseholdvulnerabilitytoclimatehazards
Awarenessofhouseholdvulnerabilityofclimatehazardsmeasuresahouseholdsknowledgeof susceptibilitytoclimatehazardsanditsabilitytocopewith,recoverfrom,oradapttothosehazards. Climatehazardsareclimaterelatedeventsthathavethepotentialtocauseharm.Householdsmaybeat riskfordifferenttypes.Somemaybetransientcharacterizedbyrapidonsetandidentifiable termination(suchasastorm,flood,ordrought).Othersmayresultfromalongertermchangein climaticvariables(suchastemperatureorprecipitation),begradual,orresultinrelatedeventssuchas sealevelrise,masscoralbleaching,oroceanacidification.Householdvulnerabilitytoclimatehazardsis afunctionofthreemainfactors:exposure,sensitivity,andadaptivecapacity.Itisimportanttokeepin mindthatdifferenthouseholdsinthesamecommunitymayexperienceeachofthefactorsatadifferent level,andthushavedifferentlevelsofawarenessabouttheirvulnerabilitytothesametypesofhazard. Howtocollectthedata(HH) Asurveycanbeusedlistingpossibleclimatehazards,whererespondentsareaskedtocheckthetypesof hazardthatarerelevanttotheirhousehold,andthenratetheirperceivedlevelofvulnerabilitytoeach (low,medium,orhigh).Areasofvulnerabilityinclude(1)levelofhouseholdexposure(frequencyand severity)toaparticularhazard;(2)levelofhouseholdsensitivitytothehazard;and(3)degreetowhich thehouseholdisabletocopewiththehazard. Tocompareawarenessofhouseholdvulnerabilityandrecordedclimatehazardimpacts,informationcan begatheredfirstaboutlocalclimatehazards(types,character,frequency,anddegreeofcommunity impact)fromexistingsecondarysourcessuchasmeteorologicalservices,newspaperarticles,scientific research,climatereports,hazardmitigationplans,andemergencydeclarations.Interviewscanalsobe conductedwithpeoplewhohaveknowledgeofclimateeventsandtheimpactsoverthepastseveral decades,suchaslocalresidents,technicalexperts,climatescientists,andotherswhohavebeen involvedinworkingwiththecommunitytoprepareforandrecoverfromclimatedisasters(village leaders,communityelders,governmentofficials,disastermitigationofficers,longtermprojectstaff, etc.). Howtoanalyzethedata Theratingofeachcomponent(AD)foreachhazardcanbeanalyzedandcomparedwithotherhazards.Inthe followingexample,thishouseholdratessealevelriseandcoastalerosionasveryfrequentandsevere,andits ownadaptivecapacitytobotheventsaslow(i.e.,highrateofdifficultycoping).Intermsofhazardtype,the householdratesitselfasbeingmorenegativelyaffectedbycoastalerosionthanbysealevelrise,andthis rankingisreflectedinthehouseholdsoverallscore,whichplacescoastalerosionabovesealevelrise. 26

 Climatehazards andimpacts

Whichofthe followingclimate eventshasyour household experiencedin thepast50 years?(Checkall thatapply)

A:Howwould youratethe frequency ofthis occurrence? 3=high, 2=medium, 1=low

B:Howwould youratethe severity ofthis hazard? 3=high, 2=medium, 1=low

C:Howwould youratethe degreeof negative impactonyour householdby thishazard? 3=high, 2=medium, 1=low

D:Howwould youratethe difficultyof copingwith thishazard, foryour household? 3=high, 2=medium, 1=low

Total vulnerability rating (sumof columnsA throughD)

Tropicalstorm Stormsurge Sealevelrise Coastal/beacherosion Saltwaterintrusion intogardens/fields Saltwaterintrusion intowells Changesinrainyand dryseasons,leadingto changesinplanting seasons,etc. Drought Flood Climaterelated landormudslide Brushfirecausedby heatanddryness Increasedwatersurface temperature Coralbleaching Hotterclimate Coolerclimate Other(specify) _________________

3 3 2 2

3 3 1 2

1 3 3 1

3 3 3 1

10 12 9 6

1 1

2 3

1 1

2 2

6 7

27

Howtheinformationcanbeusefultomanagers Itisimportantformanagerstounderstandhouseholdawarenessandperceptionofvulnerabilityto differenttypesofclimatehazardssothatthisinformationcaninformthechoiceofadaptation strategies.Forexample,ifthereislittleawarenessofclimatethreats,programsneedtobedevelopedto informpeopleandhelpthempreparetocope.Priorityinadaptationplanningshouldbegiventothose hazardsthathavesevereimpactsatthehouseholdlevel,withaspecialfocusonhouseholdsthathave identifiedthemselvesasbeingunabletocopewiththem.

