A Guide for Participatory Communication Research Methods (RRA, PRA & PAR)

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guide for field projects on adaptive strategies

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CASL Home Page

CASL Guidebook

Purpose

Underlying principles

Project Stages

Acknowledgments

The first version of this guide was drafted on the basis of

discussions at a workshop in Nairobi (September 1994)

organized for the purpose, to assist implementation of IISD's

project on adaptive strategies for sustainable livelihoods in arid

and semi-arid lands (ASALs). Originally conceived purely as a

guide to participatory research techniques for the IISD project, it

became clear that the needs of project staff were not so much

for a tools manual as for a guide that would help them apply an

abstract set of concepts in a concrete field situation and guide

the fieldwork design and implementation. There are many

sources of information on participatory research techniques in

general, and most participants had some skills and experience,

but there was little help on how to apply them in practice to the

concerns of this project.

By the time a second workshop was held in South Africa (March

1995), community and policy studies had been drafted in

relation to nine sites in five countries, although the Kenya fieldstudy was not available for circulation. We were thus able, in the

course of other tasks, to share ideas and experiences about the

conduct of the project. The first version of the guide had served

its initial purpose, and it was agreed that it would now be useful

to incorporate the insights, experiences and lessons learned

from the project in order to promote similar projects elsewhere,

and to share these with a wider community. This would serve

both to extend the understanding of the concepts of adaptive

strategies, and to strengthen the policy recommendations.

This revised version has benefited from the submission of

updated materials from project participants.

J. K. Rennie

N. C. Singh

August 31, 1995
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rpose of this guide

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Purpose of this guide

It was the guiding hypothesis of the studies on which this

guide is based, that changes over the last few decades have

led people to evolve new adaptive strategies. Such strategies- which are many and varied - can form the basis of

sustainable livelihoods. This is not to say that they already

constitute sustainable livelihoods, nor that they are a universal

solution. They may need to be further adapted, amplified or

modified by linking them to more formal, generalized scientific

knowledge. They may need to operate in a more supportive or

enabling policy environment. But any search for sustainable

livelihoods will be greatly enriched and made more relevant by

our beginning from the basis of initiatives already taken by the

people themselves. In order for any of this to happen, these

initiatives must first be identified, understood, described and

analyzed in their dynamic contexts.

Participatory field research projects to identify, describe and

understand adaptive strategies, and to make policy

recommendations to foster an enabling environment, were

undertaken in 1994-95 in an IISD project located in five

African countries. The success of this pilot project has led to

the preparation of this guide, to enable the project's wider

replication in other countries, and in other ecological and

climatic zones. Replication of this project can strengthen its

objectives, and in particular:

empower local communities by enabling them to

articulate, document, legitimize, better understand andshare their adaptive strategies;

recommend policy formulations at local, national and

international levels which strengthen successful

adaptive strategies that have the potential to support

sustainable livelihoods, to provide an enabling

environment, and to articulate these strategies to

contemporary knowledge;

contribute to sustainable livelihoods and poverty

reduction in arid and semi-arid lands (ASALs) and

other environments;

empower Non-Governmental Organizations (NGOs) in

Africa and other developing regions by engaging themin a project that can meaningfully link their field

experience with communities on the one hand, to the

development policy environment on the other.

As the project developed, it became clear that this guide could

have a wider readership for further replication, and it has

therefore been revised and expanded, taking into account

lessons learned and instructive examples from the pilot

project. We believe that this version will be of value to

prospective project implementors and to the development

assistance community involved in the design and execution of

similar field projects and policy analysis. We hope also that it

will be of interest and value to the wider developmentassistance community in promoting the understanding that, in

focusing on poverty reduction and sustainable livelihoods, it is

important to start from an understanding of what ordinary

people on the ground are already doing.


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rpose of this guide

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CASL Home Page

CASL Guidebook

Purpose


Project Stages

Acknowledgments

It is also worth stating what the guide is not intended to be, its

assumptions, and limitations. It is not a detailed manual on

how to undertake Participatory Rural Appraisal (PRA),

Participatory Action Research (PAR), policy research, or

quantitative surveys. The central concern is to ensure that

teams select an appropriate mix of available research

methods, particularly those based on participatory methods,

so as to link meaningful field studies with policy research and

thus achieve both practical results in the field, and policy

reform for an enabling environment. The strengths and

limitations of PRA are discussed, but PRA is only one of an

armory of methods to consider. The guide concentrates on the

principles to be borne in mind in executing this type of project,

with sufficient examples and other information from actual

experience to assist local project teams to make informed

decisions. The scope and locations of the IISD projects have

caused the examples and illustrations to be weighted towards

ASALs in Africa. However, one hopes that projects which use

the guide will be restricted neither to arid lands, nor to Africa.

The guide also does not dictate project design or detailed field

methodologies, which would be futile. Each organization will

have its own styles and strengths. More importantly,community-based research is highly context specific. The

style and attitude of the researcher, the ability to enter a

listening and learning mode are more influential in producing

high quality results than the ability to apply specific

techniques. What works in one situation may fail in another,

and what frustrates one researcher may be plain sailing for

another. Field methodology should therefore be driven by the

dialog and dynamic in the field situation, and not by a

prescriptive document. Common questions, more than

common methods, will ensure meaningful comparisons

between findings in different places.
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derlying principles guiding project design

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CASL Guidebook

Purpose


Ecosystem-based approach

Participatory research

methodologies

Project Stages

Acknowledgments

Underlying principles guiding project

design

Two principles of project design must first be dealt with, as

they form the basis of the entire approach which follows. A

research project not based on these principles would be

essentially different from those that the guidebook is intended

to assist. These principles are:

Comparative, ecosystem-based approach

Participatory research methodology
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e ecosystem-based approach

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The ecosystem-based approach

The overall purpose of the project is to promote sustainable

livelihoods for the poor. There are many possible routes to this

end, but the method proposed here derives from the fact thatpredominantly the poor of the world depend directly on natural

resources, through cultivation, herding, collecting or hunting

for their livelihoods. Therefore, for the livelihoods to be

sustainable, the natural resources must be sustained. The

overall project approach is to conduct a number of separate

country studies focusing on selected sites representing a

single ecosystem type or family. From these studies we can

proceed to derive commonalities and differences on which to

base conclusions and policy recommendations. "Ecosystem

type" here refers to a set of ecosystems which share certain

key defining criteria. This guidebook concentrates on the

example of arid and semi-arid lands (ASALs) in Africa . Withinthe selected set of ecosystems or biome, and over millennia,

people have traditionally evolved ways of life and stores of

knowledge that enable them successfully and sustainably to

provide for their livelihood needs. (We may note here that

many traditional societies have located themselves so as to

be able to exploit several neighboring ecosystems or

ecotones.) More recently, but quite independently, global

scientific knowledge and understanding of these same

ecosystems has grown. Yet the two sets of knowledge, local

and global, have been poorly integrated, and have not

combined to inform a manageable set of policy alternatives.

We can gain much by studying adaptive strategies of peopleto a set of ecosystems, deducing comparative knowledge that

will be of use at the local, national and international levels.

