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IPCCA
Indigenous Peoples Biocultural
Climate Change Assessment
Annex for
Methodological Toolkit
for Local Assessments
A methodological guide for implementing
Local Assessments under the IPCCA initiative
Stage 0:Communication and consensus
1IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 0 Description Information Resources
Task Introducing the IPCCA Project to Communities and Key Stakeholders
Methodology
Community Visits
Organizing and carrying out meetings within communities to inform the
population about an initiative, to consult with them and build trust and
understanding.
Methods
Briefing Workshop
Briefing workshops are simple, easy-to-organise working sessions held to
establish a project agenda or brief. Simultaneously they can:
• introduce people to the project;
• help establish the key issues;
• get people involved and motivated;
• identify useful talent and experience;
• identify the next steps needed.
Community
Planning.net
Participatory Presentation
This tool may help to break down the barrier between presenter and
audience, creating an open forum for sharing opinions. The group controls
the course of the presentation.
Participatory
Approaches: A
facilitators guide
Picture Stories
Illustrations of problems and solutions that can be prioritised or put in
sequence to tell a story. They can be used as an educational tool to inform,
but participation is increased when people can add to the drawings.
Participatory
Approaches: A
facilitators guide
Methodology
Participatory Development Communication
Participatory development communication is about encouraging community
participation with development initiatives through a strategic utilization of
various communication strategies.
Involving the
Community
Methods
Interpersonal Communication Tools
Discussion and debate, film or video sessions, role-plays, outsider visits,
learning tours.
Involving the
Community
Traditional Communication Tools
Theatre, song, music.
Involving the
Community
Mass Media Tools
Rural radio, local press, local television.
Involving the
Community
Stage 1: Identifying and Establishing a SteeringCommittee & Management Process
2IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 1 Description Information Resources
Task Identifying potential Steering Committee members
Methodology
Stakeholder Analysis
Ways of identifying key stakeholders, decision-makers, resource people and
key informants in the community and to analyse the relationships between
them.
Who’s in and Why?
Methods
Relationship Mapping
A quick and effective way of exploring perceptions on relationships among
and within stakeholder groups. Very useful to illuminate grievances or
conflicts that people may be uncomfortable to discuss verbally.
Enhancing stakeholder
participation
Scored Relationship Mapping
Used to understand how relationships affect tension within the community.
The Relationship Mapping tool can be used to show the various connections
between actors and groups, and track changes over time.
Mercy Corp Assessment
Tools Resource Base
Venn Diagram
To learn about the organizations and groups that are active in the community,
determine how they are perceived by their members, and understand how
they interact with one another.
80 Tools for
Participatory
Development
4 Rs Framework
A way of analyzing stakeholder roles and power relations by breaking them
down into four categories: rights, responsibilities, relationships,
revenues/returns.
Guide to Participatory
Tools for Forest
Communities
Who counts matrix
A simple, preliminary way to identify quickly the stakeholders who are most
important in the sustainable management of forests.
Guide to Participatory
Tools for Forest
Communities
Social Networks Analysis
Maps and measures formal and informal relationships to understand what
facilitates or impedes the knowledge flows that bind interacting Units.
Social Network Analysis
Sociogram
A diagram of social interaction between people or groups of people. A visual
representation of linkages.
Evaluating
Collaboratives
Livelihood Analysis
To understand income levels within the community, as well as the conditions
in which people have access to sources of income.
80 Tools for
Participatory
Development
Decision Analysis
Can quickly determine who or what institution is responsible for making
decisions on a number of issues, such as the use of certain resources. It can
play a crucial role in determining institutional arrangements and
responsibilities.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Stage 2:Baseline Development
3IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
Task
Gather information on the social make up of the community or
communities, based on a preliminary analysis of social groups and
networks.
Methodology Stakeholder Analysis (See Annex 1)
Methods
Relationship Mapping
A quick and effective way of exploring perceptions on relationships among
and within stakeholder groups. Very useful to illuminate grievances or
conflicts that people may be uncomfortable to discuss verbally.
Enhancing stakeholder
participation
Scored Relationship Mapping
Used to understand how relationships affect tension within the community.
The Relationship Mapping tool can be used to show the various connections
between actors and groups, and track changes over time.
Mercy Corp Assessment
Tools Resource Base
Venn Diagram
To learn about the organizations and groups that are active in the community,
determine how they are perceived by their members, and understand how
they interact with one another.
80 Tools for
Participatory
Development
4 Rs Framework
A way of analyzing stakeholder roles and power relations by breaking them
down into four categories: rights, responsibilities, relationships,
revenues/returns.
Guide to Participatory
Tools for Forest
Communities
Who counts matrix
A simple, preliminary way to identify quickly the stakeholders who are most
important in the sustainable management of forests.
Guide to Participatory
Tools for Forest
Communities
Social Networks Analysis
Maps and measures formal and informal relationships to understand what
facilitates or impedes the knowledge flows that bind interacting Units.
Social Network Analysis
Sociogram
A diagram of social interaction between people or groups of people. A visual
representation of linkages.
Evaluating
Collaboratives
Livelihood Analysis
To understand income levels within the community, as well as the conditions
in which people have access to sources of income.
80 Tools for
Participatory
Development
Decision Analysis
Can quickly determine who or what institution is responsible for making
decisions on a number of issues, such as the use of certain resources. It can
play a crucial role in determining institutional arrangements and
responsibilities.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
4IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
TaskGather general information on the community or communities including
the characteristics of the local biocultural system.
Methodology
Participatory Rural Appraisal
A set of tools and techniques used with households to gather and analyse
information on community resources, problems, potential and needs.
PRA Facilitator Manual
Methods
Semi-structured interviewing / Key Informants
Discussing the community with well informed people is a way of rapidly
obtaining relevant information to guide the project.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Maps and Mapping
Maps produced by the group to assist with planning, assessing change,
constructing community/institutional profiles, monitoring or evaluation.
Participatory
Approaches:
A facilitators guide
Seasonal Calendar
Calendars showing the distribution of activities, products, natural
phenomena or problems through the year are vital for identifying seasonal
variations which may not be immediately obvious to an external person
unfamiliar with the locality.
Participatory Rapid
Appraisal for
Community
Development
Transect walk
To conduct a field discussion on various items (topographical or otherwise)
found within the community’s sphere of influence, focusing on their uses,
the problems they entail, and their potential for development; and to
illustrate these features in a diagram.
Participatory Rapid
Appraisal for
Community
Development
Development Wheel
Used to present the situation of the community’s different development
aspects in the form of wheel.
Participatory Tools
Handbook
Time line
Identify significant changes in a community’s past that continue to influence
events and attitudes in the present. A timeline is a list of key events as the
participants remember them.
Participatory
Approaches:
A facilitators guide
Trend Analysis
Used to explore temporal dimensions with a focus on change of different
aspects in a community or an entire region. It captures changes and trends
related to certain variables over different spans of time.
Participatory Tools
Handbook
Historical narratives
Personal testimonies of past events and conditions usually presented and
documented in chronological order.
MSP Resource Portal
Historical Transect
Helps to identify successful and unsuccessful management systems so that
a new management system can avoid the same mistakes and promote the
positive aspects endorsed by the community.
Participatory Rural
Appraisal for
Community Forest
Management
Historical Mapping
Meet with the residents of the community who have lived there longest to
discuss how its natural resources have changed, in order to better
understand its current problems.
80 Tools for
Participatory
Development
Historical Graphing of Production Systems
To visually describe past changes in the production system with regard to
income sources, crop varieties, management practices, etc.
80 Tools for
Participatory
Development
5IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
Methodology
Gender Analysis
Focuses on understanding and documenting the differences in
Gender roles, activities, needs, and opportunities in a given context.
World Bank
Participation Source
Book
Methods
Gender-based farm map
To foster mutual learning on the different roles of gender in family farming,
using the farm map as a guide.
80 Tools for
Participatory
Development
Use of time
To foster mutual learning among men and women regarding the true
contribution of the latter to the family farm.
80 Tools for
Participatory
Development
Gender-based seasonal calendar
To create a production calendar which shows how responsibilities are
distributed by gender.
80 Tools for
Participatory
Development
Mobility map
Its main objective is to determine where each member of the family spends
his or her time outside the farm, in order to study roles and responsibilities
by gender.