28

CC6:Accesstoanduseofclimaterelatedknowledge
Accesstoanduseofclimaterelatedknowledgemeasureshouseholdaccesstodifferentsourcesof informationrelatedtoclimatechange,climatevariability,anditsimpacts,andhowthisinformationis used.Italsoincludesaccesstoanytypeofearlywarningsystemandcanincludepastexperience, traditionalorlocalknowledgeofclimatepatternsandevents,aswellasothersourcesofeducation, media,andcommunications. Howtocollectthedata(KI,HH) Askkeyinformantstolistallpossiblesourcesofclimateinformationthatareavailablelocallyorthatcan beaccessedfromadistance.Thislististhenusedtocreateahouseholdsurveyquestionnaire. Respondentsidentifywhichofthesourcesisusedbytheirhouseholdtoaccessclimateinformation, thenaskedtoexplainhowtheinformationisused. Example: Checkifyouusethisinformation, Sourcesofclimaterelated Checkifyougetclimate knowledge informationfromthissource, describingbrieflyhowthe informationisused andn/aifthesourceisnot availableforyourhousehold Meteorologicalservices n/a Newspapers Radio Nottogotoseawhenthereisa comingstorm TV Internet n/a School/teachers Notused Visitingclimate scientists/experts Villageleaders Todigouttherivermouthto preventflooding Fromfamilyandfriends Notused Governmentinformation Other(pleasespecify) ___________________

29

Ifyouhaveaccesstoclimateinformationsources,butdonotusetheinformation,pleasetellus why. Pleasetellusifthereareanytypesofinformationthatyouneedbutcannotaccess,andwhatthe barriersaretoaccessingtheinformation. Howtoanalyzethedata Togetanideaofhowmanypeopleaccessaresourceforclimaterelatedknowledge,calculatethe percentageofpeoplewhoaccesstheresourcefromthetotal.Toseetheproportionofsourcesused, addupforeachthetotalnumberofpeoplewholistthesource.Theextenttowhichpeoplewhoaccess asourceusethatinformationcanbecalculatedasapercentage,bydividingthetotalnumberwhouse informationfromasourcebythenumberwhoaccessit. Howtheinformationcanbeusefultomanagers Besidesprovidinghouseholdlevelinformation,theaggregateddataprovideanoverviewofa communitysaccesstoclimateinformation.Thistellsmanagershowbesttoreachthecommunityor particularhouseholds.Italsohelpsidentifygapsandproblems.Greateraccessto,anduseof,climate relatedinformationshouldincreaseadaptivecapacitybybetterpreparingcommunitymemberstocope withclimatechange.

