Pcva Toolkit Oxfam Australia

Participatory Capacity and
Vulnerability Analysis (PCVA) Toolkit

Prepared for Oxfam Australia by the Climate Change
Adaptation Program (CCAP), RMIT University, Melbourne
Supported by Australian aid.
Dr Iftekhar Ahmed, Research Fellow, CCAP

Dr Hartmut Fuenfgeld, Research Fellow, CCAP
Prof Darryn McEvoy, Principal Researcher, CCAP
Produced by Annette Salkeld, Oxfam Australia
Published November 2012
132 Leicester Street

Carlton VIC 3053
Australia
Tel: +61 3 9289 9444
Fax: +61 3 9347 1983
www.oxfam.org.au Cover photo: Ngaunta Ienraoi stands where her grandmothers
house once was. More than 10 people lost their houses
Design: Jeffrey Paul [during a king tide]. The land in front of them was washed
away. I remember seeing all the houses floating in the water.
Print Production: Jocelyn Tan
They lost everything, says Ngaunta. Her grandmother and
Printed with vegetable based inks on Cyclus print matt, an neighbours have since moved further inland, an increasingly
unbleached coated paper made from 100% recycled common occurrence in low-lying Kiribati. Photo: Rodney
post-consumer waste. Dekker/OxfamAUS
Contents
1. Introduction 1
2. Key Climate Change and Disasters Concepts 2
3. Key PCVA Concepts 3
4. Getting Started 5
5. Working with Communities 7
6 Other Points to Consider 9
7. Guidance on PCVA Stages 11
8. Annexes 25
9. Key Resources and References 31

1. Introduction
This toolkit assembles a set of tools and describes Re-Facilitation

the process for conducting a Participatory Capacity Stage 1
stages
and Vulnerability Analysis (PCVA) of disaster and Preparing for PCVA
climate change risks at the community level. This PCVA
toolkit is targeted primarily for community-based staff
members of development agencies such as Oxfam and Stage 2
national agencies. It follows an integrated approach to
assessing disaster and climate change risk, and using Collecting secondary data
this information to support communities to develop
community action plans for disaster risk reduction
(DRR) and climate change adaptation (CCA). Stage 3 Facilitation
Stages
While the process of conducting PCVA can be Generating a community view
elaborate, for simplicity this toolkit highlights the key
components and processes of a PCVA it does not
provide a detailed description for using each tool.
Stage 4
Links to further resources are provided where relevant,
and annexes at the end summarises the different tools Understanding vulnerability to
used in the PCVA. hazards and stresses
There are many other PCVA or related manuals; some

of them are listed in the Key Resources section at the Stage 5
end of this document. Some of these manuals have Livelihood analysis
been adapted to the local context or are available in
local languages, or may target a specific sector, such
as agriculture. The PCVA facilitation team should read
Stage 6
these additional documents as necessary, particularly
those written in the local language, where further Analysing future uncertainty
guidance is needed. The PVCA process is a flexible one;
different tools can be used where they are considered
more appropriate. Stage 7
It should be highlighted that the PCVA process is not Governance Analysis
a toolkit for extracting information from communities.
It is a process where communities willingly participate
in analysing their capacity and vulnerability regarding
climate change and disasters. It is a stepping stone to Stage 8
the communitys own action plans for strengthening Prioritising and action plan
its capacity and reducing vulnerability. The role of the
organisation conducting the PCVA with the community
is to facilitate the process and assist the community Stage 9
to undertake their own analysis.
Finalising the PCVA
This toolkit begins with a brief background on disaster
risk reduction and climate change adaptation and
explains some key concepts. The main aspects of
PCVA and the approach followed in this toolkit are also Fig. 1: Stages of conducting a PCVA
presented briefly, followed by some guidance notes.
There are nine stages in this PVCA; each of them is
discussed here with regards to the purpose, the tasks
to be conducted and the tools to be used. The first
two stages are pre-facilitation stages, which allow the
PCVA facilitators to prepare for the PVCA and become
familiar with relevant resources. The next seven
stages are about facilitating the PCVA and build upon
one another to undertake the whole PCVA process. The
PCVA stages are shown in Fig. 1.
Page 1
2. Key Climate Change and
Disasters Concepts
Disasters can result from natural and human induced

hazards. There are three main types of natural hazards Disaster risk reduction (DRR): The systematic
geological (earthquakes, volcanic eruptions, effort to analyze and manage the causal factors
landslides etc), hydro-meteorological (floods, of disasters, i.e. reduce exposure to hazards,
cyclones, drought, etc) and human induced (conflict, lessen vulnerability of people and property,
chemical spills, industrial accidents etc). A disaster wise environmental management, and improved
occurs when the impacts of a hazard exceeds a preparedness for adverse events.
communitys ability to cope using its own resources.
Hazard: Event that has the potential for causing
Climate change is impacting on hydro-meteorological injuries to life and damaging property and the
(or weather-related) hazards by altering their environment.
frequency or intensity, and is expected to become
Capacity: Positive conditions or abilities
more extreme in the future. Climate change will also
which increase a communitys ability to deal
have long term impacts such as gradually increasing
with hazards.
temperatures, changing seasons, unpredictable rain
and rising sea levels. Vulnerability: Conditions that reduce peoples
ability to prepare for, withstand or respond to
This PVCA can analyse all types of hazards, how
a hazard.
climate change may alter their nature and the long
term impacts of climate change.
Understanding the following terms is essential for
conducting an integrated climate change and Climate or disaster risk is the probability or likelihood
disaster PCVA. that a hazard or long term change will cause injury,
damage or loss. It is related to the magnitude of
the hazard, and to capacity and vulnerability of the
Climate change: a change in climate patterns community. If the capacity in a community is high,
that persists for decades or longer. It arises risk is low, but if vulnerability is high, risk will also be
from human activity that alters the composition high. Therefore risk reduction involves both increasing
of the atmosphere capacity and reducing vulnerability.
(ie greenhouse gas emissions) that is over and
above natural climate variability.
Climate change adaptation (CCA): actions that
people and institutions make in anticipation
of, or in response to, a changing climate. This
includes altering things they do and/or the way
they do them.
Climate change mitigation (CCM): An activity
to reduce the drivers of climate change, by
reducing emissions of greenhouse gases to
the atmosphere. In the context of disasters,
mitigation means the measures taken before
the impact of a disaster to minimise its effects.
Resilience: The ability of a system or community
to resist, absorb, accommodate to and recover
from the effects of a hazard in a timely and
efficient way.
Disaster: A serious disruption of the functioning
of a community causing widespread human,
material or environmental losses and impacts,
which exceeds the ability of the affected
community to cope using its own resources.
Page 2
3. Key PCVA Concepts
The PCVA toolkit is one of a range of program tools PCVA places importance on local knowledge and
designed at different organisational levels for draws on information and knowledge of communities,
addressing climate change and disaster risk. For and their analysis of the information. However, as
example, decision-making tools support program important can be the introduction and analysis of
managers when developing new programs and outside information such as climate information,
screening tools allow a higher level assessment of weather forecasting and disaster records, to support a
climate or disaster risk in current projects or program greater understanding of local risk. It is a participatory
portfolios. The PCVA toolkit is designed to be used by process local communities are at the heart of
field staff and at the community level to help design conducting the PCVA. The main features of a PCVA are
both new and existing programs. shown in Table 1.
There are three main objectives: PCVA can allow collecting and analysing information
1. To analyse vulnerability to climate change to develop specific CCA/DRR initiatives, preferably in
and disasters at the community level, and the an integrated way. It also allows the integration of CCA
potential capacity within the community for and DRR into other sector programs such as natural
dealing with climate change and disasters. resource, water management/water, sanitation and
hygiene (WASH) and sustainable livelihoods. The
2. To combine community knowledge and scientific results of a PCVA can also provide practical evidence
data to gain understanding about local risks. for advocacy on climate change and disasters issues.
3. To directly inform local level action plans to The PCVA toolkit is primarily used at the beginning
reduce the risks from disasters and climate of a program to inform program plans and activities.
change impacts. However it can also be undertaken after a program has
In order to reduce climate and disaster risks, begun where climate change and disaster risks have
communities need to increase their capacity and not been considered. In this situation a PVCA can help
reduce their vulnerability. PCVA is a systematic way to adjust program activities to better address these
of understanding and analysing the capacity and risks.
vulnerability of communities, and distinct groups The data and analysis documents and materials (maps,
within a community, to climate change and disaster diagrams, charts, etc) can also be used as a baseline
risks, and is an important step in planning for and to evaluate the projects outcomes and to understand
implementing CCA and DRR initiatives. if and how capacities have been strengthened and
While many development programs focus on vulnerabilities reduced. This can be done during
vulnerability, as it is often more evident, there are midterm or final evaluations of the program. Therefore
often hidden capacities social networks, local it is essential that all such documents and resources
knowledge, community resilience, etc which are are stored and maintained until project completion,
not easily revealed. The capacity of marginal groups and to be accessible even afterwards as reference
women, children, elderly, etc is often overlooked, material for other projects.
although that may have potential for CCA and DRR.
Therefore the PCVA approach in this toolkit highlights
analysis of capacity as an important way of offsetting
vulnerability.
Page 3
Participatory Capacity and Vulnerability Analysis (PCVA)
Brief description PCVA is a risk analysis process that is designed to engage with communities in contexts where disasters
and climate change are significant drivers of poverty and suffering.
Objectives A PCVA process may be undertaken to achieve a range of objectives, including the following:
To integrate disaster risk reduction (DRR) and climate change adaptation (CCA) into an existing
program
To inform the design of a new program that will integrate DRR and CCA measures
To monitor/evaluate the impact of actions taken to reduce risk and enable CCA, and assist in the
identification of new ones
To guide advocacy strategies for DRR and adaptation.
Scale Community
Framework 1. Collecting secondary data