80 Tools for
Participatory
Development
Benefit analysis
To determine who has access to the products of family labor, and how
decisions are made regarding those products. This allows for a more detailed
analysis of gender roles within the family.
80 Tools for
Participatory
Development
Methodology
Asset Based Community Development
According to the ABCD approach, community is built by focusing on people’s
gifts rather than their deficiencies. Simply put, this declares that if we want
to make communities stronger, we should study their assets, resources, and
talents.
What Are Asset-Based
Approaches to
Community
Development?
Community Asset Mapping
Refers to the process of creating an inventory of the skills, talents and
resources that exist within a community or neighbourhood.
Community Asset
Mapping Workbook
Task Gather local knowledge on climate, climate change and local impacts
Methodology
Participatory Climate Change Assessment
Approaches designed to help communities and planners understand the
likely local hazards and risks of climate change and look at the vulnerability
of their environment and livelihoods.
Community-based
adaptation to climate
change
MethodsClimatic Hazard Mapping
Map local climatic hazards and assess their risk.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Climatic Hazard Trend Analysis
Gain insight into past climatic hazards and identify trends in their nature,
intensity and impacts.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Climatic Hazard Ranking
Compare and prioritise the most critical local climatic hazards.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
6IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
Climate Timeline
Used to determine the main climate features that affect livelihoods and
discuss and diagram historical trends
Community-based
adaptation to climate
change
Rainfall Calendars
Designed to gather community perception of rainfall patterns, to
determine the parameters for good, average, and bad years in terms of
rainfall, and to provide a platform for discussing risk management
strategies to adapt to changing rainfall patterns.
Community-based
adaptation to climate
change
Livelihood Seasonal Monitoring Calendar
Documents through the year the important seasonal livelihood activities on
which communities depend. The concept is very similar to the seasonal
calendar.
Framework for
Community-Based
Climate Vulnerability
and Capacity
Assessment
Semi-structured interviews with Resource Persons
Used to obtain a greater depth of information on the implications of climate
and other changes on the lives of mountain people and on their capacity to
deal with these changes.
Framework for
Community-Based
Climate Vulnerability
and Capacity
Assessment
Seasonal Analysis
To portray seasonal variations in parameters and activities in community life.
80 Tools for
Participatory
Development
TaskGather information on local conceptions of climate, climate change,
adaptation and resilience and information on local inquiry methods.
Methodology Participatory Rural Appraisal (See Annex 2)
Community-based
adaptation to climate
change
Methods
Semi-structured interviewing / Key Informants
Discussing the community with well informed people is a way of rapidly
obtaining relevant information to guide the project.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Case studies
A case study is a description and analysis of a specific situation or issue from
a local perspective.
Participatory
Approaches: A
facilitators guide
Open Ended Stories
Open-Ended Stories have the beginning, middle or ending of a relevant story,
purposely left out. The audience discusses what might happen in the part of
the story that has been purposely omitted.
Participatory
Approaches: A
facilitators guide
Drawing and discussion
The Drawing and Discussion tool is most useful in a culture with a strong
visual tradition. It can be used to gauge individual perception of a situation
or develop a group analysis.
Participatory
Approaches: A
facilitators guide
7IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
Methodology
Dialogue Methodologies
Processes of people coming together to build mutual understanding and
trust across their differences, and to create positive outcomes through
conversation.
Democratic Dialogue
– A Handbook for
Practitioners
World Café
Enables groups of people to participate together in evolving rounds of
dialogue with three or four others while remaining part of a single, larger,
connected conversation.
Democratic Dialogue
– A Handbook for
Practitioners
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue
– A Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue
– A Handbook for
Practitioners
Story Dialogue
The process is structured so that valuable personal experiences are used to
draw out important themes and issues affecting the community, and then
action can be planned around these insights.
Democratic Dialogue
– A Handbook for
Practitioners
Narrative Research
An approach that seeks to emerge episodes that might illuminate a greater
whole and create insight into the qualities of an experience that is not easily
accessible through other analytical methods.
Story guide: Building
bridges using
narrative techniques
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream: the ‘other’
transforming knowledge
and wisdom
Graphic Facilitation and Information Design
Involves the work of a ‘graphic recorder’ who captures the essence of the
conversation on large sheets of paper, using colourful images and symbols
as well as words.
Democratic Dialogue
– A Handbook for
Practitioners
Rich Pictures
To make a pictorial representation of the elements that need to be
considered or are important to a particular (project) situation, including
stakeholders and issues, and the interactions and connections between
them.
MSP Resource Portal
8IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 2 Description Information Resources
Methodology
Appreciative Inquiry
Appreciative Inquiry (AI) encourages groups to inquire about, learn from,
and build on what is working when they are at their best, rather than
focusing on what’s gone wrong and fixing problems.
An Introduction to
Appreciative Inquiry
Methodology Cognitive Psychological Approaches & Mental Modelling
Mental Models
A visual tool that allows various stakeholders to depict how they understand
drivers and impacts of climatic changes.
Community-based
adaptation to climate
change
Structured Mental Model Approach
Combines the Sustainable Livelihood Framework with the Mental Model
Approach and consists of three steps: (i) definition and weighting of different
livelihood capitals; (ii) analysis of livelihood dynamics, and (iii) definition of
the social capital by means of agent networks.
Structured Mental
Model Approach for
Analyzing Perception of
Risks to Rural Livelihood
in Developing Countries
Cognitive Network Analysis & Cultural Modeling
A collection of methodologies for building cultural models. CNA includes
methods to:
• elicit the mental models of a sample of individuals within the population,
• analyze the mental models in terms of their culturally-shared elements
across individuals and consolidate the elements as cultural models, and
• represent the cultural models in accessible format for a variety of uses.
Cultural Network
Analysis: A Cognitive
Approach to Cultural
Modeling
Methodology System Methodologies
Methodologies
Soft Systems Methodology
Designed to shape interventions in the problematic situations encountered
in management, organisational and policy contexts, where there are often
no straightforward ‘problems’ or easy ‘solutions.’
Soft Systems
Methodology
Method
Rich Picturing
A means for the group to express its preliminary vision concerning a matter
of common concern.
Rich Pictures:
a means to explore
the ‘Sustainable
Group Mind’? -
Stage 3:Adapting the Conceptual Framework
Stage 3 Description Information Resources
Task Training and capacity building in the IPCCA Conceptual Framework.
Methodology Participatory Development Communication (See annex 1)
Community-based
adaptation to climate
change
Methods
Interpersonal Communication Tools
Discussion and debate, film or video sessions, role-plays, outsider visits,
learning tours.
Involving the
Community
Traditional Communication Tools
Theatre, song, music.
Involving the
Community
Mass Media Tools
Rural radio, local press, local television.
Involving the
Community
Methodology Participatory Training Methodology (See Annex 1)
Methods
Knowledge Based Learning Session
If the focus of learning is increasing knowledge then the methods used may
be lectures, field visits, demonstrations, self-study etc.
Participatory Training
Methodology and
Materials
Awareness Generating Sessions
If the focus of learning is to generate awareness then the methods used
would be role-plays, small group discussion, case studies, simulation, learning
games, structured exercises etc.
Participatory Training
Methodology and
Materials
SARAR
An education/training methodology for working with stakeholders at
different levels to engage their creative capacities in planning, problem
solving and evaluation.
World Bank Website
Cascade/Echo Workshop
A process of ‘cascade learning’, in which participants in any participatory
workshop can be trained as local facilitators.
Participatory
Approaches: A
facilitators guide
Methodology Dialogue Methodologies (See Annex 2)
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream: the ‘other’
transforming knowledge
and wisdom
Task
Adapting the IPCCA Conceptual Framework by learning about and engaging
with local holistic frameworks that translate the generic concepts for local
meaning.
Methodology Participatory Rural Appraisal (See Annex 2)
Methods
Semi-structured interviewing / Key Informants
Discussing the community with well informed people is a way of rapidly
obtaining relevant information to guide the project.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
9Asociación Andes
Annex Toolkit
10IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 3 Description Information Resources
Synthesis brainstorming
A simple but effective way of democratically capturing the collective views
of a stakeholder group. Has many purposes. For example, as a preparatory
step before a debate, allowing separate stakeholder groups to clarify their
position statements before presenting them to the multi-stakeholder group.