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CC7:Formalandinformalnetworkssupportingclimatehazardreductionand adaptation
Formalandinformalnetworksareinstitutionalandsocialnetworksthatsupportpreparednessfor climatehazardsandadaptation.Formalinstitutionalnetworksmayincludethosethatareformalized withclearstructureandsupportedbygovernmentalauthoritiesorinstitutions,suchashazard mitigationnetworks,healthservicenetworksorprotectedareanetworks.Informalnetworksareoften formedthroughsocialconnectionsinagroupthatsharescommonvalues,interests,engagement,or purpose.Theycouldbelargefamilies,clans,churchgroups,womensgroups,oroccupationalgroups.In somecommunities,suchnetworksmayhavebeeninplaceforalongtime,butonlyrecentlybegunto addressclimatehazards.Inothercommunities,suchnetworksmayhavealreadydealtwithclimate relatedhazardsthatregularlyimpactthecommunity.InthePacific,suchasonNamdrikAtollinthe MarshallIslands,traditionalleadershipinstitutionsarebeingreinforcedastheyareusedtoreconnectto ancestralpracticesthathelpthecommunitydealwithclimatehazards(Ishoda2011). Howtocollectthedata(KI) Identifykeyinformantsandaskthemtodescribeformalandinformalnetworks,theirsupportingrolein climateadaptationandhazardmitigation,theirhistoryandlengthoftimeofsupportingpreparationfor climatehazards,andtheireffectiveness.Keyinformantsmayincludemembersorleadersofthe networksthemselves,communityleaders,andrepresentativesfromgroupswithfirsthandexperience withclimateimpactsandadaptation.Informationonprocesses,opportunities,problems,andchallenges inrelationtotheroleofnetworksshouldberecorded.Inthecaseofformalnetworkswhosepurposeis hazardmitigationorclimateadaptation,itisimportanttolearnfromboththosewhoimplement activitiesandthosewhoareaffectedtheperceptionofthequalityandeffectivenessoftheprogram. Howtoanalyzethedata Notesfromthekeyinformantinterviewscanbesynthesizedandsummarizedintabularformat,asinthe examplebelow. Networkssupporting Numberof %ofcommunity Scopeofclimate Gaps/needsofgroup climatechange members membersinthis changeissues preparedness group addressed (sincewhen) 31

Howtheinformationcanbeusefultomanagers Inmanysocieties,formalandinformalnetworkscontributegreatlytopreparedness,response,and recovery.Knowingtheavailabilityandqualityofthesenetworkscouldhelpgaugeacommunitys adaptivecapacity,asthesenetworkswillprovidesecurityduringtimesofchange(shelterduring disasters,financialsupport,andbasicsocialsupportduringdifficulttimes).Ifnonetworksareavailable, orexistingnetworkshavechallengesorproblems,theseareareasthatcouldbeaddressedtoimprovea communitysadaptivecapacity. Considerthetotalityofclimatechangeissuesfacingthecommunity.Isthereanetworkorcommunity groupadequatelyaddressingeachissue?Forexample,ifthecommunityisfacingsealevelriseandcoral bleaching,butthereisonlyanetworktowatchforcoralbleaching,theremaybeaneedforagroupthat canmonitorsealevelrise.

32

CC8:Abilityofcommunitytoreorganize
Abilityofacommunitytoreorganizereferstothedegreetowhichitisablecollectivelytolearn,plan, andmakenecessarychangestocopewithclimaterelatedimpactsinsuchawaythatthemainfunctions ofthecommunityaresustained.Thismayrequirerestructuringorganizations,changingplans,shifting priorities,adjustingroles,carryingoutactivitiesinadifferentway,orapplyinglessonsfromthepastto betterfaceaclimatehazard.Degreeofcommunityreorganizationisacriticalindicatorofresilienceto changingclimate.Levelofcommunityreorganizationisafunctionoffactorsincludingcooperationand collaborationamongcommunitymembers,planningforclimatechange,levelofcollectivisminthe culture,communityleadership,sharedgoalsandresponsibilities,andaccesstoandsupportfromother sourcesinreorganization. Howtocollectthedata(KI,HH) Keyinformantsshouldbethosecommunitymembersandleaderswhoareinvolvedincollective activities,andtheyshouldbeinterviewedonissuesrelatedtotheinterestandabilityofcommunity memberstoworktogethertoaddressexternalstresses.Thesecouldberelatedtoclimateornatural hazards.Thekeyinformantsareaskedtosharetheirperspectiveonhowwellthecommunityisableto reorganizeinworkingcollectivelytoconfronttheconsequencesofclimatehazards,howitcoordinates andcollaborates,andthenatureofsharedgoalsandresponsibilitiesamongtheleadersandmembers. Surveyquestionscanbeincludedifahouseholdsurveyisconductedtotestwhethercommunity memberssharethesameperspectiveaskeyinformants. Example: Onascaleofagreementfrom1to5(1=stronglydisagree,2=disagree,3=neutral,4=agree,and5= stronglyagree),pleaseratethefollowing: Ourcommunityhasplansinplacetodealwithclimaterelatedevents(suchasacoralbleaching responseplan)_______ Ourcommunityisabletocoordinateactivitiestorespondquicklytotheimpactsofanatural event/hazard_______ Ourcommunityisabletoreorganizetorespondtoanewsituation_______ Ourcommunityhasinstitutionsthatsupportuswhenweneedtoreorganizetocopewithnew situationsorproblems_______ Ourcommunitymembersworkwellwitheachother_______ Ourcommunityisabletoaccessoutsidesupportwhenneeded_______ 33