Within a set of similar ecosystems, common problems and

challenges can be identified to which the inhabitants or users

have had to devise solutions. The art of selection of sites in

which to study these strategies is important - we must ensure

that the different sites have enough in common to be

compared meaningfully with each other, and yet display

enough differences of characteristics to ensure representation

across a range, and for comparisons and differences to

emerge. The definition of the ecosystem "envelope" of the

project is therefore to hold constant a major variable. We donot yet know enough about adaptive strategies to enable us,

for example, to make meaningful comparisons between

strategies in tropical forests and those in arid lands.

ASALs provide an example of an ecosystem family. The term

"arid lands" refers to areas prone to frequent and prolonged

droughts and receiving up to 350 mm mean annual

precipitation. "Semi-arid lands" are areas receiving from 350

mm to 700 mm precipitation, in which rain-fed agriculture

combined with pastoralism is possible. The purpose of this

distinction is not to create an agricultural-pastoral dichotomy,

but to encourage, where possible, the selection within each

country of two case studies representing points sufficientlydistant on the agro-pastoralist continuum. In some areas,

typified by Burkina Faso, the distinctions are clearly

observable. For example, the Fulani specialized pastoralists

occupy the drier northern zone, often herding cattle on behalf


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of Mossi agriculturists in the more humid zone.

ASALs constitute an important set of ecosystems globally,

accounting for over a third of the land area and a seventh of

the world's population (Ahmad and Kassas, 1987: 4). In

Africa, perhaps a tenth of the continent's population, and a

much higher proportion of those considered poor, derives all

or most of their livelihoods directly from these lands. The

fragility of ecosystems in these lands and their declining

pastoral and agricultural productivity have been well

documented for decades. Livelihoods in these areas are alsohighly vulnerable to shocks and stresses, including those

arising from increases in human and animal populations, from

increased intensity of use or changes in patterns of use, and

from ecosystem change and declining natural productivity.

However, over time the peoples themselves who live in

ASALs have evolved practices and ways of life which, in past

times, enabled them to live in an environment characterized

by unpredictability and variation.

Compounding this underlying threat to the balance between

the natural resources and the livelihoods of the peoples

dependent on them, is a reduction in access caused by

changes in designated land-use through competing uses (e.g.

Berhanu 1995, p.5). These changes include establishment of

national parks - many of which are in ASALs - irrigation and

resettlement schemes, commercial cattle and game ranches,

private farms and refugee settlements. As if this were not

enough, ASALs have also often been areas heavily affected

by physical insecurity, which itself has undermined

productivity.

In Africa, ASALs frequently have been regarded as peripheral

or marginal in national politics, policies and political

geography, and have often been characterized as "problemareas". Centrally-planned development, although not without

its successes, has often failed. ASALs have been

characterized by a lack of clear and consistent central policy,

or even by "hostile" policies based on perceptions of

"traditional" ASAL farming and pastoral systems as inefficient,

unproductive, unsustainable, and destined inevitably to be

undermined by the "modern" economy. The rate of project

implementation is often extremely low. In many cases ASALs

have become net importers of food and of an increasing

proportion of the means of livelihoods, through the export of

labor - usually very poorly paid because of poor educational

attainments and low skills - and through the importation of

food and relief efforts. Under these circumstances it is not

unusual to find that development objectives, which sometimes

in the past embraced ambitions such as to turn ASALs into

major sources of national meat supply or even the bread-

basket of the country, have often become reduced to the

modest objective of ensuring merely that people can survive

there. Sometimes they are characterized by an absence of

policy, and an implicit policy assumption that over the long

term they cannot form the basis of sustainable livelihoods (cf.

Mutiso, 1995:37-40).

In the case of the IISD project, selection of different country

sites illustrating typical points along the range of variation,resulted in a broad typology with South Africa at one end and

Afars at the other. The South African example illustrated

relatively dense, top-down planned settlement, a relatively

high level of government provision of services (roads,

irrigation, electricity), high dependency on migrant wage labor


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Purpose


Ecosystem-based approach

Special concerns & issues

Participatory research

methodologies

Project Stages

Acknowledgments

for household incomes (about 50 per cent); and low

dependency on livestock. The Afars example showed an area

with minimal government involvement (but planned irrigation

that would alienate traditional grazing areas) low population

density, and low integration with the wider economy. It was

possible to discern the outlines of a hypothesis that would

indicate possible paths of future historical progression from

one end of the scale to the other.

This approach could be applied to other sets of ecosystems

within the same problematic of adaptive strategies forsustainable livelihoods. For sustainable livelihoods based on

different ecosystems, but challenged by similar threats, and

people's organizing responses to combat development

threats, see the Thailand tropical forest example described by

Janet Durno (1995).

Whatever ecosystem family is selected, it will be useful as a

preliminary step to compile a brief, non-technical and insightful

summary review of the "state of the art" of knowledge on that

ecosystem family, as found in contemporary literature. In this,

it is most important to realize that human societies and

economies are part of the ecosystem. Directly and indirectly,they not only depend on ecosystems, but through their

activities and interactions they help to modify and change

them.
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d and semi-arid lands: Characteristics and importance

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Arid and semi-arid lands: Characteristics

and importance

Arid and semi-arid or subhumid zones are characterized by

low erratic rainfall of up to 700mm per annum, periodicdroughts and different associations of vegetative cover and

soils. Interannual rainfall varies from 50-100% in the arid

zones of the world with averages of up to 350 mm. In the

semi-arid zones, interannual rainfall varies from 20-50% with

averages of up to 700 mm. Regarding livelihoods systems, in

general, light pastoral use is possible in arid areas and

rainfed agriculture is usually not possible. In the semi-arid

areas agricultural harvests are likely to be irregular, although

grazing is satisfactory (Goodin & Northington, 1985).

In Africa north of the equator, arid and semi-arid zones are

bordered by Senegal, Upper Volta and Chad in the south;

and Morocco, Algeria, Libya, and Egypt in the north. Thezones extend southeast through Somalia and Northern

Kenya, South of the equator the zones cover Lesotho, parts

of the Cape, Northern Transvaal and Free State provinces of

South Africa; Botswana; Namibia; and parts of Zimbabwe.

The notion of desertification has been a contentious subject.

UNEP's Desertification Control/Programme Activity Centre

(DC/PAC) defined desertification as "land degradation in

arid, semi-arid and dry sub-humid areas resulting mainly

from adverse human impact", aggravated by the

characteristics of dryland climates. Within the context of

Agenda 21, desertification is defined as "land degradation in

arid, semi-arid and dry sub-humid areas resulting from

climatic variations and human activities". The difference

between these definitions has to do with causation. In theformer, human intervention is viewed as the central driving

force in desertification; while the latter clearly identifies both

human and climatic influences (Toulmin, 1993).
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d and semi-arid lands: Characteristics and importance

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Community Sustainability - Home

ASAL Project

ASALs

Description

Outputs

Findings

Significance

Bibliography

Some relevant resources on

ASALs and desertification:

IISD: Report on the Intl

Convention to Combat

Desertification

IDRC: Desertification

and land degradation

IDRC: Desertification -

Backgrounder for

journalists

IDRC: Water

management in Africa

and the Middle East

UNEP: Convention to

Combat Desertification

UNRISD: Reforming

Land Rights in Sub-

Saharan Africa

Another notion linked to desertification is that of desert

advance. Assertions have been made that the desert is

advancing at approximately 5km a year. This has been

disproved by Hellden (1991) whose work in the Sudan

shows no such advance and Tucker et al. (1991) who

asserts that patterns of vegetative cover in these areas are

dependent on rainfall. Hellden has further asserted that

contrary to arguments advanced, there is no evidence that

patched of desert were spreading outward from villages and

water holes into the drylands of the Sahel area, for instance.