2. Generating contextual information
3. Conducting analysis
4. Risk prioritisation
5. Formulating action
6. Moving towards implementation
Methods Community and stakeholder consultations, participatory methods, background research
Table 1: Key features of PCVA
Page 4
4. Getting Started
This section outlines some of the logistic and Time

management considerations to address when you are
Decide how much time will be allocated for the
planning a PVCA process.
PCVA process and, if it is part of a larger project,
how the PCVA timeline will fit into the overall
Establishing the Facilitation Team project time-frame.
Decide the specific role(s) of each facilitation team Make a rough estimate of how much time each
member. Ensure a balanced representation of stage might require. Time requirements will
women and men in the team. depend on a number of issues such as if previous
The facilitation team leader should have significant assessments have been undertaken, the size/
experience in using participatory tools, strong scope of the program, and the time availability
facilitation skills and a good knowledge of climate of the community. As a guide, the community
change science and impacts. component should be no less than 5 days.
Members of the facilitation team should have The PVCA process can be undertaken with
experience in participatory methods and the PCVA communities in one block of time, or spread
preparatory training in Stage 1 should strengthen out over a number of visits, depending on local
their skills. Additionally understanding and circumstances.
knowledge of the local context, as well as a knack For all the PCVA stages, develop a draft schedule
for working with communities, are key qualities and finalise through discussion with the
that the facilitation team members should have. community to ensure suitability and availability of
Facilitating a PCVA also requires sensitivity and community members. Consider if people will have
understanding of the potential and challenges to take time off from work or other commitments
of the local context. Team members should have to take part and whether it can be scheduled for
these attributes. when they have free time. This may be different for
different groups in the community.
If necessary, less experienced team members
should be accompanied by somebody who is It is very important to be flexible. It may not
experienced and can provide in-situ training during always be possible to stick to the schedule,
the process of conducting the PCVA. so build in generous allowances. PCVA is an
elaborate process, so anticipate significant time
If it is a large team, decide if it can be divided involvement.
into smaller groups (23 team members in each
group) to conduct the same exercises to achieve Also anticipate surprises and unpredictable
triangulation. changes, and be prepared to make last moment
changes and revise plans.
Ideally women team members will conduct the
PCVA process with women community members,
or at least include some women team members. Budget
It might be necessary to include team members Decide the budget. Do not spend unnecessarily,
with local language skills or interpreters to ensure but also do not be thrifty at the expense of safety,
adequate participation across the community. comfort and well-being of the facilitation team
In some communities, elderly or powerful male and community participants. Utilise funds in a
community members might feel disturbed by the balanced way, in tune with the local context and
presence of women team members. Be aware of living standards.
such local sensitivities and respect them to the Allow a budget for: (a) Transport; estimate how
extent that they do not affect the outcomes of much travel is involved and then budget for it;
the PCVA. (b) Equipment (photographic, laptops, recorders,
Develop a system for collating, organising and batteries, first-aid kit, or any other as required)
storing documents and other materials. Identify and stationery (flipcharts, markers, index cards,
the team member who will be responsible for this. notebooks, etc); make a list of what will be
required and prepare a budget; (c) Daily expenses
of facilitation team members; estimate what
will be necessary to support carrying out the
work effectively.
Consider a provision for meals, tea/coffee and Health
snacks, and related catering arrangements.
PCVA can at times be a physically demanding
Estimate days required, who will supply it, and
process, and in many countries field conditions
the required food items, so that a budget can
can be harsh. Ensure that facilitation team
be prepared. Consider if there will be any large
members are in good health and able to withstand
community-wide events requiring substantial
hardship, if necessary.
catering, such as at the PCVA process outset
and/or completion. Discuss with the community There should be a plan for medical emergencies.
how this is to be best arranged as well as Carry a well-equipped first-aid kit, and if possible,
funding requirements. at least one of the team members should be
trained in basic first-aid.
As a general policy, do not offer payment to
community members for participating in the Make a note of the nearest health clinic or medical
PCVA. This can potentially cause problems with centre in case of emergencies, and have an
the facilitation team and within the community, understanding of the travelling time required and
and may even skew the results of the PCVA. Pay mode of quickest transfer.
only if any services from the community are used, As with the facilitation team, ensure that
such as venue rental, catering or transport, excessive demands are not placed on the
but make sure to match it to local standards. community participants. While maintaining that
Budget some money for sundry expenses related PCVA is a time-consuming and intensive process,
to the PCVA. For example, paying for transport care should be taken that the PCVA sessions
of community members to participate in the and exercises do not exhaust the team and
PCVA; or, paying somebody to relieve women participants. Note the weather conditions (too
of their household tasks so that they are free hot, too cold, rainy, etc) and adjust the sessions
to engage in the PCVA. Make allowances for accordingly so as not to cause discomfort or
expenses which cannot be anticipated. physical exertion.
Ensure all team members are briefed on any
security guidelines and that these are followed.
5. Working with Communities
Groundwork Gender and Inclusion