Howtoanalyzethedata

Ifdataiscollectedinasurvey,tabulatethepercentagesofrespondentsineachcategory.Ifdatais collectedonlyfromkeyinformants,thetablebelowmightbeausefulwaytoorganizeresponses. (Strongly)Agree Medium (Strongly)Disagree Lowcapacityof Ourcommunityhasplansinplaceto planning agencies dealwithclimaterelatedevents(such asacoralbleachingresponseplan) Goodatresponding Ourcommunityisabletocoordinate tostorms;not activitiestorespondquicklytothe equipped for impactsofanaturalevent/hazard
tsunamis

Ourcommunityisabletoreorganizeto respondtoanewsituation Ourcommunityhasinstitutionsthat supportuswhenweneedtoreorganize tocopewithnewsituationsor problems. Ourcommunitymembersworkwell witheachother

Stronglocal leadership MostKIsplacedthe communityhere, butcouldnotsay why Someconflictshave occurred inthepast Strongrelationship withlargegrant organization

Ourcommunityisabletoaccess outsidesupportwhenneeded

Howtheinformationcanbeusefultomanagers Theresultscanhelpmanagersprioritizewhichareaswithinthecommunityneedtobestrengthened. Forexample,ifthereisnoplanorsupportingorganization,theycanbedeveloped.Ifpeopledontwork welltogether,managerscanexploretherootcausesandworktoreduceconflictsbysponsoring collectiveactivities.Ifaccesstooutsidesupportiscriticaltoreorganizationbutlackinginthe community,managersmayprioritizegrantwritingorsolicitationoftechnicalsupportfromoutside organizations. Ifthehouseholdsurveyrevealsdifferentperspectivesthanthoseofcommunityleaderinformants,it couldindicateadisconnectbetweenthecommunityanditsleaders,anissuethatperhapsshouldbe explored,suchasbysharingtheresultsofthehouseholdsurveywithcommunityleaders/key informants. 34

CC9:Governanceandleadership
Governanceisaverybroadindicatorthatmeasuresavarietyofcharacteristicsthattogetherindicate howprocessanddecisionsaremadetoservethebestinterestsofthecommunityandstakeholders.We focushereonleadershipandstakeholderparticipationinmanagementanddecisionmaking.Leadership measuresthepresenceofcommunityleadersorgovernmentofficialswhocanmobilizeclimatechange responsesandresourcestosupportadaptation,andtheireffectivenessorcredibility.Thisindicatoris importantbecausecommunitieswithstrong,trustworthy,effectiveleaderswillbemoreabletoadapt. Stakeholderparticipationinmanagementanddecisionmakingiscriticaltobuyinofanynewprogram relatedtoclimatechange. Howtocollectthedata(KI,HH) Thisindicatorisbestmeasuredthroughbothkeyinformantinterviewsandhouseholdsurveys.Askkey informantswhichcommunityleadersareengagedinclimatechange,includingwhichsectorsthey represent(privatesector,environment,technology,grassrootsorganizing,etc).Consideraskingabout theseleadersapproachesandachievementsinhandlingclimaterelatedissues,dependingonthe sensitivityofthisquestioninthelocalcontext.Then,inahouseholdsurvey,askaseriesofattitude questionstoassesswhetherhouseholdrespondentsperceivetheexistenceofcommunityleaderswho caneffectivelyguideanddirectmemberstoprepare,respondto,andadapttoclimatehazards;who theyare;andhoweffective/trustworthy.Alsoaskaboutthelevelofstakeholderparticipationin management,andtheirsatisfactionwiththedecisionmakingprocess. Example Foreachstatement,rateyourlevelofagreement. 1=stronglydisagree,2=disagree,3=neitheragreenordisagree,4=agree,5=stronglyagree _____Ourcommunityleadershavesuccessfullyledusthroughclimatehazardsinthepast. _____Ourcommunityleadersareinterestedinclimatechangeissuesandtheimpactsonour community. _____Ourcommunityhasleaderswhohaveknowledgeandskillstoeffectivelytakechargeofclimate changeadaptation. _____Itrustourleaderstoleadthecommunitythroughclimatechangeadaptation. _____Ourcommunityleaders/governmentofficialsinformusofnationalorregionalclimatechange policyorinitiativesthatmayimpactourcommunity. _____Ourcommunityleadersinformuswherewecangetclimaterelatedinformation. _____Ourleaderssuggesttouswhatwecandotoadapttochangingclimate. _____Ourleaderscanprovideuswiththeresourcesweneedforclimateadaptationactivities. _____Ourleadersencouragecommunitymemberstotakepartinclimateadaptationplanning. _____Myvoiceisheardincommunityplanningforclimatechangeadaptation. _____Ihavehadtheopportunitytoparticipateincommunityleveldecisionmaking