Enhancing stakeholder
participation
Methodology Dialogue Methodologies (See Annex 2)
Method
World Café
Enables groups of people to participate together in evolving rounds of
dialogue with three or four others while remaining part of a single, larger,
connected conversation.
Democratic Dialogue – A
Handbook for
Practitioners
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue – A
Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue – A
Handbook for
Practitioners
Story Dialogue
The process is structured so that valuable personal experiences are used to
draw out important themes and issues affecting the community, and then
action can be planned around these insights.
Democratic Dialogue – A
Handbook for
Practitioners
Narrative Research
An approach that seeks to emerge episodes that might illuminate a greater
whole and create insight into the qualities of an experience that is not easily
accessible through other analytical methods.
Story guide: Building
bridges using
narrative techniques
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream: the ‘other’
transforming knowledge
and wisdom
Expert Panel (e.g. Elders)
Synthesizing a variety of inputs – testimony, research reports, outputs of
forecasting methods, etc. – and produce a report that provides a vision
and/or recommendations for future possibilities and needs for the topics
under analysis.
Participatory Methods
Tool Kit
11IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 3 Description Information Resources
Task Developing a symbolic representation of the local conceptual framework.
Methodology Mixed Methodologies
Methods
Drawing and discussion
The Drawing and Discussion tool is most useful in a culture with a strong
visual tradition. It can be used to gauge individual perception of a situation
or develop a group analysis.
Participatory
Approaches: A
facilitators guide
Graphic Facilitation and Information Design
Involves the work of a ‘graphic recorder’ who captures the essence of the
conversation on large sheets of paper, using colourful images and symbols
as well as words.
Democratic Dialogue – A
Handbook for
Practitioners
Rich Pictures
To make a pictorial representation of the elements that need to be
considered or are important to a particular (project) situation, including
stakeholders and issues, and the interactions and connections between
them.
MSP Resource Portal
Image Theatre
Allows people to articulate and represent their thoughts on a topic in an
active and visual way by constructing physical sculptures and tableaux.
80 Tools for
Participatory
Development
Methodology Cognitive Psychological Approaches & Mental Modelling
Mental Models
A visual tool that allows various stakeholders to depict how they understand
drivers and impacts of climatic changes.
Community-based
adaptation to climate
change
Structured Mental Model Approach
Combines the Sustainable Livelihood Framework with the Mental Model
Approach and consists of three steps:
(i) definition and weighting of different livelihood capitals;
(ii) analysis of livelihood dynamics, and
(iii) definition of the social capital by means of agent networks.
Structured Mental
Model Approach for
Analyzing Perception of
Risks to Rural Livelihood
in Developing Countries
Cognitive Network Analysis & Cultural Modeling
A collection of methodologies for building cultural models. CNA includes
methods to:
• elicit the mental models of a sample of individuals within the population,
• analyze the mental models in terms of their culturally-shared elements
across individuals and consolidate the elements as cultural models, and
• represent the cultural models in accessible format for a variety of uses.
Cultural Network
Analysis: A Cognitive
Approach to Cultural
Modeling
Methodology System Methodologies
Methodologies
Soft Systems Methodology
Designed to shape interventions in the problematic situations encountered
in management, organisational and policy contexts, where there are often
no straightforward ‘problems’ or easy ‘solutions.’
Soft Systems
Methodology
Method
Rich Picturing
A means for the group to express its preliminary vision concerning a matter
of common concern.
Rich Pictures:
a means to explore
the ‘Sustainable
Group Mind’? -
Stage 4: Designing the Local Assessment: Defining the Scopeand Outputs, and Developing and Testing Methodology
12IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 4 Description Information Resources
TaskCommunicating the Practical Limits and Scope of the IPCCA & LA to the
Community
Methodology Community Visits (See Annex 1)
Methods
Briefing Workshop
Briefing workshops are simple, easy-to-organise working sessions held to
establish a project agenda or brief. Simultaneously they can:
• introduce people to the project;
• help establish the key issues;
• get people involved and motivated;
• identify useful talent and experience;
• identify the next steps needed.
Participatory
Approaches: A
facilitators guide
Methodology Participatory Development Communication (See Annex 1)
Methods
Interpersonal Communication Tools
Discussion and debate, film or video sessions, role-plays, outsider visits,
learning tours.
Involving the
Community
Traditional Communication Tools
Theatre, song, music.
Involving the
Community
Mass Media Tools
Rural radio, local press, local television.
Involving the
Community
Methodology
Logical Framework Methodology
The Logical Framework Approach (LFA) is an analytical, presentational and
management tool which can help planners and managers to:
• analyse the existing situation during project preparation;
• establish a logical hierarchy of means by which objectives will be reached;
• identify some of the potential risks;
• establish how outputs and outcomes might best be monitored and
evaluated; and
• present a summary of the project in a standard format.
MSP Resource Portal
Methods
HIPPOPOC Table
Facilitates the identification of the components of an intervention, offering
a schematic representation of inputs, processes, outputs and outcomes.
More important, it distinguishes among different levels of project objectives.
Comprehensive
Participatory Planning
Evaluation
Task Defining the local Bio-Cultural System
Methodology
Presentation and discussion of baseline information for example:
• Participatory maps
• Social network/Relationship/Institutional mapping and diagrams.
• Local histories, stories and narratives.
Methods
ORID Conversation method
A structured list of questions, that takes a group on a journey of
consciousness and learning. This method is useful for reflecting on
experiences such as a film, a project site visit, a planning session, a work day
or any common or extraordinary life event.
STEPS & METHODS
TO MOBILIZE THE
COMMUNITY
13IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 4 Description Information Resources
Task Community selection of objectives and scope for the local assessment.
Methodology Logical Framework Methodology (See Annex 3)
Methods
Problem Tree
Identify the main problems and establish the cause and effect relationships
between these problems so that these are sufficiently addressed in a project
design.
80 Tools for
Participatory
Development
Objectives Tree
An objectives tree is a hierarchical flowchart of objectives. Within the Logical
Framework Approach, this is the positive opposite of the problem tree.
80 Tools for
Participatory
Development
Objectives Hierarchy
An objectives hierarchy is a hierarchic list starting with the overall goal of a
project and moving down in levels to (component) purposes or outcomes,
outputs and specific activities.
Participatory
Approaches: A
facilitators guide
Cause and Effect Mapping
To understand the contributing causes or reasons for a particular problem
or issue, or to identify effects or impacts of a particular change.
Participatory Rapid
Appraisal for
Community
Development
Logframe
A logical framework (logframe) is a matrix that summarizes what a project
intends to do and how, what the key assumptions are, and how outputs and
outcomes will be monitored and evaluated.
Participatory Rapid
Appraisal for
Community
Development
Methodology Participatory Rural Appraisal (See Annex 2)
Nominal Group Technique
To enable a group to quickly develop a ranked list of problems, issues or
actions.
MSP Resource Portal
Synthesis brainstorming
A simple but effective way of democratically capturing the collective views
of a stakeholder group. Has many purposes. For example, as a preparatory
step before a debate, allowing separate stakeholder groups to clarify their
position statements before presenting them to the multi-stakeholder group.
Enhancing stakeholder
participation
Needs Assessment
Provides the means to identify principal constraints and to elicit
opportunities for project intervention based on community preferences.
PACA: Using
Participatory Analysis
for Community Action
Ranking Tools
Common tools exercised to prioritise activities.
Participatory Tools
Handbook
Ten Seeds Technique
The use of ten counters to represent relative amounts or preferences
Participatory
Approaches: A
facilitators guide
SWOT/SWOL
An excellent assessment framework ideal for both the Analysis and M&E
phase
Participatory Tools
Handbook
14IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 4 Description Information Resources
Flow Diagramming and Webbing
Method of problem analysis illustrates relationships between situations,
problems, and their causal relationships on a flow diagram, or web, of inter-
connected text blocks or sketches.
Participatory
Approaches: A
facilitators guide
Historical Mapping
Meet with the residents of the community who have lived there longest to
discuss how its natural resources have changed, in order to better
understand its current problems.
80 Tools for
Participatory
Development
Historical Graphing of Production Systems
To visually describe past changes in the production system with regard to
income sources, crop varieties, management practices, etc.