If the facilitation team is not familiar with the In all cases attempt to ensure balanced
community, make an initial visit to establish representation of women and men in the
preliminary contacts. Try to identify and meet a PCVA process.
few key members or leaders of the community, As part of the preparation, meet with local leaders
including women leaders, who may act as focal and other community members to discuss who will
contact points during the PCVA stages. Always be participate in the PCVA process.
open about the purpose of the PCVA and take care
that no expectations are created in regards to Find out the most vulnerable groups in the
funding or material inputs in association with the community (including the elderly, disabled and
facilitation team. ethnic/social minority groups) and identify
the best ways to involve them. Separate PCVA
At the early stages of the PCVA, identify key sessions or individual meetings might be
informants within the community people who necessary, requiring a corresponding set of skills
have deep knowledge of the local context and within the facilitation team.
the community, or are networked to a wider set of
links. Such people can be interviewed separately Ensure that barriers to participation for women
to complement the findings of the PCVA. This are addressed as much as possible from the
should include a range of people from young to beginning. For example, provisions for childcare
old, women and men. might allow participation of women, especially
if nearby to the place where the PCVA is held.
Explore options for venues where the PCVA Or paying somebody to collect firewood would
process will be undertaken, which are most release women from this task and allow them to
preferable to the community. Find out if there is participate in the PCVA.
a community meeting hall or communal building
where the PCVA can be conducted, and what In most societies, women have responsibility
facilities it has. It may be preferable to conduct for childcare, domestic and livelihood activities.
the PVCA in a few different locations that are more In such situations, while women may be quite
appropriate for specific groups. There might not be visible in the community they are likely to have a
a building or built facility for meetings, so it might heavy work burden, often working longer hours
be necessary to conduct the PCVA in houses, than men. The facilitation team will need to be
homesteads, courtyards or fields. sensitive, and plan and conduct the PCVA without
making undue demands on time, and make
Make an effort right from the beginning to provisions for womens participation.
understand the basic work schedules of the
community members, both women and men, It is important that the PVCA group processes are
and different livelihood groups. Based on this, undertaken separately with groups of women and
plan the PCVA sessions around the availability of groups of men, ideally led by female and male
community members according to time of the day facilitators respectively. Women and men are likely
and year. This will vary by season, location, nature to speak more freely in separate groups, and it
of community, gender etc. In many cases shorter removes gendered roles that often see women
seasons are likely to have more people attending. sitting quietly in mixed gender meetings. Women
For example in some agricultural communities, a and men will often have different knowledge
slow period follows the harvest of the main crop, bases, vulnerabilities and capacities, which are
and this might prove to be a suitable time for critical to capture through the PVCA processes.
the PCVA. Where separate PVCA groups have been used,
Remember that in marginal or subsistence a final plenary session including all the groups
communities, people have heavy workloads, so should be held, where the PCVA findings are
do not place undue demands on their time for presented and discussed. This would promote
participating in the PCVA process. Discuss with transparency and minimise any potential for
them to what extent they are able to contribute misunderstanding between the different groups.
their time and adjust the scope and schedule of In many societies, children begin taking part in
the PCVA accordingly. household work and community matters from
an early age, and hence can have valuable
knowledge and experience that can contribute
Page 7
to the PCVA process. Make an effort to include Literacy might be an issue some communities
children as active participants in the PCVA might be partly or not literate. Often women
process, and make provisions that their education will have higher illiteracy rates. In such cases,
or household activities are not affected. For pictures and symbols that are locally used and
example, pay somebody from the community to understood should be identified, and if necessary,
provide tuition to make up for lost time at school, the facilitation team should familiarise itself
or arrange for other children to help in household with them. During the course of the PCVA, such
tasks of those children who participate in the pictures and symbols should be used. Even where
PCVA process. communities are literate, pictures/symbols can
The elderly often have knowledge and be used effectively to communicate information
understanding that is not always easily apparent. and ideas; be open to using such techniques.
Endeavour to get the elderly to contribute to It is important that the community owns the
the PCVA process and to have a stake in the data and analysis documents, and it stays in the
communitys planning for CCA and DRR. The community as an ongoing reference point for
knowledge of the elderly, both women and future projects. With the communitys permission,
men, can provide valuable contributions to the the facilitation team should make a set of copies
outcomes of the Historical Timeline and Long Term of all the documents for the organisations
Trend Analysis (see Annexes 7 and 9). archives; leaving originals in the community.
Language and Literacy

While noting PCVA outcomes on paper is ideal for
capturing information and keeping a record, in
some cases it might be more appropriate to draw
or write on the ground with sticks, or use some
other local materials. In such cases, try to take
photographs of the outcomes so as to have a
record for future reference. Prints of the photos
should be given to the community so that they
have ownership of the PCVA outcomes.
Malawi: Leyla Kayere, aged 76, works her rice field. Photo: Abbie Trayler-Smith/Oxfam.
Page 8
6. Other Points to Consider
Selecting the Relevant Tools Involving local Authorities