Of significance in this debate is the recognition that the

majority of the population of arid and semi-arid lands depend

on agriculture and pastoralism for subsistence. These zones

exhibit ecological constraints which set limits to nomadic

pastoralism and settled agriculture. These constraints

include (Salih & Ahmed, 1993):

rainfall patterns that are inherently erratic;

rains which fall mostly as heavy showers and are lost

to run-off;

a high rate of potential evapotranspiration further

reducing yields;

weeds growing more vigorously than cultivated crops

and competing for scarce reserves of moisture;

low organic matter levels, except for short periods

after harvesting or manure applications; and

highly variable responses to fertilizer.

Indigenous peoples of these areas have lived within these

constraints for centuries. They have existed on the

productivity provided locally and have used their knowledge

to devise coping and adaptive strategies.

In order to assist the process of efficient resource

management in these fragile environments, UNEP's GlobalEnvironment Monitoring System (GEMS) and FAO's

Ecological Management of Arid and Semi-Arid Rangelands

(EMASAR) programmes have developed a methodology for

ecological monitoring which has been applied to rangelands

and planning for national parks in East Africa, and among

the Fulani of Senegal in West Africa. Ecological monitoring

encompasses the collection of biological and physical data at

ground, air and space levels providing information on

domestic and wild animal populations, human habitations

and populations, vegetation production and cover, soils, land

forms, climatic data and crop production. Ground level

ecological monitoring also provides information on socio-

economic practices of human populations which affect the

ecosystem and its productivity (UNSO, 1990). Work on

adaptive strategies has to focus on how this contemporary

knowledge is used to reinforce or inform traditional

knowledge around resource management issues.
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aptive Strategies for Sustainable Livelihoods in Arid and Semi-Arid Lands (ASALs) Project

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Adaptive Strategies for Sustainable

Livelihoods in Arid and Semi-Arid

Lands (ASALs) Project

Under existing conditions (of externally driven developmentpolicies, concentration on the cash economy and existing

trade relations), the typical responses of the poor have been

to appropriate common property resources, intensify

agriculture on marginal lands, increase heads of livestock

and shorten fallow periods; migrate seasonally or

permanently to cities, towns, agricultural plantations and to

more vulnerable and marginal lands; and have large

families in order to diversify sources of income and labor.

These responses generally have not provided long-term

benefits to the poor. However, there is a growing interest in

the poor as agents for their own self improvement guided by

their own knowledge base and strategies which could lead

to sustainable livelihoods. Our preparatory workshops

confirmed the need for clear and detailed documentation of

adaptive strategies that have led to sustainable livelihoods

and the policy issues that enhance or constrain the

development and implementation of these strategies. These

strategies are likely to have evolved from an interaction

between contemporary and indigenous knowledge. Hence

the initiative sought to capture these synergies and the

conditions and processes which produced and reinforced

them. It was recognized that these strategies were diverse

and included adaptations to ecological, social, political and

cultural risks and shocks.

Community Sustainability - Home

ASAL Project

ASALs

Description

Outputs

Findings

SignificanceBibliography

IISD recognized that the problems enunciated above occur

globally in diverse socio-ecological systems. It was agreed

that initially, the initiative would focus on agropastoralists in

arid and semi-arid areas with the view of using the lessons

learned from this experience to develop similar initiatives in

other regions and socio-ecological systems. Our entry point

was the identification of adaptive strategies, which are the

result of indigenous knowledge and experiences,

contemporary knowledge including scientific and

technological innovations and policy issues, and which haveled to sustainable livelihoods in arid and semi-arid lands.
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ject description

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ASAL Project

ASALs

Description

Outline & research protocolImplementation structure

Constraints & weaknesses

Outputs

Findings

Significance

Bibliography

Project description

The project focused on nine communities in five sub-Saharan

African countries during 1994-95:

Burkina FasoEthiopia

Kenya

South Africa

Zimbabwe

Within each country, local organizations were selected to

coordinate a combination of participatory field research and

policy analysis. The field researchers spent considerable time

working with the communities to identify ways in which their

livelihood systems had changed in response to both internal

and external forces over the past few decades. That

information then directed in-depth analyses of the regional,

national, and local policies which had either constrained or

supported sustainable livelihoods. In order to provide added

value to the communities, the project was structured so as to

become a mechanism for promoting local ownership of

knowledge and advocacy for necessary policy changes. While

the initial written reports have been completed, work continues

on the transmission of outputs to the communities and to

policy makers.
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ject Outline and Research Protocol

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Adaptive Strategies of the Poor in Arid

and Semi-Arid Lands: Project Outline and

Research Protocol

Section I. The Project Outline

I.A Institutional Framework

The International Institute for Sustainable Development is a

non-profit private corporation established and supported by

the Governments of Canada and Manitoba. It is a registered

charitable organization for Canadian income tax purposes.

IISD's mandate is to promote sustainable development in

decision-making within government, business and the daily

lives of individuals in Canada and internationally (see Articles

of Incorporation). As a relatively new Institute, IISD is helping

to shape initiatives which move sustainable development from

concept to practice. This requires the integration of the well-

being of people, environment and economy within the centers

of decision making in government, industry, the home and in

the community.

As a knowledge and action-based institute, IISD is committed

to producing useful and practical results, and to facilitating the

transfer of knowledge and experience. Its outputs are

expected to provoke change rather than merely highlight

problems. Consequently, IISD implements its activities in two

ways: through focused research on policy and institutional

change, and through communications and transfer ofknowledge. These processes are closely aligned because

research without broad dissemination of results is unlikely to

effect change. Also, there is consideration of the tremendous

need for the recognition of grassroots or community

knowledge and practices as a source of inspiration and

knowledge about sustainable development. IISD's

involvement in this initiative on adaptive strategies is a direct

consequence of this consideration.

All of IISD's projects and programs are demand driven, they

must clearly show the potential to make a significant

difference, add value and demonstrate IISD's comparative

advantage in engaging in any program activity. The IISD,

through inputs from the Nairobi and Toronto workshops in

April and November 1993, respectively, identified information -

its identification, documentation and dissemination - as one of

the critical tools of empowerment, which it has the capacity to

avail to the poor. Specifically, empowerment through

facilitating information gathering and sharing, was identified as

a major conduit of building the capacity of communities to

respond and adapt to changing social, economic and

ecological conditions that undermine their achievement of

sustainable livelihoods. The Africa Case Studies project, in

collaboration with the Synergos Institute and the African

Association for Literacy and Adult Education (AALAE),constitutes the first step in this endeavor. Engaging in the

exercise of documenting and sharing adaptive strategies of

the poor with the poor, and with policy makers including

governments, development agents and the donor community,


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has become a priority program area. This will be done in

partnership with local institutions and communities in five

countries in East and Southern Africa and the Sahel.