80 Tools for
Participatory
Development
Methodology Dialogue Methodologies (See Annex 2)
Methods
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue
– A Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue
– A Handbook for
Practitioners
Discourse Based Valuation
A public debate where small groups of citizens openly discuss economic and
social values. The process is public; therefore the discussion tends to revolve
around maximizing the public good instead of benefiting individuals.
Guide to Participatory
Tools for Forest
Communities
Charette
An intensive face-to-face process designed to bring people from various sub-
groups of society into consensus within a short period of time.
Participatory Methods
Tool Kit
Consensus Conference
Consensus conference is a public enquiry centred around a group of
laypeople who put their questions and concerns to a panel of experts, assess
the experts’ answers and then negotiate among themselves.
Participatory Methods
Tool Kit
Citizen Choicework
Based on a deep respect for the public’s capacity to address issues when
circumstances support, rather than thwart, dialogue and deliberation. This
process is based on a commitment to helping citizens—individually and
collectively—confront tough choices in productive ways.
Democratic Dialogue
– A Handbook for
Practitioners
Citizen Deliberative Councils
Convened on an ad hoc basis to serve as a microcosm of a community, state
or country and report on the views and concerns of that community, state
or country in an interactive setting.
Democratic Dialogue
– A Handbook for
Practitioners
15IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 4 Description Information Resources
Task Develop the Local Assessment methodology
Methodology
Collaborative Research Approaches
Defined as researchers working together to achieve the common goal of
producing new scientific knowledge. The focus is on empowering local
people to take charge of the research process, and this empowerment may
be achieved via numerous methods that should be determined by the details
of the population and project at hand.
Collaborative Research:
an "indigenous lens"
perspective
Methodologies
Community Based Participatory Research
A collaborative approach to research that equitably involves all partners in
the research process and recognizes the unique strengths that each brings.
Developing and
sustaining community
based participatory
research
Action Research / Participatory Action Research
Action Research is a participatory process in which researchers work
collaboratively with participants (organisations, families, communities) to
plan, implement and evaluate evidence-informed actions that address issues
they have identified.
Katoa Website
Cooperative Inquiry
In traditional research on people, the roles of researcher and subject are
mutually exclusive. In co-operative inquiry these exclusive roles are replaced
by a co-operative relationship of bilateral initiative and control, so that all
those involved work together as co-researchers and as co-subjects. They
design, manage and draw conclusions from the inquiry, and they undergo
the experience and action that is being explored.
Doing Cooperative
Inquiry
Appreciative Inquiry
Appreciative Inquiry (AI) encourages groups to inquire about, learn from,
and build on what is working when they are at their best, rather than
focusing on what’s gone wrong and fixing problems.
An Introduction to
Appreciative Inquiry
Methodology System Methodologies
Methodologies
Soft Systems Methodology
Designed to shape interventions in the problematic situations encountered
in management, organisational and policy contexts, where there are often
no straightforward ‘problems’ or easy ‘solutions.’
Soft Systems
Methodology
Stage 5:Assessing Conditions and Trends Using Indigenous Inquiry
16IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Task Identify and select Local Assessment facilitation team members.
Methodology Stakeholder Analysis (See Annex 1)
Methods
Relationship Mapping
A quick and effective way of exploring perceptions on relationships among
and within stakeholder groups. Very useful to illuminate grievances or
conflicts that people may be uncomfortable to discuss verbally.
Enhancing stakeholder
participation
Scored Relationship Mapping
Used to understand how relationships affect tension within the community.
The Relationship Mapping tool can be used to show the various connections
between actors and groups, and track changes over time.
Mercy Corp Assessment
Tools Resource Base
Venn Diagram
To learn about the organizations and groups that are active in the community,
determine how they are perceived by their members, and understand how
they interact with one another.
80 Tools for
Participatory
Development
4 Rs Framework
A way of analyzing stakeholder roles and power relations by breaking them
down into four categories: rights, responsibilities, relationships,
revenues/returns.
Guide to Participatory
Tools for Forest
Communities
Who counts matrix
A simple, preliminary way to identify quickly the stakeholders who are most
important in the sustainable management of forests.
Guide to Participatory
Tools for Forest
Communities
Social Networks Analysis
Maps and measures formal and informal relationships to understand what
facilitates or impedes the knowledge flows that bind interacting Units.
Social Network Analysis
Sociogram
A diagram of social interaction between people or groups of people. A visual
representation of linkages.
Evaluating
Collaboratives
Decision Analysis
Can quickly determine who or what institution is responsible for making
decisions on a number of issues, such as the use of certain resources. It can
play a crucial role in determining institutional arrangements and
responsibilities.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Task Training and capacity building for the Local Assessment facilitation team
Methodology Participatory Training Methodology (See Annex 1)
Knowledge Based Learning Session
If the focus of learning is increasing knowledge then the methods used may
be lectures, field visits, demonstrations, self-study etc.
Participatory Training
Methodology and
Materials
17IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Awareness Generating Sessions
If the focus of learning is to generate awareness then the methods used
would be role-plays, small group discussion, case studies, simulation, learning
games, structured exercises etc.
Participatory Training
Methodology and
Materials
SARAR
An education/training methodology for working with stakeholders at
different levels to engage their creative capacities in planning, problem
solving and evaluation.
World Bank Website
Cascade/Echo Workshop
A process of ‘cascade learning’, in which participants in any participatory
workshop can be trained as local facilitators.
Participatory
Approaches: A
facilitators guide
Task Determining Bio-Cultural and Community Indicators
Methodology Mixed methodologies
Bio-cultural diversity indicators
Begins with an analysis of the driving forces that exert pressure on the state
of the natural and cultural environment and ends with an assessment of
resulting impacts and possible policy responses.
Measuring and
Monitoring State and
Trends in Biodiversity
and Culture
Barometer of Sustainability
Enables users to organize and combine indicators, and to draw broad
conclusions from often confusing and contradictory signals about people,
the ecosystem, and the effects of interactions between the two.
New Tools and Methods
of Assessment for
Determining Progress
Towards Sustainability
Questions of Survival
A set of questions intended as a starting point for reflecting on human and
ecological well-being.
New Tools and Methods
of Assessment for
Determining Progress
Towards Sustainability
Community-based Indicators
A guide to developing indicators that enable communities to assess their
own strategies for sustainability.
New Tools and Methods
of Assessment for
Determining Progress
Towards Sustainability
Community Indicators
Tools for simplifying, measuring and drawing attention to important issues.
Local people decide together what is important to them and agree how best
to measure whether things are getting better or worse.
Participation Works!
Follow-up Indicator Matrix
A matrix showing the indicators to be used in monitoring or following up on
the project.
80 Tools for
Participatory
Development
TaskConducting the Local Assessment (Tools for complementing the local
inquiry methodology)
Methodology Participatory Rural Appraisal (See Annex 2)
Methods
Semi-structured interviewing / Key Informants
Discussing the community with well informed people is a way of rapidly
obtaining relevant information to guide the project.
80 Tools for
Participatory
Development
18IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Maps and Mapping
Maps produced by the group to assist with planning, assessing change,
constructing community/institutional profiles, monitoring or evaluation.
Participatory
Approaches: A
facilitators guide
Seasonal Calendar
Calendars showing the distribution of activities, products, natural
phenomena or problems through the year are vital for identifying seasonal
variations which may not be immediately obvious to an external person
unfamiliar with the locality.
Participatory Rapid
Appraisal for
Community
Development
Transect walk
To conduct a field discussion on various items (topographical or otherwise)
found within the community’s sphere of influence, focusing on their uses,
the problems they entail, and their potential for development; and to
illustrate these features in a diagram.
Participatory Rapid
Appraisal for
Community
Development
Development Wheel
Used to present the situation of the community’s different development
aspects in the form of wheel.
Participatory Tools
Handbook
Methodology Gender Analysis (See Annex 2)
Methods
Gender-based farm map
To foster mutual learning on the different roles of gender in family farming,
using the farm map as a guide.
80 Tools for
Participatory
Development
Use of time
To foster mutual learning among men and women regarding the true
contribution of the latter to the family farm.
80 Tools for
Participatory
Development
Gender-based seasonal calendar
To create a production calendar which shows how responsibilities are
distributed by gender.
80 Tools for
Participatory
Development
Mobility map
Its main objective is to determine where each member of the family spends
his or her time outside the farm, in order to study roles and responsibilities
by gender.