The tools and resources presented in this toolkit Although the PCVA is intended as a community-
are some of the important ones and if used based exercise, in many places it can be difficult
properly, should yield useful results. They are, to carry out the work without the approval of local
however, by no means a complete set of tools. government authorities. While this can present a
Participatory methods (RRA, PRA, PLA, etc) have challenge, it can also be an opportunity. Firstly,
been developed and used for a wide range of local officials can be useful key informants
purposes during the last few decades. and can contribute to the PCVA sessions on
Many participatory methods have been adapted Governance Analysis and other local knowledge.
to local situations and used according to local Secondly, it may help to increase government
needs. The first task in conducting a PCVA process understanding of local issues and create
is to become informed about the range of relevant better linkages between the community to the
toolkits available, and review them. This should government for support in implementation of
be followed by an examination of the tools and community action plans.
resources presented here, and a decision made
as to which ones are most suitable for the Understanding and Addressing
particular context. the Root Causes
If there are other tools that seem potentially Be careful to understand the key differences
useful, consider how they might be used in the between disasters and climate change impacts.
PCVA. Do not follow this toolkit mechanically; Climate variability and weather fluctuations due
apply judgement based on the local situation and to climate change can lead to extreme weather
its needs and thereby decide what may or may not events, which can result in disasters, discussed
work. Be open to using other tools and resources, above in the section on Key Climate Change and
and combine and balance these with those in Disasters Concepts. However climate change
this toolkit. is also gradually altering long-term seasonal
patterns. Although this may not result in disasters
Triangulation of Data directly, it can be a hazard in itself as it may affect
agriculture and eco-systems based livelihoods, on
Some of the tools in this toolkit provide analysis
which many communities are reliant.
of similar issues in different ways (for example,
Resource Map/ Hazard Map and Transect Walk; To understand future uncertainty (Stage 6), it will
Historical Timeline and Long Term Trend Analysis). be necessary to identify hazards that may possibly
This allows cross-checking for inconsistencies in be caused by climate change and/or could
information, a process known as triangulation. increase because of climate change in the future.
Other tools beyond this toolkit can be used to Climate related changes (variable rainfall,
triangulate the information. Therefore, even if increased heat or cold, etc) are often hard to
some of the tools seem repetitious, still use a separate from other factors causing change such
number of tools to collect and analyse similar as deforestation, urbanisation and population
types of information, as this will give more growth. Significant time and effort need to be
accurate results. given to find out all the changes affecting the
community, to review secondary information and
Triangulation can also be done by asking different
analyse with the community what the actual
groups about the various issues as they relate
climate-related impacts are and other root factors
to the community. For example ask men about
that may be impacting communities.
womens activities and vice versa.
Similarly, infrastructure development can cause
Also, conduct the same exercises with different
environmental problems (eg reduced water flow
groups that characterise the community (see
in a river due to a dam). Caution is necessary so
Annex 1) women and men, poor and wealthy,
that such effects are not confused with climate
etc which will allow a comparison of perceptions
change impacts. However, there could be linkages;
across the different groups.
such developments combine with climate change
If resources allow, triangulate further by having and magnify impacts on communities. The PCVA
different members of the facilitation team collect should examine such changes that contribute to
the same information independently and then the communitys vulnerability.
cross-check.
Page 9
The actual activities identified by the PCVA might
be work being done already (tree planting, drought
resistant crops, etc), but the analysis should be
documented to identify any DRR activity that is
being modified or expanded based on the climate
change analysis. For example, a well might be
built to store water in an area experiencing longer
dry seasons. But if that area is also experiencing
heavier rainfall during the wet season, building
a check dam would regulate excess water flow.
The well is a DRR measure and the check dam
is a CCA measure. The PCVA should help identify
such measures that link DRR and CCA for the
communitys action plans.
Sre Kosaing village, Cambodia: Villagers with a water level gauge installed as part of a disaster preparedness plan.
Photo: Sak Sivin/OxfamAUS.
Page 10
7. Guidance on PCVA Stages
This section provides guidance on each of the nine Stage 1 is about preparation for the PCVA and Stage 2
stages of the PCVA process. A set of instructions and is concerned with supplementary secondary sources.
requirements are listed first for each stage, followed Stages 3 to 8 comprise the main body of the PCVA,
by a table with an explanation of its purpose, the which include a series of activities to analyse various
tasks required and questions to be answered, and the aspects of the communitys capacity and vulnerability
key related resources. to climate change and disasters. Stage 9 is about
completion and follow-up. The annexes following this
section provide details on the specific tools required
to carry out the PCVA process.
Lepo village, Timor-Leste: Secondary school student Juvita Soares in Lepo village where work is being undertaken to identify and act on the
impacts of climate change. Photo: Timothy Herbert/OxfamAUS.
Stage 1 Preparing for a PVCA
Instructions/Requirements:
It is important to be well prepared before starting the PCVA process. If done The management staff should decide who will conduct the training/induction
properly, PCVA can be an elaborate and detailed process requiring significant of facilitators. Whether the trainers can be drawn from within the organisation
time and skill inputs, as well as funding. Adequate preparation prevents or consultants will be required should be assessed.
any disruption to and discontinuity of the sequence of the PCVA stages and Decide how much time this stage is likely to take. As a rough guide,
ensures its smooth operation. management, staff selection and training arrangements should be resolved
A few key persons at management level within the organisation will need within one month and the training of the facilitation team should not take more
to oversee the PCVA process including budgeting, financial accountability, than 7 days.
selection of facilitation team members, arranging training and review of At the completion of this stage, the facilitation team will be staffed by suitably
reporting by the facilitation team. At this stage, the management staff will play skilled members, both women and men, who will have strong understanding of
the key role, in consultation with the facilitation team. the tools and techniques required for the PCVA process
Select the appropriate persons for the facilitation team. It is important that
they have the right skills to conduct the PCVA understanding of the local
context, empathy for vulnerable and marginal groups, gender sensitivity, as
well as ability for prolonged community engagement. The team leader should
have significant experience in community level facilitation.
Stage Purpose Tasks and Questions Tools and Resources
Preparing for a PCVA To prepare for Define and develop Terms of Reference (ToR) for the process. Key This toolkit itself will be a key training resource. To use it
conducting the PCVA considerations: as a training tool, PowerPoint presentations will need to be
What will be the role of the facilitation team? prepared and training exercises developed.
Will there be need for consultants to be part of the team or to support General Training of Trainers (ToT) toolkits, such as:
the team (eg in-situ training)? Frankiewicz, C. and Parrott, L (2006) Participants Manual:
Who in the team will be accountable for leadership and reporting? A Guide to Key Content and Resources: Training of Trainers.
Kenya, MicroSave. http://www.microsave.org/toolkit/
Select and train the facilitation team. Key considerations: training-of-trainers-toolkit
Who will provide the training (within the organisation or from outside)? Relevant Oxfam training resources, such as: Turvill,
How many team members? E. and Dios, H.B.D. (2009) Participatory Capacity and
Gender balance and sensitivity? Vulnerability Analysis Training Pack. Oxford, Oxfam. http://
disastermanagementbangladesh.org/oxfam_tools/index.php
Availability and time commitment?
Allocate necessary resources and organise logistics. Key considerations:
Cost-effectiveness?
Time-frame?
Venue?
Material and equipment?
Page 12
Stage 2 Collecting Secondary Information
Before staring the PCVA process, an extensive and thorough review of locally If it is a literate community, make a set of copies for the community so that it
relevant secondary information will allow the facilitation team to gain the can be stored together with the PCVA outcomes. You may need to summarise or
necessary background knowledge. This secondary information will also allow simplify information that is complex or technical, or convert into formats that
cross-checking and comparing of the information collected in the PCVA are more accessible to community members.
process. Establish key contact points at sources of secondary information. Use local
A comprehensive list is provided below, but not all the information might be knowledge and networks to identify the right people and sources. Make
available or even exist in many places. Attempt to collect as much as possible arrangements for getting permission if necessary to access and use the
within the limitations of the situation. information..
On the other hand, do not collect too much information which can lead to Divide the key tasks among the facilitation team collecting, collating,
overload. Keep a focus on the project at hand and the level of information interpreting according to skill sets. Although all team members should have a
and detail required. Use judgement to screen information so that information level of involvement in all the tasks, dividing up the main roles will allow better
relating directly to the context and the community is selected. utilisation of time and resources.
Collate the information under a few key groupings: (a) Demographic, social and Arrangements for making and funding photocopies will have to be made.
economic (including livelihoods information); (b) Environment and resources; Arrangements and funding for transport of data collection will have to be made.
(c) Disasters and hazards; (d) Climate change; (e) Development and poverty.
This will allow linking the information to the key concerns of the PCVA. Decide how much time this stage is likely to take. Do not spend a significant
amount of time on this stage, roughly a couple of weeks, so that more time can
A system for collating, organising and filing information will need to be be allocated for the PCVA itself.
developed based on the groupings above. Decide who will be responsible for
doing this and managing the system. At the end of this stage, the facilitation team should have a good
understanding of the local context and how key issues relate to the
Interpreting the information will be linked to how it relates to the community. community. The team should also have a collection of secondary resources to
Wider national level data will need to be interpreted at the scale of the compare with the findings of the PCVA.
community.
The information might be in various forms books, reports, policy documents,
maps, etc. Each of these will have to be reviewed and interpreted differently,
but with the common objective of understanding how it relates to the
community.
Preparing for a PCVA To prepare for Collect, compare and review information about local, regional and national Sources for national, regional and local data including:
conducting the PCVA level issues, such as: National census and statistics offices.
Local demographic aspects population density and growth trends, Local, municipal and district government offices.
migration patterns, etc.
Resource centres of NGOs and UN agencies.
Community structure, including gender disaggregated information. Key
aspects include malefemale ratio, age groups, ethnicity and religion, Local urban and regional development planning offices.
culture and behaviour patterns. GIS and cartography offices for maps.
Page 13
Stage 2 Collecting Secondary Information cont ...
Livelihoods: Key local livelihoods, including gender disaggregated Remote sensing offices for satellite photos and maps.
information. Information on home-based livelihoods and work by Meteorological offices and weather stations.
children and the elderly.
National and local libraries.
Environment: Both natural (topography, elevation, forest cover, water
bodies, etc) and man-made (land-use patterns, agriculture, settlement Civil sector forums.
patterns, infrastructure, etc). Key policy and strategy documents including:
Natural resources: Water, soil, minerals, vegetation, forest, riverine and National development plan, poverty reduction strategy
marine products. paper.
Disaster profile: Hazard types, frequency and intensity. Focus National Adaptation Program of Action (NAPA), climate
primarily on hydro-meteorological disasters, but if other disasters change target program or strategy paper.
are significant in the area, those would also need to be taken into
National DRR platform.
consideration.
Hyogo Framework of Action monitoring reports.
Changes in weather patterns and resource availability: Local weather
data and historical trends, and whether these have amplified recently. UNFCCC national communications.
Pay particular attention to rainfall, heat, cold and dryness. Intergovernmental Panel on Climate Change (IPCC)
Climate projections: Downscaled local climate change models, and assessment reports regional chapters.
national and local climate studies. UNISDR campaigns.
Development plans, policies and strategies: National poverty reduction UNDP, UNOCHA or UN country office journal articles.
strategy papers, climate change strategies, disaster risk reduction
policies, and urban and regional planning policy frameworks.
Organisations working on DRR/CCA: Dedicated national line ministries
and departments, key bi/multi-lateral programs, INGOs, local NGOs and
CBOs. Focus on those that are most active in the area where the PCVA
is being conducted.
Page 14
Stage 3 Generating a community overview
(Most of the following also applies to subsequent Stages 48) Should involve sessions with a range of community members to triangulate
This is a critical stage as it promotes a better understanding of the nature of the information gathered (see section 6 above). Depending on the local
the community, its environment and resources; serving as a stepping stone to circumstances, triangulation might involve meeting separately with community
an analysis of capacity and vulnerability. Time spent on this stage also helps to leaders and then with specific groups (e.g. women and men, wealthy and rich,
build and strengthen rapport with the community. different livelihood groups, etc). It is always useful to identify key informants
and have separate meetings with them.
Establish contact with the community and decide a date, time and place for an
initial community meeting. Finalise the schedule through discussion with the community according to
suitability and availability of community members. Consider if people will
For transparency and accountability, make sure that the community is aware have to take time off from work to take part in the PCVA and whether it can
of the nature and purpose of the PCVA process, and understand that the be scheduled for when they have free time. Consider if special provisions and
information will be used for action planning for CCA and DRR of the community. associated funding will be required for women and other vulnerable groups to
Spend as much time as necessary at the beginning so that the community is participate.
fully aware of this and there are no wrong expectations.
Ensure provision and funding for equipment and stationery. Find out if these
Highlight that the participation of community members is voluntary and materials can be stored safely in the community during the duration of the
connected to strengthening capacity and reducing vulnerability within their PCVA. If these materials are not appropriate for the community, assess locally
own community, and the organisation does not have any vested interest. suitable materials (eg sticks to draw on the ground, stones, seeds, etc).
Explain that participants are free to withdraw at any stage of the PCVA, but it
would be useful to discuss the reasons for that with the facilitation team. Make arrangements and provide funding for local transport to the community.
Find out if community participants will require funding for transport to attend
The team should be open to receiving any feedback, questions and complaints the PCVA.
throughout the course of the PCVA, and explain that all effort will be made to
address these to mutual satisfaction. Develop a system for collating, organising and filing information. Once again,
distribute these tasks between the team.
Decide the location(s) where the PCVA process will be undertaken. If there is no
community building, discuss and seek agreement on suitable places within the Decide how much time this stage will take and how much time to allocate for
community. each session. Prepare a workshop-type agenda with time slots for different
sessions. However, be flexible. It may not always be possible to stick to the
Collaboratively decide who and how many persons from the community will schedule, so build in allowance for that in the schedule. As a rough estimate,
participate in the PCVA process. a few days should be adequate, but will depend on a range of factors time
Ensure balanced representation (the participation of women, children and the availability of community members, weather, previous assessments etc.
elderly). Consider if there will be provision for lunches, tea/coffee and snacks, and
If it is easier, the facilitation team can identify a list of specific questions to related catering arrangements.
answer through this process, relevant to the community and the project/ At the completion of this stage, the facilitation team should have an
process the PVCA is connected to. This may help to maintain a focus, understanding of how the community is structured, what groups exist within it
particularly if there are time limitations. However, this does not mean and their relative significance. Knowledge should also be gained of the living
discussions led by community members should be stopped if they do not patterns of the community, power structures, its environment, resources and
answer questions, rather they can act as a guide for facilitating discussions. infrastructure.
Page 15
Stage 3 Generating a community overview cont ...
Generating a To generate a shared Organise community meeting to introduce purpose, process, who is involved Plate Diagram to show the composition of population
community overview understanding of and expectations of the community. groups (Annex 1).
the communitys Begin the PCVA process through participatory community engagement. Daily Time Chart to show how people spend their time over
composition, the course of a day (Annex 2).
social and political Find out the following contextual information:
structures, Gender and generational roles in the community. Venn/Circle Diagram to show different actors in the
livelihoods and community and how they interact (Annex 3).
Community power structures and hierarchies.
resources. Resource map to record information about natural and
Which groups and organisations exist within the community, physical resources (Annex 4).
particularly with regards to CCA and DRR.
Transect walk to make observations about the community,
Which governmental, NGO and private sector institutions exist within its resources and infrastructure (Annex 5). This can also