IISD experience in Africa to date is drawn from the current

poverty and empowerment program staff who have lived and

worked in Africa, two (2) board members resident in Nairobi,

the Africa Case Studies project implemented in collaboration

with Synergos Institute and the African Association for

Literacy and Adult Education (AALAE), as well as through

participants in workshops held in Nairobi, Toronto andWinnipeg . The Institute's comparative advantage in engaging

in an activity on adaptive strategies in Africa is drawn from this

experience which has given us the capacity to access a

network of institutions that work closely with the poor. In

addition, through our past work on Poverty and Empowerment

we have established an understanding of the systems

approach to impoverishment and sustainable development,

empowerment for sustainable development and policy

adjustments, poverty and sustainability, and we are now well

placed to undertake a more focused, concrete piece of work

drawing on this work. We are now prepared to work in arid

and semi-arid lands in other regions in which we might be ableto network effectively. Our capacity to leverage resources, our

experience in influencing decision-making in sustainable

development and our in-depth knowledge of the broader

issues of sustainability, offer other key advantages.

I.B Background

The conditions that were enunciated by the Brundtland

Commission, UNCED and Agenda 21 with regard to the poor

in developing countries remain unchanged. For instance,

population growth in Africa where the ecological base is fragile

and deteriorating, is projected to be the most rapid. External

and internal central urban institutions and individuals such as

governments and commercial interests continue to extend

their power, ownership and exploitation of rural areas.

Under existing conditions of externally driven development

policies, concentration on the cash economy and existing

trade relations, the typical responses of the poor have been

to: appropriate common property resources; intensify

agriculture on marginal lands; increase heads of livestock and

shorten fallow periods; migrate on a seasonal or permanent

basis to cities, towns, agricultural plantations and more

vulnerable and marginal lands; and resort to large families in

order to diversify sources of income and labor.

These responses have not provided long-term benefits to the

poor. However, there is a growing interest in the poor as

agents for their own self improvement guided by their own

knowledge base and strategies which could lead to

sustainable livelihoods. Our preparatory workshops have

confirmed the need for clear and detailed documentation of

adaptive strategies that have led to sustainable livelihoods

and the policy issues that enhance or constrain the

development and implementation of these strategies. These

strategies are likely to have evolved from an interaction

between contemporary and indigenous knowledge. Hence the

initiative seeks to capture the synergies and the conditionsand processes which produced and reinforced them. It is

recognized that these strategies are diverse and include

adaptations to ecological, social, political and cultural risks.


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I.C The Study Focus

IISD recognizes that the problems enunciated above occur

globally in diverse socio-ecological systems. Initially, theinitiative will focus on agropastoralists in arid and semi-arid

areas in Africa with the view of using the lessons learned from

this experience to develop similar initiatives in other regions

and socio-ecological systems. Our entry point is the

identification of adaptive strategies, which are the result of

indigenous knowledge and experiences, contemporary

knowledge including scientific and technological innovations

and social and economic issues, and which have led to

sustainable livelihoods in arid and semi-arid lands. (see

graphic, above).

I.D Purpose

The purpose of this project is to galvanize the transition from

poverty to sustainable livelihoods in arid and semi-arid lands.

The project seeks ways to empower communities to mobilize

their options for making the transition from poverty to

sustainable livelihoods. The project will contribute to this result

through model efforts with communities to articulate and share

relevant information on successful adaptive strategies.

Through policy analyses and assessments of the contribution

of contemporary knowledge, the project will help reinforce

such strategies and provide policy makers with information to

help them design more appropriate interventions.

The objectives are:

To document information on adaptive strategies which

lead to, or have the potential to lead to, sustainable

livelihoods.

To package and disseminate information sets on

adaptive strategies to local communities and other

interested groups.

To provide policy makers and local communities with

recommendations through the identification of key

interactions, synergies, antagonisms, etc. among

traditional and contemporary knowledge and the

relevant policy conditions under which adaptive

strategies evolved.

To identify, in a preliminary manner, indicators of

sustainable livelihoods in arid and semi-arid lands.

To provide researchers and other interested parties with


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information on the process and methodology used.

To influence the outcome of the WSSD in the areas of

poverty and sustainable development.

I.E Outputs

The Outputs will be:

documented adaptive strategies and processes that

have led or may lead to sustainable livelihoods

a model package of recommendations which can beused to reinforce adaptive strategies

a comprehensive and analytical paper on policies that

impinge on adaptive strategies

preliminary indicators of sustainable livelihoods in arid

and semi-arid lands

a report on the process and methodology of the

exercise

preliminary analytical report for submission to the World

Summit for Social Develop third preparatory committee

I.F Working Definitions

Coping and adaptive strategies

Davies (1993) draws a distinction between coping and

adaptive strategies based on the type of risk faced by

households and communities. For instance, coping strategies

are defined as "the bundle of poor people's responses to

declining food availability and entitlements in abnormal

seasons or years". Thus coping strategies are characteristic of

secure livelihood systems used only during periods of food

stress; they constitute a fall-back mechanism during periods of

decline in access to food. Adaptive strategies, on the other

hand, are characteristic of vulnerable socio-ecologicalsystems and modes of production, they constitute a

permanent change in the mix of productive activities and

require modification of community rules and institutions to

meet livelihood needs.

Sustainable Livelihoods

"A livelihood comprises the capabilities, assets (stores,

resources, claims and access) and activities required for a

means of living: a livelihood is sustainable which can cope

with and recover from stress and shocks, maintain and

enhance its capabilities and assets and provide sustainable

livelihood opportunities for the next generation; and which

contributes net benefits to other livelihoods at the local and

global levels and in the short and long term". (Chambers and

Conway, 1992)

Alternatively, we might view sustainable livelihoods as

concerned with people's capacities to generate and maintain

their means of living, enhance their well-being and that of

future generations. These capacities are contingent upon the

availability and accessibility of options which are ecological,

socio-cultural, economic and political and are predicated on

equity, ownership of resources and participatory decision

making. Both notions of sustainable development andsustainable livelihoods incorporate the idea of change and

uncertainty.

I.G Criteria for Community Selection


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Communities which possess many of the following

characteristics as available will be chosen:

particular adaptive processes and strategies which lead

to sustainable livelihoods

multiple vulnerability (ecological, political, economic,

social, etc.)

existing information on adaptive strategies including

links and contacts

available human resources and institutional

arrangements for implementationrelative accessibility

a community that is representative of communities in

arid and semi-arid lands, for example, population

density relative to resource base and socio-economic

variation

communities that have experienced significant internal

and external changes in the recent past (10 - 15 years)

and have adapted.