80 Tools for
Participatory
Development
Benefit analysis
To determine who has access to the products of family labor, and how
decisions are made regarding those products. This allows for a more detailed
analysis of gender roles within the family.
80 Tools for
Participatory
Development
Time line
Identify significant changes in a community’s past that continue to influence
events and attitudes in the present. A timeline is a list of key events as the
participants remember them.
Participatory
Approaches: A
facilitators guide
19IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Trend Analysis
Used to explore temporal dimensions with a focus on change of different
aspects in a community or an entire region. It captures changes and trends
related to certain variables over different spans of time.
Participatory Tools
Handbook
Historical narratives
Personal testimonies of past events and conditions usually presented and
documented in chronological order.
MSP Resource Portal
Historical Transect
Helps to identify successful and unsuccessful management systems so that
a new management system can avoid the same mistakes and promote the
positive aspects endorsed by the community.
Participatory Rural
Appraisal for
Community Forest
Management
Historical Mapping
Meet with the residents of the community who have lived there longest to
discuss how its natural resources have changed, in order to better
understand its current problems.
80 Tools for
Participatory
Development
Historical Graphing of Production Systems
To visually describe past changes in the production system with regard to
income sources, crop varieties, management practices, etc.
80 Tools for
Participatory
Development
Methodology Asset Based Community Development (See Annex 2)
Method
Community Asset Mapping
Refers to the process of creating an inventory of the skills, talents and
resources that exist within a community or neighbourhood.
Community Asset
Mapping Workbook
Methodology Dialogue Methodologies (See Annex 2)
Method
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue
– A Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue
– A Handbook for
Practitioners
Story Dialogue
The process is structured so that valuable personal experiences are used to
draw out important themes and issues affecting the community, and then
action can be planned around these insights.
Democratic Dialogue
– A Handbook for
Practitioners
Narrative Research
An approach that seeks to emerge episodes that might illuminate a greater
whole and create insight into the qualities of an experience that is not easily
accessible through other analytical methods.
Story guide:
Building bridges using
narrative techniques
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream:
the ‘other’ transforming
knowledge and wisdom
20IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Graphic Facilitation and Information Design
Involves the work of a ‘graphic recorder’ who captures the essence of the
conversation on large sheets of paper, using colourful images and symbols
as well as words.
Democratic Dialogue
– A Handbook for
Practitioners
Rich Pictures
To make a pictorial representation of the elements that need to be
considered or are important to a particular (project) situation, including
stakeholders and issues, and the interactions and connections between
them.
MSP Resource Portal
Methodology Participatory Climate Change Assessment (See Annex 2)
MethodsClimatic Hazard Mapping
Map local climatic hazards and assess their risk.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Climatic Hazard Trend Analysis
Gain insight into past climatic hazards and identify trends in their nature,
intensity and impacts.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Climatic Hazard Ranking
Compare and prioritise the most critical local climatic hazards.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Climatic Hazard Impact Assessment
Identify the most likely impacts of local climatic hazards.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Assessing Climatic Hazard Impacts on Livelihoods
Compare and contrast the impacts of major climatic hazards on livelihoods
of the community.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Methodology
Vulnerability Assessment Methodologies
Differentiate vulnerability to climatic hazards across different sectors and
social groups.
Social Vulnerability,
Sustainable Livelihoods
and Disasters
Methodologies
Participatory Vulnerability Analysis
A systematic process that involves communities and other stakeholders in
an in-depth examination of their vulnerability, and at the same time
empowers or motivates them to take appropriate actions.
Participatory
Vulnerability Analysis
Participatory Climate Change Assessment
Approaches designed to help communities and planners understand the
likely local hazards and risks of climate change and look at the vulnerability
of their environment and livelihoods.
Community-based
adaptation to climate
change
Participatory Climate Risk Vulnerability & Capacity Assessment
A methodology that incorporates Climate risk into commonly used
Vulnerable and Capacity Assessment. PCR-VCA set of tools are broadly
categorised under three different themes.
1) Assessing the community’s overall risk context;
2) Assessing livelihood assets base;
3) Assessing the enabling environment.
fields tools @
participation
21IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 5 Description Information Resources
Capacities & Vulnerabilities Analysis
Based on a simple matrix for viewing people’s vulnerabilities and capacities
in three broad, interrelated areas: physical/material, social/organisational
and motivational/attitudinal.
Social Vulnerability,
Sustainable Livelihoods
and Disasters
Household Livelihood Security
Intended to be holistic and multi-disciplinary, and use a systems approach
which recognises that poor people ‘live and interact within broader
socioeconomic and sociopolitical systems that influence resource production
and allocation decisions.
Social Vulnerability,
Sustainable Livelihoods
and Disasters
Vulnerability & Capacity Assessment
A participatory investigative process designed to assess the risks that people
face in their locality, their vulnerability to those risks, and the capacities they
possess to cope with a hazard and recover from it when it strikes.
VCA Tool Box
Vulnerability & Resilience Assessment
Resilience and vulnerability assessment is one aspect of community profiling
and local emergency management planning. These guidelines offer some
alternative, but not exclusive, perspectives on evaluating, understanding and
managing resilience and vulnerability
Assessing Resilience &
Vulnerability: Principles,
Strategies & Actions
Vulnerability & Risk AssessmentVulnerability and Risk
Assessment
MethodsLivelihood Resources Assessment
Identify and categorise local livelihood assets and resources.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Livelihood Resource Vulnerability Assessment
Assess the intensity of impact of climatic hazards on livelihood resources.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Vulnerability Assessment
Differentiate vulnerability to climatic hazards across different sectors and
social groups.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Vulnerability Matrix
Gain an overview and quantify climatic hazard risk and resilience capacity of
local communities.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Social Vulnerability Mapping
Mapping Exposure to climate hazards: physical, ecological mapping of
different risks and potential hazards.
Mapping Vulnerability:
Concepts, Narratives
and Numbers
MethodologyOver-arching or guiding methodologies for the entire Local Assessment
process
Community Based Adaptation
An innovative approach that focuses on enabling communities to enhance
their own adaptive capacity, and empowering vulnerable communities to
increase their own resilience to the impacts of climate change.
field tools @
participation
Adaptive Social Protection
Combines key elements of social protection (SP), disaster risk reduction (DRR)
and climate change adaptation (CAA) approaches as a means to promote
climate-resilient rural livelihoods in policy and practice in developing
countries.
field tools @
participation
22IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 6 Description Information Resources
Task Conducting futuring activities.
Methodology
Scenario Development Methodologies
Stories about the future that creatively answer the question “What if?...”
using local understanding of climate change trends combined with technical
information, to build narratives that allow discussion of potential impacts
and adaptation strategies.
Methods
Scenarios
A participatory planning and strategy tool for envisioning possible future
outcomes.
Guide to Participatory
Tools for Forest
Communities
Scenario-building Exercise
Scenarios are narrative descriptions of potential futures that focus attention
on relationships between events and decision points.
Participatory Methods
Toolkit
Scenario Planning
This technique is meant to identify and stimulate analysis around alternative
(hypothetical) futures as a way of short circuiting biased and entrenched
views of the world and prepare for developments which could not be
anticipated by simply extrapolating from past trends.
Participatory Tools
Handbook
Participatory Scenario Development
A process that involves the participation of stakeholders to explore the future
in a creative and relevant way.
Community-based
adaptation to climate
change
Task Conducting forecasting activities
Methodology
Forecasting Methodologies
Forecasting or projection methods use information on past trends to forecast
into the future. The methodology tends to use data that already exists on
historical trends.
Methods
SNN Community Based Adaptation
This method adopts a community based approach to dealing with the
reduction of poverty. It is carried out through participatory needs assessment
to identify countries’ most vulnerable regions to the impact of climate
change.
field tools @
participation
Participatory multi-scale scenario approach
The participatory multi-scale scenario approach is structured into three main
steps: synthesizing global scenarios of climate change (Step 1); downscaling
global climate change scenarios (Step 2); and visualizing local climate change
scenarios (Step 3).
field tools @
participation
Task Conducting forecasting activities
Methodology
Visioning Methodologies
Visioning is a powerful tool that supports the empowerment of communities
in deciding how to shape their own future. A collective vision emerges out
of discussion in a forum where all can discussion their hopes and
expectations of the future.