the community, and what other external institutions do community be a tool to look for evidence of past hazards and change,
members interact with. feeding into the work done in the next Stage 4.
What natural and physical resources are important to livelihoods, life
and well-being in the community.
Page 16
Stage 4 Analysis of hazards and stresses, and vulnerability and capacity
Much of the instructions/requirements for Stage 3 will also apply to this stage The participation of elderly community members, both women and men, is very
including those concerning gender balance, inclusion of vulnerable groups, important at this stage to get an understanding of the history of disasters and
flexibility, triangulation and logistics (timing, location, catering, etc). changed climatic patterns.
This is a key stage as it builds on the previous stages to focus on issues If it is easier, the facilitation team can identify a list of specific questions
central to the PCVA, that is, capacity and vulnerability. to answer through this process, relevant to the community context and
At this stage it is important to go beyond only past hazards and disasters the project/process the PVCA is connected to. This may help to maintain a
and identify changing climatic patterns. This can include changed rainfall focus, particularly if there are time limitations. However, this does not mean
and seasonal patterns, variation in river flows, saltwater intrusion, and other discussions led by community members should be stopped if they do not
related changes such as fruit/vegetable ripening, insect infestation or bird answer questions, rather they can act as a guide for facilitating discussions.
migration. As this stage is central to the PCVA, devote adequate time to it. Although there
The secondary information collected in Stage 2 can be useful at this stage. This are fewer exercises compared to some of the other sessions, spend sufficient
outside information can be used to complement the discussions on community time in the analysis and triangulation process. This stage can take up to one
knowledge and experience on climate change and disasters. week.
During this stage also observe and record evidence of hazards, if any marks At the completion of this stage, the community should have a clearer
left by flooding indicating flood level, damaged houses, dry wells or fields, etc. understanding of its capacity and vulnerability and the facilitation team
The Transect Walk tool discussed in Stage 3 can be useful at this stage to look members should have an expanded understanding of the context and
for evidence of past hazards and change. community in terms of its past and present hazards, weather and climatic
patterns.
Analysis of hazards To enable community Identify aspects of vulnerability being experienced in the community, Hazard Map to record information about different types of
and stresses, and members to discussing and collecting information on: hazards (Annex 4).
vulnerability and analyse different History of disasters in the area, and if patterns relating to these events Seasonal Calendar for weather patterns during an annual
capacity hazards and their have changed (and why). cycle (Annex 6).
stresses, and their
vulnerability and Observations on other changes to climate conditions. Historical Timeline to understand the broad history of
capacity to deal with Other events, conditions or trends that the community feels unable to disasters, and climatic trends over time (Annex 7).
them. cope with or adapt to. Key informant interviews to find out about different social
What the impact of such events and changes has been. and livelihood groups in the community and their perceptions
about vulnerability and capacity. Possibly specific members
How communities (and different groups) have managed these events of the community may have better knowledge on the above
and changes. issues (especially elderly persons) than the community
Social, environmental or economic assets within the community that members taking part in the PCVA. Seek the help of such
have been relied on. people as key informants.
Social, environmental or economic assets outside of the community Hazard Map to record information about different types of
that have been relied on. hazards (Annex 4).
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Stage 4 Analysis of hazards and stresses, and vulnerability and capacity cont ...
Experiences of household food security. Seasonal Calendar for weather patterns during an annual
Groups living in poverty and the reasons for that (gender, disability, cycle (Annex 6).
religion, ethnicity, etc). Historical Timeline to understand the broad history of
Build on the above information and find out more in-depth information on disasters, and climatic trends over time (Annex 7).
different types of hazards and stresses that impact on the community, and Key informant interviews to find out about different
capacity within the community for resilience and adaptation. social and livelihood groups in the community and their
Explore beyond the obvious and try to reveal hidden strengths and potential perceptions about vulnerability and capacity. Possibly
resources. specific members of the community may have better
knowledge on the above issues (especially elderly
persons) than the community members taking part in the
PCVA. Seek the help of such people as key informants.
Page 18
Stage 5 Analysis of livelihoods
Much of the instructions/requirements for Stage 3 will also apply to this stage The Transect Walk tool can also be useful to know about the places where
including those concerning gender balance, inclusion of vulnerable groups, people work and the important livelihood areas of the community.
flexibility, triangulation and logistics (timing, location, catering, etc). Ensure that the analysis of livelihoods is disaggregated by gender. Explore the
This stage is important as it will allow a better understanding of the impacts of involvement of children and the elderly in livelihood activities.
disasters and climate change on livelihoods in the community. Particularly in This is a relatively focused stage and should require up to a few days to
poor and marginal communities, livelihoods are crucial and highly vulnerable to complete, and can be undertaken in conjunction with Stage 4.
hazards and weather fluctuations. It is therefore very important to include such
information in the development of community action plans. At the end of the stage the facilitation team should know what the main
livelihoods are in the community, how they are vulnerable and what potential
However a focus on livelihoods should not exclude discussion on other issues exists for increasing capacity. For the community, the analysis should assist
important to the community. Additional tools/activities can be undertaken to not only in understanding the vulnerability of their livelihoods, but also
analyse other sectors such as health, WASH or natural resource management. what underlying strengths exist in the community that can reduce risks and
Discussions on livelihoods, income and poverty can be sensitive. Respect local facilitate adaptation of livelihoods to present (and future) hazards and climate
sensitivities and the values of the PCVA participants and other community change.
members.
In some cases, it might be useful to make site visits to places where people
work. With permission record the details of such work places with photographs
as future reference material.
Analysis of To identify Take into account information already collected, particularly in Stages 2 and 3, and Seasonal Calendar to identify livelihood
livelihoods socio-economic discuss further and collect more information to complete a livelihoods analysis: activities during the year (Annex 6).
characteristics Main livelihood groups within the community and what cycles they follow. Ranking through focus group discussions to
of groups in the identify key poor and vulnerable livelihood
community and What other external agents are involved in the livelihood groups (e.g. markets,
groups (Annex 8). Also cross-refer to
understand their transport, input providers).
information collected in Stage 3 and Stage 4.
resources for Which groups or livelihoods are more economically vulnerable or unable to cope with Key informant interviews or group interviews
resilience to climate hazards or stresses (eg women). representing different vulnerable livelihood
change and disasters.
Positive and negative coping strategies. groups. If it proves convenient, combine these
interviews with key informant interviews of
Key constraints and opportunities faced by each vulnerable livelihood group.
Stage 4.
Whether livelihoods are being affected by longer term changes (eg weather patterns
and climate), which will need to be explored more.
Where community members might seek support in developing their livelihoods.
Alternative livelihood opportunities.
Gaps and opportunities in relation to external institutions which affect livelihoods.
Page 19
Stage 6 Analysis of future uncertainty
Much of the instructions/requirements for Stage 3 will also apply to this stage and resources, and what has worked successfully. Focus specifically on
including those concerning gender balance, inclusion of vulnerable groups, knowledge related to climate and hazards data.
flexibility, triangulation and logistics (timing, location, catering, etc). The participation of elderly community members, both women and men, is
This is an important stage as it should reveal long term issues affecting the important at this stage to get an understanding of historical patterns.
community, especially climate change. Though efforts should be made to In some cases, it might be necessary to involve some people from outside
understand climate change impacts, because of discussions on disasters as the community, such as local government officials or local NGOs/CBOs, to get
well, less scope for discussion on long term impacts of climate change might a good understanding of the knowledge networks in the area and how the
be available. In this stage more focused attention can be given. community might be able to access them.
In Stage 4, some of the key issues regarding climate change should have been For the storytelling sessions, explore if this can be done informally. Be
discussed. In this stage, discuss them further to explore how these changes innovative spend time in the community and interact casually after work
are contributing to future uncertainty. hours, in local teahouses or restaurants, or share meals, or other such informal
The discussions in this stage will elaborate on the impacts of hazards and activities.
climate change, and highlight the various strands that contribute to risk facing As by this time significant groundwork has already been done, the analysis at
the community. this stage can be focused and completed within a few days.
At this stage, the secondary information collected in Stage 2 can be At the completion of this stage, both the facilitation team and the community
particularly useful. It will allow cross-checking and analysing consistencies or participants will have an understanding of the long term trends (including
inconsistencies of the communitys observations and experiences of climate climate change) relating to the community. It will also identify the sources of
change with scientific data. scientific and technical information and how such information can be merged
Spend time on finding out all the changes affecting the community, review the with community knowledge for an adequate analysis of possible future impacts
secondary information collected in Stage 2 and analyse with the community on the community.
what the actual climate change impacts are, distinct from other factors
(urbanisation, population growth, infrastructure, etc).
Include investigation of how the community currently accesses new knowledge
Analysis of future To understand Taking into account information already gathered, further explore future Long Term Trend Analysis to explore historical patterns
uncertainty significant changes uncertainty and possible impacts on the community. Identify: of issues that affect development (Annex 9).
over time that are long terms trends including climate change affecting the community. Knowledge Network Mapping to explore different
contributing to sources of information relating to climate change or
how changes may affect women and men differently.
peoples vulnerability, other trends (Annex 10).
and how they could how people understand the causes of these trends or changes.
Storytelling and discussion to allow people to share
build resilience and how people access (or dont) relevant and timely information to help them
experiences of how their livelihoods have been
adaptive capacity. reduce risk or adapt.
impacted by trends.
how people are adapting to change now, and what resources they have for
Review of secondary scientific information to analyse
adaptation.
consistencies or inconsistencies of the communitys
whether they feel confident about their ability to adapt to future changes. observations and thereby synthesising the two strands.
Page 20
Stage 7 Governance analysis
Much of the instructions/requirements for Stage 3 will also apply to this stage Governance should consider both government and traditional/local leadership
including those concerning gender balance, inclusion of vulnerable groups, and power structures. Consider both female and male structures. Analyse local
flexibility, triangulation and logistics (timing, location, catering, etc). patronage links and power networks.
The importance of this stage lies in the possibility of achieving clarity on the Understand the legal obligations and responsibilities of different governance
connections of the community with governance structures, in order that rights structures and what the community is entitled to and what its rights are. The
and entitlements are understood and channels for advocacy identified. secondary information collected in Stage 2, particularly regarding national
Discussions on governance can sometimes be sensitive depending on the policies on DRR/CCA and poverty, can be utilised to enable the community to
political situation in the country. The community can also be divided along analyse their rights and entitlements.
political lines. Local government representatives may want to participate in Seek the participation of local traders for the market mapping sessions.
or observe the PCVA. This stage requires a careful assessment of the local Market mapping might not be applicable to all contexts. In a community where
situation and interpreting the analysis accordingly. trading or farming is of less significance this tool is not relevant.
Local government officials can often be useful key informants for this stage. Spend up to a day on this stage.
Sometimes approval by local authorities for conducting the PCVA might be
required; involving them in some sessions, or as key informants, can ensure After completing this stage, all participants should have an understanding
their cooperation and support. of the communitys linkages with different external and internal governance
and institutional structures, including markets, and how such linkages can
Similarly, local NGOs/CBOs might be active in the area and have strong contribute to DRR and CCA.
connections with the community. Some of them might be involved in advocacy
for the community. Seek to gain their inputs as key informants and in some
sessions in this stage.
Governance analysis To understand Using the information gathered and issues raised in previous stages (especially Stages 2 Problem Tree to identify policy and
the roles played and 3) identify: institutional blockages that may underline
by different what agencies, organisations, community or governance structures exist within the a particular problem (Annex 11).
organisations both area and how do communities interact with them? Institutional Mapping to map different
within and outside institutional service providers (Annex 10;
what governance structures (and policies) have responsibilities for supporting
the community, how Annex 3).
communities in DRR, CCA or livelihoods (or other relevant sectors)?
accessible they
are, and how they which organisations, policies and processes are contributing to the occurrence of Market Mapping to identify different market
are contributing to hazards, exposure to hazards, livelihood vulnerability, or future uncertainty? chain actors to identify bottlenecks and
improvements in the which organisations, policies or processes could (or have) strengthen livelihoods opportunities (Annex 12).
community. security and diversification, support disaster risk reduction efforts and/or adaptive Interviews with key informants to provide
capacity? How? further insight into institutional limitations
what constraints and opportunities exist for improving the governance situation? and opportunities. Can be combined with
what are the effective channels for advocacy and lobbying for support to DRR and CCA? interviews of Stages 4 and 5, if convenient.
What has worked in the past and what could be strengthened?
Page 21
Stage 8 Prioritisation and action plan
Much of the instructions/requirements for Stage 3 will also apply to this stage Key element to discuss at this stage is who will take ownership of the action
including those concerning gender balance, inclusion of vulnerable groups, plan and be accountable for implementing it. The need to articulate who from
flexibility, triangulation and logistics (timing, location, catering, etc). the community will be involved in implementing the action plan (and what
This is a conclusive stage of the PCVA process, where the information from role the organisation facilitating the PCVA will have in the action plan) is also
previous stages are synthesised with the objective of developing community required.
action plans. The PCVA is not a standalone process, but part of a sequence of Need to ensure that together with past hazards and current risks, future
activities that are eventually translated into action. This stage is important for anticipated slow onset climate change impacts are also addressed in the
understanding how the work done so far can lead to concrete actions. action plans.
Before beginning this stage it will be necessary to review what has been done, As this is a crucial planning stage and various priorities and agendas within the
feeding back information gathered and analysed to the community to ensure community would have to be taken into consideration, it might require a lot of
all participants are aware of, and understand, its implications. Triangulate this discussion, time and sensitivity. This could take several days.
review with different community groups, so that gaps in understanding can be At the completion of this stage, the community should have an implementable
identified and addressed. This will promote agreement on the accuracy and community action plan with clearly outlined roles within the community and of
usefulness of the information before initiating the action planning. the organisation.
Different members within the community may have different priorities, and
hazards may affect them differently. Therefore Hazard Ranking can be a
sensitive exercise. Use triangulation as a way of understanding the differences
and then develop plans that most community members agree would benefit the
community as a whole.
Prioritisation and To prioritise issues Using the information gathered in the previous stages identify: Risk Quadrant to develop a common
action plan identified for which hazards and stresses present the highest risk to the community? This should understanding of risk and to compare
inclusion in action include different groups within the community (women, young people, people with different sources of risk (Annex 13).
plan. disabilities, elderly etc) Ranking to identify key hazards and
which hazards and stresses the community would like to address (present and future) stresses community member would like to
as a result? address (Annex 8).
how the community would like to address prioritised hazards and stresses (present Validity Quadrant to develop a common
and future)? understanding of the effectiveness and
sustainability of different strategies
how they would like to manage risk and uncertainty? selected (Annex 13).
how they would like to address the underlying causes of vulnerability and increase Solution tree and Tree Pruning (Annex 11) to
adaptive capacity? identify key actions to be included in action
plan.
Page 22
Stage 8 Prioritisation and action plan cont ...
Undertake to record this information into an action plan: Wall plan, impact chain or log frame to record key
Direct actions and who is/are responsible. interventions planned (Annex 14).
Indirect actions and who is/are responsible.