I.H Participating Countries

These include:

Burkina Faso

Ethiopia

Kenya

South Africa

Zimbabwe

I.I. Project Strategy and Implementation

Arrangements

The overall design of the project strategy and implementation

arrangements is aimed at ensuring ownership of the results bythe local communities as well as to give policy makers insights

into communities' perceptions of sustainable livelihoods.

The lead implementing agency will be the IISD. However, IISD

will work in close collaboration with other institutions such as

UNDP, IDRC, UNEP and locally based Non-government

organizations. The Institute will act as convener and facilitator

of the project management team meetings, coordinate the

process with the project coordinator resident in the region and

vet the quality of work produced.

The Project Management Team includes:

IISD Staff

The UNDP

A locally based RegionalProject Coordinatorhas

been selected from the African Association of Adult

Literacy and Education (AALAE), to ensure that the

project is effectively anchored and managed in the

study region. AALAE is a continental federation of

national associations, institutions, non-government

organizations and individuals involved in adult

education. The thrust of AALAE's activities is aimed at

equipping individuals and communities with skills to

deal with political, socio-economic and environmental

change, through building capacities of members in theareas of research, training and evaluation; and through

facilitation of intra-continental and intercontinental

cooperation.


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The International Advisory Group(IAG)will bring expertise

in the areas of policy, community engagement, ecology, socio-

economic and political issues, communications, and small

business development skills. The IAG will provide guidance

and advise on the overall implementation strategy, the design

and final quality of the outputs. Members of the IAG include

Charlie Shackleton from the University of the Witwatersrand

Rural Facility in South Africa; Costantinos Berhe of

Environment and Development Society in Ethiopia; Anil Gupta

of SRISTI in India; Walter Luisigi from the World Bank,

Eugene Aw, regional coordinator for Africa 2000 network;Joachim Voss from IDRC and representatives from CIDA and

UNEP.

Lead institutions in participating countries will provide local

project coordinators, who will in turn, put together a

multidisciplinary team to conduct the research. The skills

within each research team must at the minimum include

economics, sociology, ecology, agriculture and anthropology.

The lead institutions or local partners include ENDA-

Zimbabwe, Wits Rural Facility, Environment and Development

Society and KENGO. The fifth local partner from Burkina Faso

is still to be named.

I.J Project Review, Reporting and Evaluation

This project will be subject to review by IISD and UNDP six

months after implementation. IISD, in collaboration with the

UNDP and local partners, will prepare a report for submission

to the preparatory committee of the World Summit on Social

Development.

Additional continuous review of progress will be done by the

International Advisory Committee which will meet twice during

the implementation period. At the end of the project cycle, an

evaluation will be done to capture the experiences andlessons learned, and to monitor the impact of the exercise and

the outputs on communities and policy makers.

I.K Ownership of Results

The project is designed to encourage local ownership of the

results, especially outputs 1 and 2. As far as possible,

ownership will reside with the local communities and this will

be appropriately acknowledged. This, however, will not

prevent IISD from further using the information in whatever

way it may see fit.

Ownership of the other outputs will reside with IISD.

Appropriate quantities of the reports will be available to

international and local partners and their contribution to the

project will be duly acknowledged.

Appropriate arrangements will be made with other partner

institutions

Section II. The Protocol

This research protocol is intended as a concise statement of

what is expected of each in-country program. It presentsquestions, guidelines and issues which each study site must

address and adhere to.

In order to realize the goals and objectives of the adaptive

strategy initiative, researchers will seek to capture the


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synergies arising out of the interaction between contemporary

and indigenous knowledge, and the conditions and processes

which produce and reinforce adaptive strategies.

II.A. The Role of the RPC and LPCs

TheRegional Project Co-ordinator (RPC)will manage the

implementation of the project at national levels, liaise with

local project co-ordinators, monitor progress and synthesize

policy reviews from the five participating countries.

The Local Project Co-ordinators (LPCs) will be the lead

researchers who must work directly in the field with other

researchers and the community; and must reside within the

community together with team members over the duration of

fieldwork. Delegation at this level will be inconsistent with the

thrust of the project.

II.B Time-Frame

The actual field implementation of the project commences in

October of 1994 and will end in August of 1995. Preliminary

reports are expected in mid-December to allow for inputs intothe World Summit for Social Development (WSSD) third

preparatory committee meeting in January, 1995.

II.C Structure and Content

This section describes the questions which the research

report should address, and indicates the structure and

contents of the report.

1) Context

The context provides the national historical and macro-policyenvironment in which communities exist and function and will

largely be based on existing literature, but can be

supplemented by interviews with appropriate individuals.

Special emphasis should be placed on those policies which

impact on communities.

1.a) Historical context

Key question: What kinds of ecosystem, socio-economic and

political changes have occurred in the project countries?

(Time-frame - emphasis might be placed on the post-colonial

period. However, other strategic issues may be considered.)

In this section researchers need to describe the signals and

indicators of change. Consider a tabular presentation of

national and community data to put community data in

perspective. Examples of indicators follow:

Ecosystem indicators i.e., agro-ecological zones;

climatic variables including rainfall patterns and major

droughts; soils status; extent of desertification; siltation

rates; vegetation types and cover, etc.

Socio-economic indicators i.e., the nature of

enterprises; income sources and their distribution;

migration and other demographic factors; employment;

human health indicators (e.g., mortality rates); animal

health indicators; rights, including grazing, land-tenure,

tree tenure and land-use.

Political indicators i.e., the nature of government; the


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extent of centralization and decentralization of political

authority (i.e. local self-government); system of

procurement of goods and services including trade,

and financial flows to communities.

1.b) Macro-policy context

Key question: What national and international policies, i.e.,

agricultural, economic, environmental, social, impede or

facilitate the achievement of sustainable livelihoods?

Policies to be considered include macro-policy adjustments

including structural adjustment programs, trade policy, and the

role of the formal and informal sectors.

2) Community Profile

2.a) Defining community

Specify the size (density, size of territory), nature (ethnicity,

agro-pastoralist vs. pastoralist), migration patterns and

relationships with other communities.

(It may be necessary to use a sampling design.)

2.b) Indicators of change

In addition to indicators outlined in (1.a) above, use

community knowledge to describe the following indicators of

change:

(Note here that the time boundary may be as far as

communities can recall.)

Ecosystem

biomass, species and water availability andaccess

(Biomass availability is a function of herd

species composition, i.e. mix of cattle,

sheep, and goats. Is herd mix a survival

strategy? Is the strategy sustainable?

What about the composition of human

diet as an indication of ecosystem

stress?)

indicator species

vegetative cover - note seasonal variations

water quality and availability as indicators of

ecosystem healthSocio-economic

infrastructure, credit, labor

incidence of animal disease

commodity markets - links to foreign markets,

procurement, zoning and other restrictions

2.c) Common property institutions

Issues to consider include boundary rules, resource allocation

rules, and mechanism for conflict resolution and enforcement

(sanctions).

(Include, for example, traditional institutions of managing

quarantine as opposed to modern quarantine rules which

restrict the free movement of livestock.)

2.d) Values, beliefs and practices


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What are the values, beliefs and practices of communities

which support or impede adaptive strategies? What relevant

cultural changes have occurred over time and how have these

impacted on values and livelihood systems?