35

Howtoanalyzethedata Tabulatetheresponsessothatyouknowwhatproportionofhouseholdsstronglyagreeoragree, versusstronglydisagreeordisagreetoeachstatement.Ingeneral,thehigherthelevelof agreementwiththestatements,thehigherthecommunitysadaptivecapacity.Intheexamplebelow,a relativelyhighproportionofrespondentsagreedthattheircommunityleadershaveledthemthrough climatehazardssuccessfullyinthepast,buthighpercentagesindicatedthattheleadersdonotinform themsufficiently,indicatingthattheremightbequestionsaboutthegivenleadersabilityto communicateanddistributeinformation. Selectedstatements Ourcommunityleadershavesuccessfullyled usthroughclimatehazardsinthepast. Ourcommunityleaders/governmentofficials informusofnationalorregionalclimate changepolicyorinitiativesthatmayimpact ourcommunity. Ourcommunityleadersinformuswherewe cangetclimaterelatedinformation. Itrustourcommunityleaderstoleadour communitythroughclimatechangeadaptation Myvoiceisheardincommunityplanningfor climatechangeadaptation. Howtheinformationcanbeusefultomanagers Thewaydecisionsaremadehassignificantbearingontheoutcomeofthosedecisions.The effectivenessofleadershipwillimpacthowchangeisundertakenwithinacommunity.Trustof governmentwillimpacthowreceptivecommunitiesaretonewadaptationstrategiesandlivelihood initiatives.Meaningfulparticipationofcommunitymembersinthemanagementprocesswillimprove thechancesofsuccessinanynewclimaterelatedinitiatives,asitensuresthatallhaveavoicein decisionsthatcouldaffecttheirlives. Strongly agree Agree 30% Neither agreenor disagree 12% Disagree 7% Strongly disagree

40%

11%

19%

16%

4%

23%

38%

10%

10%

10%

34%

36%

15%

45%

2%

22%

16%

5%

10%

7%

33%

45%

36

CC10:Equitableaccesstoresources
Equityreferstowhowinsandwholosesasvariousclimatechangeadaptationpoliciesareconsidered (Adger2005).Equitableaccesstoresourcesmeasureswhethercommunitymembersperceive themselvesashavingthesamerightsandabilitytousenaturalresourcesasothercommunitymembers. Equitableaccessbyalldemographicgroupstoservices,knowledge,socialnetworks,livelihood opportunities,decisionmakingprocesses,etc.mayplayaveryimportantroleinacommunitysadaptive capacity.Equitableaccesstoresourcescanalsoencompassaccesstoservicesandbenefitsavailableat thecommunitylevel.

Howtocollectthedata(HH) Thisindicatorisbestmeasuredinhouseholdinterviewswithaseriesofperceptionbasedquestionsthat addressaccesstonaturalresourcesandtobenefitsprovidedbygovernmentorcommunityassistance programs(suchascashbenefits,traininginalternativelivelihoods,informationaboutclimatechange, disasterrelief).