When actions will take place.
What resources they require (community, other).
Costs.
Present draft action plan to community assembly to discuss and agree
upon:
Establishment of adaptation and risk reduction committee (balanced
male/female representation)
Briefings with stakeholders to take forward actions.
Page 23
Stage 9 Finalising the PCVA process
Need to be clear what information the community wants and if there is any Spend a day or two on this wrap-up stage, but build in extra time for follow-up
additional information they want access to. activity.
It is important at this stage to highlight continuity in terms of follow up and At the completion of this stage, the community should know how to approach
possible support for implementing the action plans. the organisation in the future and access any further information if necessary.
Need to establish focal persons in both the facilitation team and community You may want to consider a celebration/event to celebrate the completion of
who will lead future liaison and follow-ups. the PVCA and to showcase the new community plans.
Finalising the PCVA To finalise the PCVA Prior to departing the team should: Email list, written contact group and/or
process process and set Establish a liaison group within the community and a system for communication. organisational chart.
in place follow-up Report template.
actions. Agree on a process to compile the PCVA outputs, prepare a report and share it.
Arrange follow up meeting(s) with the community.
Compile a report on the PCVA process including of community action plan to be
implemented.
Page 24
8. AnNexes
Annex 1: Plate/Circle
Diagram or Pie Chart
Plate or Circle Diagrams (also called Pie charts) are
used for comparisons of a small number of categories
(see Fig. 4, right). Using more than five categories
can make a Plate Diagram difficult to read. It is very
important to label the slices to make the comparison
easier. The slices should be also coloured or shaded
differently for easier comparison.
Discuss with the participants what the key different
groups in the community are. This can be along
the lines of gender, age, religion, ethnicity or any
other grouping that they think characterises their Fig. 4: Example of a Plate Diagram showing age groups in a community
community.
groups in the community (women, men, old, employed,
Explain the Plate Diagram using an illustration and unemployed, etc). Based on the Plate Diagram, Daily
ask participants to draw such a diagram using the Time Charts to be prepared for each group identified as
categories they suggested. Remember to mention important in the community through discussions with
that the proportions do not have to be exact, but can each group.
be approximate.
If the participants find it difficult to easily identify
Divide the participants into groups of 45 per group, general patterns, individual Daily Time Charts should
taking care that each group represents a balance be made and then compiled into a general one for
in gender, age, etc. Once the Plate Diagrams are the group.
completed, have an open discussion and compare
them to arrive at a final diagram. Do remember that this does not have to be perfect.
The aim should be to understand the overall general
pattern. Focus on what is important and do not make
Annex 2: Daily Time Chart the diagram too complex. Facilitate the discussion
A Daily Time Chart (see Fig. 5, below) allows collecting to make the participants concentrate on the general
information on the daily activity patterns of community pattern of time allocation to different activities and
members and to compare the patterns of different use of the time.
Fig. 5: Example of a Daily Time Chart of womens activities in the Gaza