It should be recognized that values, beliefs and practices are

dynamic. In some instances beliefs may not be translated into

practices and in others merely used for convenience or as

excuses.

2.e) Technological innovations

Identify and describe local technological innovations such as

water conservation, soil stabilization, etc.

(It has been suggested that weather prediction is the most

important technological need of communities. Are

meteorological forecasts available to them? What are the

traditional methods of weather prediction?)

2.f) Possible indicators of sustainability

Net worth resilience, i.e. depletion and replenishment

cycle in response to perturbation. Note that this may

not be necessarily sustainable

Time and energy spent on meeting basic needs

Change in age and sex composition of community. Note

the implications for who tends the cattle and the

distance covered in cattle herding

Herd size to family size ratio, e.g., six herd per family of

six a threshold level

Shift in size and composition of herd. (Major increases

in sheep may be unsustainable)

Trends suggestive of reduction in carrying capacity, i.e.,

depletion of groundwater table (note that long-term hydrological cycles have not yet been

determined);

water quality;

degradation of common lands;

Trends in shift from household labor to hired labor;

Shift in composition of expenditure on consumption

baskets.

2.g) Community responses

What has been the impact of ecosystem, socio-

economic and political changes on livelihoods in thestudy area?

What are the demographic, socio-economic, cultural

and political responses (adaptive strategies) of

communities to these changes? Are there differential

responses between men and women?

What informs these responses - traditional,

contemporary knowledge and practices or the

integration of the two; internal and external

technological innovations?

Have these responses led to sustainable livelihoods?

or, Do they have the potential to lead to sustainable

livelihoods?

What kinds of interventions (communication and

outreach strategies, technological innovation etc.) are

needed to enhance communities responses so that

they lead to sustainable outcomes?

What is the process by which communities and external


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ASAL Project

ASALs

change agents integrate contemporary and indigenous

knowledge in pursuit of adaptive strategies that lead to

sustainable livelihoods?

3) Identification of adaptive strategies that lead to

sustainable livelihoods

What economic, ecological, social, cultural, or political

environment contributes to the evolution of successful

adaptive strategies (best practice)?

To what extent does this environment impact positively

or negatively on poverty alleviation, employment

generation and social cohesion?

What indicators can be used to measure progress

towards sustainable livelihoods?

What role can external agents play in developing

indicators and reinforcing adaptive strategies?

What kinds of policy changes are needed to support the

evolution or enhancement of adaptive strategies that

lead to sustainable livelihoods?

4) Community Methodology

The country researchers will utilize, as desirable,

participatory action research approaches and a

multidisciplinary team of which two members will be

senior students with complementary skills from local

universities.

Within communities, agreed upon methodologies will be

used in in-depth interviews with elders, community

leaders and community members preceded by country

and community profiles.

Interviews at the community level will be conducted in

local languages.

The information gathered will be complemented by aliterature review of adaptive strategies.

The participatory methodology mixes used to collect

local information will have to utilize an iterative process

to maximize effectiveness as experience is gained on

the ground.

Agreed upon methodology will be made available. This

manual provides just one aspect of the methodology

mixes which the LPCs will require to answer all the

questions outlined here and will hopefully assist them

in decision making and keeping the Project on track.

5) Policy review analysis

A separate but closely linked review of policy will be

conducted, which will follow the following process:

5.a) Identification of policy priorities

The LPCs will identify policy priorities one month after

commencement of field work, i.e., at the end of October. They

will also reflect on how policy has affected communities, for

example, the impact of policies on incentives/disincentives to

utilize certain adaptive strategies; and then have communities

respond.

5.b) National seminars

The Regional Project Co-ordinator (RPC), the International

Advisory Group (IAG), and LPCs will help to identify the


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Description

Outline & research protocol

Implementation structure


Outputs

Findings

Significance

Bibliography

author of a lead policy paper for each participating country;

and appropriate policy makers and analysts to participate in a

seminar held in February, 1995.

The outputs of the seminars will be two-fold:

A comprehensive and analytical paper on policies that

impinge on adaptive strategies

The generation of reasonable responses to policy

issues raised by the studies.


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ject implementation structure

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ASALsProject Description

Outline & research protocolImplementation structure

Intl. advisory group membersIntl. workshop participantsImplementing agenciesProject coordinators' terms ofreference


OutputsFindingsSignificanceBibliography

Project implementation structure

Our management strategy was to have early involvement andbuy-in at the international, national and local levels.

At the international level, we involved major developmentagencies such as UNDP, the World Bank, IDRC, CIDA andUNEP as members of an International Advisory Group whichincluded leading individuals in the field from other institutions.Apart from helping to guide the project with their vastexperience, we were also setting the stage for them to want touse the results at the end of the project. We also sought andobtained financial resources (US$175K) from UNDP to helpwith the field work.

At the national level, we held workshops with seniorgovernment officials including for example the Vice Presidentof Ethiopia and the Premier of the East Transvaal Region inSouth Africa, to gain their perspectives on our proposed workand to set the stage for them to understand the policyimplications of the work and hopefully to use the insightsgained at the end.

Our key implementing partners in each country were the localNGOs, and the communities who were at the heart of theproject. In each country, we selected a local projectcoordinator (LPC) from the collaborating NGO partner. In co-operation with the LPCs, we selected policy analysts in eachcountry. The local NGO was responsible for fielding a

multidisciplinary team which conducted the participatoryexercises with the local project coordinator in charge. Thepolicy analysts were required to work closely with the LPC andthe teams.

We held an orientation workshop to ensure commonconceptual and methodological understanding and clarityamong the LPCs at the beginning of the projectimplementation. A review workshop was held half way throughthe project cycle to review progress, clarify difficulties, ensureall were on track and agree on the format and contents of theoutputs.

IISD provided management, logistical and intellectual supportthroughout the project. We have also undertaken the finalchecking, editing and publishing of the outputs.

The success of our strategy is already evident from thefeedback from our local NGO partners as well as the usealready being made of the project concept and approach forexample by UNDP; the Government and NGOs in Ethiopia,and indications of possible financial support from otheragencies for further related work. At a recent meetingorganised by UNDP in Harare, the 5 UNDP ResidentRepresentatives expressed interest in using the project's

approach in their country programs.


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ernational Advisory Group (IAG) members

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ASALs

International Advisory Group (IAG)

members

The International Advisory Group draws together persons who

combine a very wide range of rich experiences relevant to the

Project and its goals, with extensive knowledge of the issues.

They also bring to the project a wide range of institutional links

and network affiliations.