Methods
Visioning & Pathways
Visioning and Pathways are creative tools to develop a long-term group vision
and strategies to reach that vision. During Visioning exercises, participants
think about their ideal future, discuss the possibilities, and come to a
consensus.
Guide to Participatory
Tools for Forest
Communities
Stage 6:Conducting Futuring Activities
23IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 6 Description Information Resources
Enspirited Envisioning
Where people listen to the voice of their spirit and share their vision with
others to discover which parts fit together and support each other.
Participation Works!
Guided visualization
A tool that encourages a mental trip into the future, unconstrained by what
is in place in the present. Engaging in a deliberately imaginative exercise helps
people to overcome their daily preoccupation with personal and short-term
interests.
Participatory
Approaches: A
facilitators guide
Future Search
A Future Search conference is a way for a community or organisation to
create a shared vision for its future. It enrols a large group of stakeholders,
selected because they have power or information on the topic at hand or
are affected by the outcomes.
Participation Works!
Interactive Backcasting
An exercise in which stakeholders choose one or several future images(s) as
the starting point for the analysis and, subsequently working backwards to
the present situation, explore which interventions are needed to realize this
future.
A dialogue approach to
enhance learning for
Sustainability
Methodology Appreciative Inquiry (See Annex 2)
Methods
Dream
Participants imagine their desired future and give it shape. A dream may be
in form of a written vision of the future, or it may be expressed in artwork,
songs, poetry, stories, dance, celebrations, and skits. Commonly both written
and artistic or action modes are used to express the dream.
Indigenous Peoples’
Poverty Alleviation
Community Action Tool
Imagine
Understands and appreciates the best of the past as a basis for imagining
what might be, and then creating it.
Participation Works!
Community Visioning
A capacity building process that identifies and builds collective capacity and
competence of local communities through dialogue that creates positive
images and leads to commitment to action.
The Power of Visioning
Stage 7:Developing Adaptation Response Strategies
24IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
TaskAnalysis of responses - local/external forms of adaptation to climate and
climate change.
Methodology Participatory Rural Appraisal
Methods
Semi-structured interviewing / Key Informants
Discussing the community with well informed people is a way of rapidly
obtaining relevant information to guide the project.
80 Tools for
Participatory
Development
Focus Group Discussions
To rapidly obtain relevant information, working with a small group of people
directly involved in the issue at hand. This is a group application of the semi-
structured dialogue technique.
80 Tools for
Participatory
Development
Case studies
A case study is a description and analysis of a specific situation or issue from
a local perspective.
Participatory
Approaches: A
facilitators guide
Local Solutions
A group exercise to investigate local solutions to a problem, list and explain
the strengths and weaknesses, and investigate how development workers
or other partners could support the solution.
Participatory
Approaches: A
facilitators guide
Identification of local or imported solutions
To enable people to identify, with the help of facilitators, what solutions for
each problem considered have been tried locally, and if none have, what
solutions might be imported or validated.
80 Tools for
Participatory
Development
Discourse Based Valuation
A public debate where small groups of citizens openly discuss economic and
social values.
Guide to Participatory
Tools for Forest
Communities
ORID Conversation method
A structured list of questions, that takes a group on a journey of
consciousness and learning. This method is useful for reflecting on
experiences such as a film, a project site visit, a planning session, a work day
or any common or extraordinary life event.
STEPS & METHODS
TO MOBILIZE THE
COMMUNITY
Methodology Participatory Climate Change Assessment (See Annex 2)
Coping and Adaptation Strategies Assessment
Identify and assess the effectiveness of the current coping mechanisms
practiced by communities to secure and improve their livelihoods and
conserve ecosystem bio-diversity in the context of climate change.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
Assessing the Effectiveness of Coping and Adaptation Strategies
Analyse effectiveness of existing coping and adaptation strategies against the
severity of climatic hazards.
Participatory Tools and
Techniques for Assessing
Climate Change Impacts
25IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Methodology Dialogue Methodologies (See Annex 2)
Method
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue – A
Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue – A
Handbook for
Practitioners
Story Dialogue
The process is structured so that valuable personal experiences are used to
draw out important themes and issues affecting the community, and then
action can be planned around these insights.
Democratic Dialogue – A
Handbook for
Practitioners
Narrative Research
An approach that seeks to emerge episodes that might illuminate a greater
whole and create insight into the qualities of an experience that is not easily
accessible through other analytical methods.
Story guide: Building
bridges using narrative
techniques
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream: the ‘other’
transforming knowledge
and wisdom
Task Designing different adaptation strategies
Methodology Logical Framework Methodology (See Annex 4)
Methods
Problem Tree
Identify the main problems and establish the cause and effect relationships
between these problems so that these are sufficiently addressed in a project
design.
80 Tools for
Participatory
Development
Objectives Tree
An objectives tree is a hierarchical flowchart of objectives. Within the Logical
Framework Approach, this is the positive opposite of the problem tree.
80 Tools for
Participatory
Development
Objectives Hierarchy
An objectives hierarchy is a hierarchic list starting with the overall goal of a
project and moving down in levels to (component) purposes or outcomes,
outputs and specific activities.
Participatory
Approaches: A
facilitators guide
Cause and Effect Mapping
To understand the contributing causes or reasons for a particular problem
or issue, or to identify effects or impacts of a particular change.
Participatory Rapid
Appraisal for
Community
Development
26IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Methodology Dialogue Methodologies (See Annex 2)
Logframe
A logical framework (logframe) is a matrix that summarizes what a project
intends to do and how, what the key assumptions are, and how outputs and
outcomes will be monitored and evaluated.
Participatory Rapid
Appraisal for
Community
Development
Relevance Tree
An analytic technique that subdivides a broad topic into increasingly smaller
subtopics. The output is a pictorial representation with a hierarchical
structure that shows how a given topic can be subdivided into increasingly
finer levels of detail.
RELEVANCE TREE AND
MORPHOLOGICAL
ANALYSIS
Methodology Participatory Rural Appraisal (See Annex 2)
Methods
Delphi technique
Grouping, sorting and ranking ideas, issues or questions. MSP Resource Portal
Synthesis brainstorming
A simple but effective way of democratically capturing the collective views
of a stakeholder group. Has many purposes. For example, as a preparatory
step before a debate, allowing separate stakeholder groups to clarify their
position statements before presenting them to the multi-stakeholder group.
Enhancing stakeholder
participation
SWOT/SWOL
An excellent assessment framework ideal for both the Analysis and M&E
phase.
Participatory Tools
Handbook
Bridge Model
The Bridge is a tool for visioning and planning, helping people to identify
where they are, where they want to be, and how to bridge the gap between
the two.
Participatory
Approaches: A
facilitators guide
Visioning & Pathways
Visioning and Pathways are creative tools to develop a long-term group vision
and strategies to reach that vision. During Visioning exercises, participants
think about their ideal future, discuss the possibilities, and come to a
consensus.
Guide to Participatory
Tools for Forest
Communities
Methodology Dialogue Methodologies (See Annex 2)
Method
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue – A
Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue – A
Handbook for
Practitioners
27IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Story Dialogue
The process is structured so that valuable personal experiences are used to
draw out important themes and issues affecting the community, and then
action can be planned around these insights.
Democratic Dialogue
– A Handbook for
Practitioners
Narrative Research
An approach that seeks to emerge episodes that might illuminate a greater
whole and create insight into the qualities of an experience that is not easily
accessible through other analytical methods.
Story guide: Building
bridges using
narrative techniques
Study Circles
Study circles create small group democracy that facilitates the qualities of
equal participation, deliberation, knowledge that informs standpoints,
recognition of diverse identities, horizontal relationships, internal democratic
decision-making and action to inform society.
From the Margins to the
Mainstream: the ‘other’
transforming knowledge
and wisdom
Open Ended Stories
Open-Ended Stories have the beginning, middle or ending of a relevant story,
purposely left out. The audience discusses what might happen in the part of
the story that has been purposely omitted.
Participatory
Approaches: A
facilitators guide
From Vision to Action
This is a workshop, ideally taking six hours, but fitting comfortably into three.
There are three stages:
1. The long-term vision
2. How did we get there?
3. Getting started
Participation Works!
Change Lab
Multi-stakeholder dialogic change process designed to generate the shared
commitment and collective insight needed to produce breakthrough
solutions to complex social problems.