Strip (from Theis and Grady 1991)
Page 25
Annex 3: Venn Diagram
A Venn or Circle Diagram (Fig. 6) shows the key
institutions in a community and their importance and
relationships. Discuss with participants and identify
the key institutions in their community and also
those that have a relationship with the community.
Identify the degree of contact and overlap between
the institutions and with the community in terms of
decision-making or services delivery.
Follow the basic guide: Separate circles = no contact;
Touching circles = information passes between the
institutions and/or to the community; Small overlap
= some cooperation; Large overlap = significant
cooperation. Most important institutions should be
drawn as the largest circles and less important ones
as smaller circles.
Venn Diagrams might be difficult for those not familiar
Fig. 7: Example of a Resource Map using symbols to show natural and
to them, so draw a simple example. Draw the diagram human-made features of an area in Kenya (from Kalibo and Medley 2007)
in pencil first and adjust the size and arrangement
until participants are satisfied.
Annex 4: Resource Map/ Hazard Map

A Resource Map (Fig. 7, above) is prepared by a
community to provide an understanding of which
places and resources are used for what purposes in
their locality. A simple sketch map with hand-drawn
symbols is the most common type, but communities
can also be trained to use more sophisticated
methods such as the use of a GPS. Do not look for
accuracy as such maps typically are not to scale. The
Resource Map is mainly used to indicate the spatial
layout and accessibility of the communitys natural
and physical resources and features, and their inter-
relationships.
Similarly, a Hazard Map (Fig. 8, below) of the
community can be prepared. First plot the main
features of the area such as houses, community
buildings, fields, natural features, etc. Once again,
exact details are not necessary. For example, not
all the houses have to be mapped, only the area
where the houses are located, using the symbol for a
house. Then identify the hazards and which areas and
resources are the most affected.
Fig. 6: Example of a Venn Diagram showing water use/control in