1. Comparedwithotherhouseholdsinmycommunity,myhouseholdhas a. moreaccesstomarineresources b. lessaccesstomarineresources c. thesameaccesstomarineresources 2. Comparedwithotherhouseholdsinmycommunity,myhouseholdreceives a. morebenefitsfromgovernmentsassistanceprograms b. lessbenefitsfromgovernmentsassistanceprograms c. thesamebenefitsfromgovernmentsassistanceprograms Howtoanalyzethedata Computethepercentagesforeachresponse. Statement

%of respondents

1. Comparedwithotherhouseholdsinmycommunity,myhouseholdhas a. moreaccesstomarineresources 33% b. lessaccesstomarineresources 47% c. thesameaccesstomarineresources 20% 2. Comparedwithotherhouseholdsinmycommunity,myhouseholdreceives a. morebenefitsfromgovernmentsassistanceprograms 25% b. lessbenefitsfromgovernmentsassistanceprograms 50% c. thesamebenefitsfromgovernmentsassistanceprograms 25% 37

 Howtheinformationcanbeusefultomanagers Communitiesthathaveahigherproportionofmemberswhofeeltheyhavelessaccesstomarine resources,servicebenefits,andopportunitiesthanothershavelowerperceivedequity.Thisinformation canbeusedtocomparecommunitieswithdifferentmanagementregimesortomeasurechangeover timeifcollectedinatimeseries.Itcanalsohelpidentifyparticularlyvulnerablehouseholds,whichmay needmoreattentionintheeventofaseriousclimateevent.Dataonaccesstoresourcesamong differentsocioeconomicgroupscanalsobecomparedwithperceptionsofresourcecondition(an indicatorinexistingSocMonandSEMPasifika)orlevelofclimateknowledge;thismayhighlightkey areastotargetforadaptationstrategies.Forexample,iftheleadingclanclaimsresourcesaregood,but otherswhodonothaveaccesstothebestreefsclaimthatresourcesarepoor,wehaveidentifiedakey issue.Thiskindoffeedbackmayalsohighlightwherecertaingroupshavebetteraccesstoresources, andinformationaboutthoseresources,thanothers.Notonlycanthishelpdetermineadaptation actionsrelatedtoequity,itcanalsohelpidentifythosewiththedeepestunderstandingoftheresource, tohelpinformanddevelopadaptivestrategies.

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5. Fromvulnerabilityassessmenttoadaptationplanning
Socialvulnerabilityassessmentisaprocessthatengagesthosewhoareimpactedbychangingclimateto provideinputontheirstrengths,weaknesses,opportunities,andlimitationsinaddressingclimate eventsandimpacts.Theindicatorsaboveprovideafirststeptowardassessingaspectsthatmay contributetocommunityvulnerabilityandadaptivecapacity.Theyaremeanttobedirectionaland relative,allowingforcomparisonsamongdifferentsocioeconomicgroupswithinacommunityoramong communities,aswellaschangesovertime.Theseindicatorswillneedtoberefined.Somelocally developedindicatorsmaybemoreappropriate,andcanbeelaboratedbasedonourmodels.Theeffort todevelopsuchsocialandeconomicindicatorsshouldbearewarding,collaborativeexperienceand provideacriticalcomponenttotheoverallvulnerabilityassessmentprocess.Thecommunity engagementthatinformstheseindicatorswillvaryindepthandpurposeaccordingtolocalityand context.Sharingtheresultsofanyassessmentwiththeparticipatingcommunityisveryimportant. Theseindicatorscanpotentiallyhelpcommunicatewhycertainadaptationstrategiesarerecommended. Feedbackcanalsohelpempowerpeopletotakeactionandmobilizetheirownresourcesandskillsfor thebenefitofthecommunity. Thereisnosinglethresholdthatdetermineswhetheracommunityisconsideredvulnerabletoclimate change.Thatiswhysocialindicatorscanhelpidentifywheretoinvestlimitedresources.Forexample, ifassessmentshowsthatmanywithinacommunityareunawareofpotentialclimatechangeimpacts, butdohavediversesourcesofincome,perhapsaclimatechangeawarenesscampaigniscalledfor.On theotherhand,ifsomedemographicallyvulnerablegroupsareawareofclimatechangeimpactsbut havefewerincomesourcesandperceivetheircommunitytobelessequitable,climateadaptation strategiesmayinvolveimprovingaccesstoresourcesandsupplementallivelihoodoptions.Overtime, socioeconomicmonitoringcanhelpmeasurewhetheradaptationstrategieshavemadeapositive impactonreducingvulnerability:whetherawarenessofclimatechangeimpactshasbeenraised,or whethervulnerabledemographicgroupshavebetteraccesstoresourcesandmorediverselivelihood strategiesinplace. Forcoastalmanagers,resultsofthesocialvulnerabilityassessmentwillprovideabetterunderstanding oftheconditionsandcharacteristicsofresourcedependentcommunitiesattheirsite,andpointto opportunitiesforclimateadaptationaswellasproblemareasthatneedtobeaddressed.Buttofully developlocallyappropriateadaptationstrategies,andcontinueadaptivemanagementthattakes changingclimateanditsimpactsonthecommunityandthelocalnaturalresourcesintoconsideration, anintegratedassessmentismostlikelyrequired.Socialinformationshouldcomplementclimate predictiondataandinformationonthephysicalandbiologicalimpactsofchangingclimate.Suchan integratedapproachallowsforamorecompletepictureofthedifferentfacetsofsitevulnerability,well informedmanagementdecisions,andholisticadaptationplanningforclimatechange.