Eugenie Aw (Senegal)

Africa 2000 Network

United Nations Avenue

Gigiri, Block B

Nairobi, Kenya

Elizabeth Migongo-Bake

UNEP, DC/PACP O Box 30552

Nairobi, Kenya

Costantinos Berhe-Tesfu

Environment and Development Society of Ethiopia

P O Box 8632, Addis Ababa, Ethiopia

Steve Blais

CIDA

200 Promenade du Portage

Hull, Quebec, Canada

K1G 3H9

Anil Gupta

Indian Institute of Management

Vastrapur, Ahmedabad 380 015, India

Walter Lusigi (Kenya)

World Bank

1818 F Street, NW

Washington DC, USA

Charlie Shackleton

Wits Rural Facility

Private Bag X420

Acornhoek 1360, South Africa

Joachim Voss

IDRC

250 Albert St.

Ottawa, Ontario, Canada

K1G 3H9

Helen Hambly

Associate Officer

International Service for National Agricultural Research

(ISNAR)

P.O. Box 93375

2509 AJThe Hague

The Netherlands

tel. 31-70-349-6100

fax. 31-70-381-9677


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ernational Advisory Group (IAG) members

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Project Description



Intl. advisory group members

Intl. workshop participants

Implementing agencies

Project coordinators' terms of

reference

Contraints & weaknesses

Outputs

Findings

Significance

Bibliography

[email protected]

Alioun Sall

UNDP

One United Nations Paza

New York, NY 10017 USA

Alternates at second meeting:

Chris George (for Steve Blais)

First SecretaryCanadian High Commission

Harare, Zimbabwe

Nigel Motts (for Joachim Voss)

IDRC Regional Office for Southern Africa

P O Box 477

Wits 2050, South Africa
mailto:[email protected]:[email protected]://www.iisd.org/default.htm


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ernational workshop participants

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International workshop participants

The following individuals attended the first and second

international workshops of the Adaptive Strategies for

Sustainable Livelihoods in Arid and Semi-Arid Lands Project

undertaken by the International Institute for SustainableDevelopment. These workshops were held in Nairobi,

September 1994 and at the Wits Rural Facility, South Africa,

March 1995. The Guidebook for Field Projects on Adaptive

Strategies was one of the outputs of these workshops.

(Participants marked + attended both workshops. Participants

marked * attended the Nairobi workshop only.)

Alexander Amuah5458 85th Avenue #102New Carrolton, MD 20784 USA

Kassahun Berhanu

Department of Political Science

Addis Ababa University

P O Box 1176

Addis Ababa, Ethiopia

Costantinos Berhe-Tesfu

LEM Environment and Development Society

P O Box 8632


John Gear

Wits Rural Facility

Private Bag X420Acornhoek 1360, South Africa

Chris George

First Secretary

Canadian High Commission

Harare, Zimbabwe

David Gylywoychuk

IISD

161 Portage Avenue East - 6th Floor

Winnipeg, MB R3B 0Y4 Canada

Ken JeenesWits Rural Facility

Private Bag X420


Peter Karinge*

KENGO

P O Box 48197

Nairobi, Kenya

Bowdin King

ENDA-Zimbabwe

1 Waterfield Road, Mount Pleasant

P O Box 3492Harare, Zimbabwe

Elizabeth Migongo-Bake

UNEP, DC/PAC

P O Box 30552


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ASALs

Project Description

Nairobi, Kenya

Nigel Motts

IDRC Regional Office for Southern Africa

P O Box 477

Wits 2050, South Africa

Samuel K Mutiso

Department of Geography, Faculty of Social Sciences

University of Nairobi

P O Box 30197Nairobi, Kenya

Fanuel Nangati

7 Queensgate

Mount Pleasant

Harare, Zimbabwe

Sharon Pollard

Wits Rural Facility

Private Bag X420


J. Keith Rennie+3047 Meeting Street

Falls Church, VA 22044, USA

John Reynolds*

Wits Rural Facility

Private Bag X420


Charlie Shackleton

Wits Rural Facility

Private Bag X420


Sheona Shackleton

Wits Rural Facility

Private Bag X420


Naresh Singh+

IISD


Winnipeg, MB R3B 0Y4, Canada

Phosiso Sola

ENDA-Zimbabwe


P O Box 3492

Harare, Zimbabwe

Jonathan Stadler

Wits Rural Facility

Private Bag X420


Dumisayi Takavarasha*

ENDA-Zimbabwe


P O Box 3492Harare, Zimbabwe

Shibru Tedla+

ECO-Consult

P O Box 5998


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reference


Outputs

Findings

Significance

Bibliography


Daniel Thieba+

GREFCO

01 BP 1895

Ouagadougou 01, Burkina Faso

Vangile Titi+

IISD


Winnipeg, MB R3B 0Y4, Canada

Christophe Zaongo

GREFCO

01 BP 1895

Ouagadougou 01, Burkina Faso


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cal NGO and community partners

p://www.iisd.org/casl/ASALProjectDetails/LocalPartners.htm[08-09-2015 , Tuesday 01:14:00 AM]

Outline &

research

protocol

Implementation

structure

Intl. advisory

group

members

Internationalworkshop

participants

Implementing

agencies

Project

coordinators'

terms of

reference

Contraints &

weaknesses

Local NGO and community partners

During 1994-5 IISD worked with five institutions in the following African

countries:

Country Organization Location (Ethnic Group)

Burkina

FasoGREFCO

Noungou, Oubrutenga (Mossi)

Menegou, Oudalan (Fulani-Rimaibe)

Ethiopia LEMMelka Worere (Afar)

Areri and Dubluk Medds (Borana)

Kenya KENGOKitengela, Kajaido (Maasai)

Tigania (Meru)

South AfricaWits Rural

Facility

Tshunelani, Gazankulu, E. Transvaal

(ethnically diverse: Sotho, Tsonga,

migrants, refugees, etc.)

Zimbabwe ENDAMlambapehle, Gwanda (Ndebele)

Makaha, Mudzi (Shona - Budga)


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D project on adaptive strategies in ASALs: Terms of reference

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ASALs

Project Description







reference


Outputs

Findings

Significance

Bibliography

IISD project on adaptive strategies in

ASALs: Terms of reference

Regional Project Coordinator (RPC)

The RPC is responsible for the management of the project in

the region. He/she will:

Coordinate and monitor five country studies

Assist in the organization of the orientation and training

and other project related meetings

Ensure the delivery of drafts and final documents on

schedule

Review and analyze policy conditions under which

selected adaptive strategies evolved

Participate in national policy meetings

Prepare a report on the process and methodology of

the exerciseAssist in the dissemination of outputs to communities

and monitor utilization

Local Project Coordinator (LPC)

The five LPCs are responsible for the management and

implementation of the project in their respective countries.

Each LPC will:

Participate in the orientation and training workshop

Convene an interdisciplinary team

Orient the team to the project concept and in the use ofparticipatory action research methodologies

Convene and facilitate national meetings

Prepare background material on the participating

communities, including location, history, sources of

livelihoods and adaptive strategies employed

Identify policy priorities relevant to adaptive strategies

and prepare a brief policy issues paper

Conduct fieldwork

Ensure the delivery of drafts and final documents on

schedule

Translate the results of fieldwork into English

Participate in the regional meeting to consolidate the

results from participating countries

Disseminate outputs to communities and monitor

utilization


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ject constraints and weaknesses

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ASAL Project

ASALs

Description




Outputs

Findings

Significance

Bibliography

Project constraints and weaknesses

The major constraint was the short time in which the project

was implemented. Participatory work requires virtually open-

ended approaches which permit the development of trust and

understanding between researchers and community. Topartially alleviate time constraints, we selected partners and

communities who had a history of trust and familiarity with

each other. However, this has the disadvantage of reducing

the open mindedness required to work with new approaches

and to develop new insights.