Democratic Dialogue
– A Handbook for
Practitioners
Methodology Appreciative Inquiry (See Annex 2)
Method
Community Visioning
A capacity building process that identifies and builds collective capacity and
competence of local communities through dialogue that creates positive
images and leads to commitment to action.
The Power of Visioning
Dream
Participants imagine their desired future and give it shape. A dream may be
in form of a written vision of the future, or it may be expressed in artwork,
songs, poetry, stories, dance, celebrations, and skits. Commonly both written
and artistic or action modes are used to express the dream.
Indigenous Peoples’
Poverty Alleviation
Community Action Tool
Design
Working toward the direction implied in the Dream, the group begins to
define the values, ideals, and methods of change and growth that will achieve
these dreams. These are written in the form of provocative Propositions—
bold statements written in the present tense that challenge the group to give
form to its dreams.
Indigenous Peoples’
Poverty Alleviation
Community Action Tool
28IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Task Selecting an adaption strategy
Methodology Participatory Rural Appraisal (See Annex 2)
MethodsRanking Tools
Common tools exercised to prioritise activities.
Participatory Tools
Handbook
Ten Seeds Technique
The use of ten counters to represent relative amounts or preferences.
Participatory
Approaches: A
facilitators guide
SWOT/SWOL
An excellent assessment framework ideal for both the Analysis and M&E
phase.
Participatory Tools
Handbook
Target scoring
A very quick and versatile evaluation method for large groups to assess how
they feel about various options, strategies or criteria.
Enhancing stakeholder
participation
H-diagrams
A hybrid method that combines attributes of SWOT analysis with those of
ranking exercises, to cover both qualitative and quantitative assessment.
Produces useful results in a short time.
Participatory Tools and
Enhancing stakeholder
participation
Fishbowl debate
Levels the communication playing field for a multi-stakeholder debate when
there are power imbalances among the stakeholders taking part. Contains
the dominant and provides opportunity for others to take part.
Participatory Tools and
Enhancing stakeholder
participation
Synthesis brainstorming (strategies/solutions)
A follow-up tool to another one, such as the fishbowl debate, problem
analysis, SWOT analysis or synthesis brainstorming on problems.
Participatory Tools and
Enhancing stakeholder
participation
Priority auction
An energetic and fun way of carrying out a priority ranking. Can be used with
multi-stakeholder groups to encourage them to negotiate to reach
compromise or consensus on strategies.
Participatory Tools and
Enhancing stakeholder
participation
Forcefield Analysis
Diagramming technique to examine forces that help or restrain organisations
and communities. These forces influence the ability of the group in question
to achieve its goals.
Participatory
Approaches: A
facilitators guide
Impact Assessment
Provides a framework for groups to assess a development activity and judge
the value of any change.
80 Tools for
Participatory
Development
Gender Diversity Analysis Matrix
A matrix tool to investigate the impact of proposed development
interventions. It was originally designed to analyse gender impacts but with
scope to investigate other dimensions of diversity.
Participatory
Approaches: A
facilitators guide
Solution Matrix
To evaluate ex ante with the community the feasibility and/or sustainability
of the different solutions considered.
80 Tools for
Participatory
Development
29IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Visualized questionnaire
To quickly establish the views of participants based on a series of questions
or subjects. They do not vote, but rather they indicate their opinion by simple
images.
80 Tools for
Participatory
Development
Yes sir, No sir Exercise
To foster open dialogue on a contradictory subject using dynamic role playing
to overcome obstacles to the discussion.
80 Tools for
Participatory
Development
Methodology Dialogue Methodologies (See Annex 2)
Methods
SYNCON
Designed to answer the questions: what future could all people work toward,
and what misunderstandings need resolution prior to such collaboration? If
a diverse group could come together, share their dreams, find common
ground, then new awareness might be generated that could accelerate
progress for all.
PARTICIPATORY
METHODS
Circle Process
A small group dialogue designed to encourage people to listen and speak
from the heart in a spirit of inquiry.
Democratic Dialogue – A
Handbook for
Practitioners
Lekgotla Process
This form of an African council process is always held in the open air,because
the outdoors belongs to no one. This provides a sense of freedom, openness
and invitation to people to attend and speak honestly. There is also no time
limit to the process.
Democratic Dialogue
– A Handbook for
Practitioners
Discourse Based Valuation
A public debate where small groups of citizens openly discuss economic and
social values. The process is public; therefore the discussion tends to revolve
around maximizing the public good instead of benefiting individuals.
Guide to Participatory
Tools for Forest
Communities
Charette
An intensive face-to-face process designed to bring people from various sub-
groups of society into consensus within a short period of time.
Participatory Methods
Tool Kit
Consensus Conference
Consensus conference is a public enquiry centred around a group of
laypeople who put their questions and concerns to a panel of experts, assess
the experts’ answers and then negotiate among themselves.
Participatory Methods
Tool Kit
Citizen Choicework
Based on a deep respect for the public’s capacity to address issues when
circumstances support, rather than thwart, dialogue and deliberation. This
process is based on a commitment to helping citizens—individually and
collectively—confront tough choices in productive ways.
Democratic Dialogue
– A Handbook for
Practitioners
Citizen Deliberative Councils
Convened on an ad hoc basis to serve as a microcosm of a community, state
or country and report on the views and concerns of that community, state
or country in an interactive setting.
Democratic Dialogue
– A Handbook for
Practitioners
30IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Deep Democracy
A facilitation methodology based on the assumption that there is wisdom in
the minority voice and in the diversity of viewpoints, and that this wisdom
has value for the whole group. The approach helps to bring to the surface
and give expression to what is otherwise left unsaid.
Democratic Dialogue
– A Handbook for
Practitioners
Citizens Jury
A means for obtaining informed citizen input into policy decisions. The jury
is composed of 12-24 randomly selected citizens, who are informed by
several perspectives, often by experts referred to as ‘witnesses’.
Participatory
Methods Tool Kit
Methodology Systems Theory Methodologies
Structural Analysis (Systemic Analysis)
Impact matrices have become one of the most commonly used tools of the
futures field. With the objective to investigate systems and their dynamics,
impact matrices can be divided into three categories: structural analysis,
actors’ strategies and probabilistic cross-impact matrix.
Structural Analysis with
the MICMAC Method
and Actors’ Strategies
Analysis with the
MACTOR Method
Methodology Logical Framework Methodology (See Annex 4)
Methods
Objectives Oriented Planning (ZOPP)
The approach provides a systematic structure for identification, planning,
and management of projects developed again in a workshop setting, with
principal interest groups.
World Bank Participation
Source Book
Problem Tree
Identify the main problems and establish the cause and effect relationships
between these problems so that these are sufficiently addressed in a project
design.
80 Tools for
Participatory
Development
Objectives Tree
An objectives tree is a hierarchical flowchart of objectives. Within the Logical
Framework Approach, this is the positive opposite of the problem tree.
80 Tools for
Participatory
Development
Objectives Hierarchy
An objectives hierarchy is a hierarchic list starting with the overall goal of a
project and moving down in levels to (component) purposes or outcomes,
outputs and specific activities.
Participatory
Approaches: A
facilitators guide
Cause and Effect Mapping
To understand the contributing causes or reasons for a particular problem
or issue, or to identify effects or impacts of a particular change.
Participatory Rapid
Appraisal for
Community
Development
Logframe
A logical framework (logframe) is a matrix that summarizes what a project
intends to do and how, what the key assumptions are, and how outputs and
outcomes will be monitored and evaluated.
Participatory Rapid
Appraisal for
Community
Development
31IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Methods
Problem Tree
Identify the main problems and establish the cause and effect relationships
between these problems so that these are sufficiently addressed in a project
design.
80 Tools for
Participatory
Development
Methodology Participatory Rural Appraisal (See Annex 2)
Methodologies
Local level participation planning approach (LLPPA)
Participatory planning approach we developed and used to prepare local level
plans and implement them. The ideas generated by communities will be
enriched by additional simple biophysical and socio-economic surveys.
MSP Resource Portal
Appreciation-Influence-Control
AIC is a workshop-based technique that encourages stakeholders to consider
the social, political, and cultural factors along with technical and economic
aspects that influence a given project or policy.
World Bank Participation
Source Book
Participatory Project Planning
Offers processes and practical activities that maximize the input and
ownership of your project, long before you raise the first dollar.