39

6. Referencesandsuggestedreadings*

*indicatesreferencesforcommunitybasedparticipatorytoolstocollectdata

AdgerW.N.,ArnellN.W.,TomkinsE.L.2005.SuccessfulAdaptationtoClimateChangeacrossScales. GlobalEnvironmentalChange15:7786. http://research.fit.edu/sealevelriselibrary/documents/doc_mgr/422/UK_Successful_Adaptation_to_CC_ _Adger_et_al_2005.pdf. *AtkinsonS.R.,GombosM.,WongbusarakumS.2011.AManagementandAdaptationPlanningGuide forNaturalResourceManagers.DevelopedbythePacificIslandsManagedandProtectedArea Community(PIMPAC).www.pimpac.org. *CareInternational.2010.CommunityBasedAdaptationToolkit. http://www.careclimatechange.org/files/toolkit/CARE_CBA_Toolkit.pdf. CarneyD.(Ed.).1998.SustainableRuralLivelihoods:WhatContributionCanWeMake?UK:Department forInternationalDevelopment(DFID). CinnerJ.M.,DawT.M.,McClanahanT.2009.SocioeconomicFactorsthatAffectArtisanalFishers ReadinesstoExitaDecliningFishery.ConservationBiology23:12430. http://www.uea.ac.uk/polopoly_fs/1.82175!cinner%20et%20al%20resubmitted%20080409%20 %20socioecon%20and%20fishery%20exit.pdf. DowningT.E.,PatwardhanA.2005.AssessingVulnerabilityforClimateAdaptation.AdaptationPolicy FrameworksforClimateChange:DevelopingStrategies,PoliciesandMeasures.B.Lim,E.Spanger Siegfried,I.Burton,E.MaloneandS.Huq.(Eds.).CambridgeUniversityPress,CambridgeandNewYork. 6790.http://content.undp.org/go/cmsservice/stream/asset/?asset_id=2200850. IntergovernmentalPanelonClimateChange(IPCC).2007.SummaryforPolicymakers.In:Climate Change2007:Impacts,AdaptationandVulnerability.ContributionofWorkingGroupIItotheFourth AssessmentReportoftheIntergovernmentalPanelonClimateChange.M.L.Parry,O.F.Canziani,J.P. Palutikof,P.J.vanderLindenandC.E.Hanson(Eds.).CambridgeUniversityPress,Cambridge,UK.722. http://www.ipcc.ch/publications_and_data/ar4/wg2/en/contents.html. IntegratedMarineManagement.2008.SustainableLivelihoodEnhancementandDiversificationSLED: AManualforPractitioners.IUCN,InternationalUnionfortheConservationofNature. http://icran.org/pdf/SLED%20Manual%20Final%20%20Low%20Res.pdf. Ishoda,A.2011.NamdrikAtollRapidCoastalHazardAssessment.Unpublishedreport. 40

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