Our policy analysts were not involved in the first orientation

workshop which discussed concepts and methodology in

detail nor in the field work. In retrospect they should have

been. While the workshop focused largely on participatory

methodologies applied to adaptive strategies and sustainable

livelihoods, we needed to build a team approach from theinception with the policy analysts included. Their grasp of the

concepts remained weak until a late stage in the project which

resulted in difficulties in making all the necessary linkages

between policy, technology and local adaptive strategies.

The local teams which conducted the participatory community

work did not give enough attention to the contribution of

external technology, except perhaps the South African team.

This seems to be due to the composition of teams which were

somewhat under represented in agricultural extension

knowledge and skills, but also to the non-technological culture

of groups who work with local communities. The remedy is in

identifying this possibility early and addressing it in both teamcomposition and orientation.


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ject Outputs

p://www.iisd.org/casl/ASALProjectDetails/RealOutputs.htm[08-09-2015 , Tuesday 01:14:33 AM]

Project Outputs:

Completed Outputs

The two primary outputs of this project were:

The analytical frameworkfor community adaptation

and sustainable livelihoods - This framework involves

an understanding of the interaction of science, local

knowledge, and policy in determining how communities

adapt to change in a sustainable manner. It is

presented in the introduction to IISD's CASL program.

Further testing and revision of the model for more

general application are currently underway.

The guidebook on participatory research for

sustainable livelihoods- This is a detailed guide,

based on our field experience on how to apply existing

participatory research tools and policy analyses to

adaptive strategies and sustainable livelihoods

projects. The guidebook will be useful to both

practitioners and researchers interested in conducting

work in this field. It is not a PRA/RRA type manual, but

rather a guide to using the integrated approach we

have developed, which brings together policy and

community initiatives. In the process of creating these

outputs, a number of other documents were prepared.

These included reports written by our collaborating

partners on the community-articulated adaptive

strategies and policies researched in each of the five

countries. Summaries of their findings have been

compiled into a working paper which may be of interestto other researchers working in these countries.

Work in Progress

Discussions on the development of popular forms of the

results for community use, to further test our

hypothesis of self empowerment of communities

through validation of their adaptive strategies and

knowledge systems and informing them of policy

issues.

Dissemination of outputs and presentation of findings to

major players such as UNDP, WB, etc.

Analysis of the outputs to identify possible genericprinciples and prepare an overall report on the project.

Community Sustainability -

Home

ASAL Project

Follow-up discussions have been initiated for possible

collaboration with specific groups such as UN Capital

Development Fund, UNSO, Regional Bureau for Africa,

Regional Bureau for Asia, Bureau for Policy and Program

Support, Technical Cooperation among Developing Countries

(TCDC) Units.

Discussions with the World Bank have led to an invitation to

present the project concept and results to an in-house

seminar in the Africa Division of the Bank. Discussions at this

meeting are likely to focus on the implications of the project

findings for:
http://www.iisd.org/casl/default.htmhttp://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/communities/http://www.iisd.org/communities/http://www.iisd.org/communities/http://www.iisd.org/communities/http://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/casl/CASLGuide/GuideBook-home.htmhttp://www.iisd.org/casl/default.htmhttp://www.iisd.org/default.htmhttp://www.iisd.org/casl/default.htm


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ject Outputs

p://www.iisd.org/casl/ASALProjectDetails/RealOutputs.htm[08-09-2015 , Tuesday 01:14:33 AM]

ASALs

Description

Outputs

Findings

Significance

Bibliography

policy making and policy-makers

project development and design

understanding the context of proposed development

interventions

development thinking related to agro-pastoralists in arid

and semi-arid lands in Africa

community empowerment


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ject findings

p://www.iisd.org/casl/ASALProjectDetails/ProjFindings.htm[08-09-2015 , Tuesday 01:14:40 AM]

ASAL Project

ASALs

Description

Outputs

Findings

Diversity among pastoral groupsKey stresses

Adaptive strategies

Policies which affect adaptive

strategies

Significance

Bibliography

Project findings

The documentation of adaptive strategies of people living in

arid and semi-arid land reveals that people have evolved

complex adaptive strategies to deal with their environments in

a sustainable way. Various pressures are forcing an everincreasing rate of change, necessitating the adoption of new

strategies for survival. Thus some of the adaptive strategies

identified are relatively new, while others have been passed

on from one generation to the next.

These findings are not surprising. It is clear that in searching

for insights into the promotion of sustainable livelihoods, the

adaptive strategies which need close inspection are the ones

which are entrenched in the traditional systems, because,

unlike the modern statutory systems, they tend to be explicit in

the norms and regulations which guide people in their

interaction with natural resources. The policy debate has yetto pay sufficient attention to the arrangements within

traditional systems which enable the development of adaptive

strategies which are attuned to the long-term survival of the

environment. The different support systems and decision-

making processes of the various groups of pastoralists need to

be taken into account to support lessons learned from local

adaptive strategies for policy, as well as for sustainable

livelihoods.


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versity among pastoral groups

p://www.iisd.org/casl/ASALProjectDetails/DivPastoral.htm[08-09-2015 , Tuesday 01:14:49 AM]

ASAL Project

ASALs

Description

Outputs

Findings

Diversity among pastoral groups

Key stresses

Adaptive strategies


strategies

Significance

Bibliography


The nine communities studied are all located in arid and semi-

arid regions (ASALs) of Sub-Saharan Africa. However, it is

important to note that while there are many similarities in the

types of stresses and adaptive strategies faced, there are alsosignificant differences which affect their livelihoods. The most

stark difference probably emanates from the fact that some of

the communities are completely sedentary, e.g., Mudzi in

Zimbabwe and Tshunelani in South Africa, while others are

migratory pastoralists, settling in their villages for part of the

year and moving with their herds as the seasons and

availability of water and grazing for their livestock demands.

Such is the case with the Afar and Boran in Ethiopia, and the

Maasai of Kenya. However, in general there is a movement

towards a more settled lifestyle. In some cases, such as in the

Mlambaphele Village case, only some members of the village

move with the livestock to alternative water sources as thewater near the village becomes insufficient to supply all

human and animal requirements.

The above is important in trying to extract insights, especially

for policy, because it underscores the fact that not all

pastoralists in Sub-Saharan Africa face the same kind of

lifestyle, and that indeed there is a certain dynamism in the

lives of inhabitants of the ASALs. There is clearly a need to

distinguish more among different types of pastoral

communities in designing policy intervention, rather than just

referring to a "homogenous" group of "African pastoralist", as

is often done in the literature.


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y stresses

p://www.iisd.org/casl/ASALProjectDetails/KeyStress.htm[08-09-2015 , Tuesday 01:14:56 AM]

ASAL Project

ASALs

Description

Outputs

Findings


Key stresses

Adaptive strategies


strategies

Significance

Bibliography

Key

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A Guide for Participatory Communication Research Methods (RRA, PRA & PAR)

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