Planning for Success
Community Visioning
A capacity building process that identifies and builds collective capacity and
competence of local communities through dialogue that creates positive
images and leads to commitment to action.
The Power of Visioning
Strategic Planning
For community development, strategic planning becomes equally important
to allow the community to formulate a vision, identify a mission and set goals
to determine their future. A clear and practical strategy will ensure that your
organization grows to meet its vision and does not lie on the shelf and collect
dust.
Community
Development Tool Box
Participatory Strategic Planning
Enables a group to come to a shared vision of its desired future, and to create
a detailed participant-owned plan of action.
Participation Works!
Methods
Action plan matrix
The action plan includes the objectives and corresponding actions, and should
indicate goals, persons in charge, and timelines.
80 Tools for
Participatory
Development
Responsibility Matrix
To clarify and reach consensus on the assignment of responsibilities among
the community and external agents, and encourage participants to take on
responsibilities.
80 Tools for
Participatory
Development
Matrix of needs and available resources
In any type of project, it is important to identify all the resources needed to
achieve the objectives.
80 Tools for
Participatory
Development
Community planning map
To produce a map representing the final objective envisioned by the
community, in terms of the planning of natural resources within its area of
influence.
80 Tools for
Participatory
Development
32IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stage 7 Description Information Resources
Developing a toolbox and action plan
Helps participants to develop the practical steps, responsibilities and
methods for taking strategies forward. Is also useful in encouraging
consensus and compromise building when multi-stakeholder groups plan
together.
Enhancing stakeholder
participation
Methodology Dialogue Methodologies (See Annex 2)
Planning Cell
Engages approximately twenty-five randomly selected people, who work as
public consultants for a limited period of time (e.g. one week), in order to
present solutions for a given planning or policy problem.
Participatory Methods
Tool Kit
From Vision to Action
This is a workshop, ideally taking six hours, but fitting comfortably into three.
There are three stages:
1. The long-term vision
2. How did we get there?
3. Getting started
Participation Works!
Methodology Appreciative Inquiry (See Annex 2)
Methodologies
Community Visioning
A capacity building process that identifies and builds collective capacity and
competence of local communities through dialogue that creates positive
images and leads to commitment to action.
The Power of Visioning
Appreciative Participatory Planning and Action (APPA)
APPA is the combined approach of PRA and Appreciative Inquiry (AI). It is not
a complete methodology in itself, but a concept that has greater role to make
other methodologies more effective.
Participatory Tools
Handbook
33IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Stakeholder Analysis
Stakeholder Analysis Guidelines
80 Tools For Participatory Development
Participatory Approaches: A facilitators guide
World Bank Participation Source Book
Gender Analysis
World Bank Participation Source Book
80 Tools For Participatory Development
Program on Participatory Research and Gender Analysis
Community Visits
Community Mobilization Programming
Community Planning.net
Participatory Approaches: A facilitators guide
Participatory Development Communication
Involving the Community
Participatory Rural Appraisal
80 Tools For Participatory Development
Participatory Approaches: A facilitators guide
Indigenous Peoples’ Poverty Alleviation Community Action Tool
Enhancing stakeholder participation
The Community's Toolbox: The idea, methods and tools for participatory assessment,
monitoring and evaluation in community forestry
MSP Resource Portal
Further Information
34IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Field Tool @ Participation
Program on Participatory Research and Gender Analysis
Guide to Participatory Tools for Forest Communities
Participatory Tools Handbook
Participatory Climate Change Assessment
Community-based adaptation to climate change
Participatory Tools and Techniques for Assessing Climate Change Impacts
Framework for Community-Based Climate Vulnerability and Capacity Assessment
Methods and Tools for Assessing the Vulnerability of Forests and People to Climate Change
Asset Based Community Development
What Are Asset-Based Approaches to Community Development?
Community Asset Mapping Workbook
From Clients to Citizens: Deepening the Practice of Asset-Based and Citizen-Led Development
The Asset-Based Community Development Institute
Asset Based Approaches to Rural Development
Dialogue Methodologies
Democratic Dialogue – A Handbook for Practitioners
Story guide: Building bridges using narrative techniques
From the Margins to the Mainstream: the ‘other’ transforming knowledge and wisdom
Documentation Sistematización Capitalisation
MSP Resource Portal
The National Coalition for Dialogue & Deliberation (NCDD)
Participation Works!
PARTICIPATORY METHODS
Participatory Methods Tool Kit
35IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Cognitive Psychological Approaches & Mental Modelling
Community-based adaptation to climate change
Structured Mental Model Approach for Analyzing Perception of Risks
to Rural Livelihood in Developing Countries
Cultural Network Analysis: A Cognitive Approach to Cultural Modeling
Ecology and Society Website
Systems Thinking and Modelling: Managing Change and Complexity. 2nd edition
Maani, K, and Cavana, R. (2007)
Appreciative Inquiry and Asset Based Community Development
How-to Guides - Community Research: Appreciative Inquiry
Appreciative Enquiry and Community Development
The Partnership Toolbox A Facilitator’s Guide to Partnership Dialogue
Appreciative Inquiry and Kaupapa Maori
Indigenous Peoples’ Poverty Alleviation Community Action Tool
The Power of Visioning
Logical Framework Methodology
MSP Resource Portal
Handbook of Participatory Project Planning Part 1
Handbook of Participatory Project Planning Part 2
Comprehensive Participatory Planning Evaluation
Collaborative Research Approaches
Collaborative Research: an "indigenous lens" perspective
Checklist of Characteristics of Collaborative Research Relationships with Indigenous Partners
Participatory Research: Strategies and Tools
36IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Community Based Participatory Research
Developing and sustaining community based participatory research
Community-based Participatory Action Research
Making Community Partnerships Work: A Toolkit
Pimatisiwin - A Journal of Aboriginal and Indigenous Community Health
Community-based participatory research with traditional and indigenous communities of the Americas
Action Research / Participatory Action Research
Katoa Website
Participatory Action Research: An Outline of the Concept
An Overview of the Methodological Approach of Action Research
Reconsidering Participatory Action Research within the Context of Decolonisation
Cooperative Inquiry
Doing Cooperative Inquiry
South Pacific Centre for Human Inquiry
Working with Indigenous Research Methodologies
Indigenous Child Welfare Research Network
Mixed Methodologies as a Process towards Indigenous Methodology
Indigenous Heuristic Action Research: Bridging Western and Indigenous Research Methodologies
Related Methods for Collaborative Research with Indigenous Peoples
Deep listening
• Deep listening in research
Research protocols
• PRC Tribal Research Regulation Toolkit
• DECLARATION OF KEY QUESTIONS ABOUT RESEARCH ETHICS WITH INDIGENOUS COMMUNITIES
37IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Ownership, Control, Access, Possession (OCAP)
• Ownership, Control, Access, Possession (OCAP) or Self-Determination Applied to Research
Partnership Trust Tool
• PRC Partnership Trust Tool
Protecting Intellectual Property Rights
• Protecting Community Rights over Traditional Knowledge
• Traditional Resource Rights and Indigenous People in the Andes
Vulnerability Assessment Methodologies
Social Vulnerability, Sustainable Livelihoods and Disasters
Participatory Vulnerability Analysis
Community-based adaptation to climate change
fields tools @ participation
VCA Tool Box
Assessing Resilience & Vulnerability: Principles, Strategies & Actions
Vulnerability and Risk Assessment
Mapping Vulnerability: Concepts, Narratives and Numbers
Provention Consortium
Scenario Development Methodologies
Guide to Participatory Tools for Forest Communities
Participatory Methods Toolkit
Participatory Tools Handbook
Community-based adaptation to climate change
Forecasting Methodologies
Field tools @ participation
38IPCCA - Indigenous Peoples Climate Change Assessment
Annex Toolkit
Visioning Methodologies
Guide to Participatory Tools for Forest Communities
Participation Works!
Participatory Approaches: A facilitators guide
A dialogue approach to enhance learning for Sustainability
Systems Theory Methodologies
Soft Systems Methodology
Soft Systems Methodology
Soft Systems Methodology as a Social Science Research Tool
Rich Pictures: a means to explore the ‘Sustainable Group Mind’?
Climate Change and Organisations: Soft Systems Thinking and the Rich Picture Toolkit
Structural Analysis with the MICMAC Method and Actors’ Strategies Analysis with the MACTOR Method