Sudan (from Theis and Grady 1991)
Fig. 8: Example of a Hazard Map in a village in Ghana (Daze et al 2009)
Page 26
Annex 5: Transect Walk
A Transect Walk is a diagram of main land-use zones in
an area. It complements a Resource Map by comparing
the main features, resources, uses and problems of
different zones.
Walk with community participants through their area
and surroundings and discuss the characteristics of
each zone. After returning from the walk, work with the
participants to prepare the transect walk diagram, as
shown in below in Fig. 9 (right). Ask participants to use
symbols that they are familiar with, as in the Resource
Map. A Transect Walk can also be used to complement
a Hazard Map.
Annex 6: Seasonal Calendar

A Transect Walk is a diagram of main land-use zones in
an area. It complements a Resource Map by comparing
the main features, resources, uses and problems of
different zones.
Walk with community participants through their area
and surroundings and discuss the characteristics of
each zone. After returning from the walk, work with
the participants to prepare the transect walk diagram, Fig. 9: Example of a Transect Walk diagram from a village in Sudan
as shown in below in Fig. 10 (below). Ask participants (from Theis and Grady 1991)
to use symbols that they are familiar with, as in the
Resource Map. A Transect Walk can also be used to
complement a Hazard Map.
Fig. 10: Example of a Seasonal Calendar from a village in Sudan

showing rainfall, crop patterns and labour demand (from Theis and
Grady 1991)
Page 27
Annex 7: Historical Timeline
A Historical Timeline (Fig. 11) reveals information for
understanding the present situation in a community. It
allows insight into past hazards and changes in their
nature and intensity, and how they have resulted into
the current situation.
Ask the participants to list major events and
disasters in chronological order. Events that may
have contributed to vulnerability or capacity, such as
change in government or major political events, should
also be listed. Seek the help of key informants such as
elderly members of the community.
Fig. 12: Example of a Ranking of well-being in Cambodia (CWS 2010)
Hazard Ranking can be done similarly, listing hazards

affecting the community from the most severe hazards
to less severe ones.
Annex 9: Long Term Trend Analysis

A Long Term Trend Analysis can be done using the
findings of the Daily Time Chart (Annex 2), Seasonal
Calendar (Annex 6) and Historical Timeline (Annex 7).
For the PCVA, this tool is used to understand future
uncertainty, particularly climate change, based on
past trends.
Participants should be asked to analyse what the root
causes of the changes are and how they vary between
different wealth/ social groups within the community.
Having analysed important historical trends,
participants can then be asked what changes they
expect to take place over the next 1015 years or so.
Using familiar symbols, the analysis can be compiled
into a diagram as a series of pictures showing the
nature of change (see Fig. 13 below).
Fig. 11: Example of a Historical Timeline prepared in Niger showing

events such as famines gradually weakening the community (Daze
et al 2009)
Annex 8: Ranking
Ranking of wealth or wellbeing can be elaborate when
used for poverty alleviation programs. For the PCVA, a
simple ranking of different livelihood groups should be
done to understand vulnerability.
In consultation with the participants, decide on a few
main wealth groups (see Fig. 12 for an example). This
can also be based on the findings of the Plate Diagram
(Annex 1). Allocate a number to each household in
the community and write each number on separate
cards. Divide participants into three or more groups
and ask each group separately to order the cards into
the different wealth groups. Use separate baskets
or boxes to sort the cards according to each wealth
group.
Compile the findings from the different participant
groups into one ranking table. Seek the help of key
informants if the ranking between the groups vary
too much and also validate by observing the living
conditions of the different households. Note the
criteria used by the participants for ranking Fig. 13: Example of a Long Term Trend Analysis (CIDT 2001)
(see Fig. 12). Page 28
Fig. 14: Example of a Network Map from India showing different types
of links between various groups by using different types of lines
(Benecke 2011)
Annex 10: Knowledge Here instead of problems, list the solutions. The trunk
Network Mapping represents the solutions; the roots are the actions for
implementing the solutions and the leaves the results
With participants, list the knowledge sources on of the actions.
climate change and disasters within the community
and outside within and external to the community. Tree Pruning can be used to further define the Solution
These can be organisations, social groups, Tree. Remove the leaves and roots that represent
households and/or individuals. problems that would be impossible to address in the
short term. Keep the leaves and roots that can be
Draw a diagram with these sources represented as addressed through feasible action plans.
circles or some other shape and label them (Fig. 14,
above). Place the sources within the community inside
an inner circle and the others outside the circle. Use
different types of lines to connect the sources (such
as dotted, thick, thin, etc) or use different colours to
represent strong to weak connections or networks
between them. The direction of the arrows can be
used to indicate direction of knowledge flow.
Knowledge Network Mapping can also be done using
a Venn Diagram (see Annex 3). A technique similar
to Knowledge Network Mapping or a Venn Diagram
can be used for Institutional Mapping to identify
key institutional service providers and connections
between them and links to the community.
Annex 11: Problem/Solution

Tree & Tree Pruning
The Problem Tree shows the relationships between
different aspects of a problem. It allows understanding
of the root causes of the problem and the
consequences. It helps to develop actions to address
the root causes of vulnerability, in the case of the
PCVA, to disasters and climate change.
Give participants small pieces of paper and ask them
to write one major problem relating to disasters and/
or climate change. Then group the problems according
to similarity. Then draw the Problem Tree the trunk
represents the problems, the roots the causes and
the leaves the effects. Identify institutional and policy Fig. 15: Example of a Problem Tree to analyse social problems
blockages. (Community Media undated)
In the same way, a Solution Tree can be produced.

Page 29
Annex 12: Market Mapping
Market Mapping allows small-scale farmers, traders
or producers to make action plans to access markets
and sell their products. This can reduce economic
vulnerability and increase capacity of community
members.
As in the Knowledge Network Mapping (Annex 10) first
create a diagram of the main actors of the market
supply chain of a particular product important in
the community and identify their relationships (see
Fig. 16, below). At a later session, include as many
representatives from these actors as possible and Fig. 17: Example of a Risk Quadrant
discuss to identify barriers, and win-win solutions
agreeable to all the actors. Then develop an action
plan to overcome the barriers and move the should be listed in the bottom right box. This allows
solutions forward. analysing which hazards pose most risk and hence
should be prioritised for action.
Annex 13: Risk Quadrant A guide to develop risk reduction action plans based
on the Risk Quadrant can be as follows: HighHigh
Use information from the Hazard Map (Annex 4) and work actively to prevent these hazards; LowLow
Hazard Ranking (Annex 8), and also the Historical keep a watch-out; HighLow reduce likelihood of
Timeline (Annex 7). The hazards affecting the impact; LowHigh be prepared for this to happen.
community can be displayed in a Risk Quadrant or
Matrix to understand risk in terms of impact and Similarly, a Validity Quadrant can be made. Here
probability (Fig. 14). plot the different ARR action plans or strategies
according to effectiveness and sustainability in four
Draw a four-quadrant matrix as shown in Fig. 17 (right) boxes. Strategies in the High (effectiveness) High
. Ask the participants to list the hazards that are most (sustainability) box should be prioritised, while those
likely and can have high impact in the top right box. in the LowLow box can be considered for action much
Hazards that can have high impact, but low likelihood later in the future.
should be listed in the top left box. Less likely and
low impact hazards should be listed in the bottom left
box. Hazards that are very likely, but having low impact
Fig. 16: Example of Market Mapping for bee products in Nepal

(Practical Action 2008)
Page 30
Annex 14: Wall Plan/ Impact
Chain/ Log Frame
There are various project management tools and the
action plan developed through the PCVA process will
have to utilise such a tool to monitor progress and
measure its impact.
A simple Wall Plan involves listing the action plan or
project timeline on a series of large sheets of paper
fixed to the wall of the project office or the place in the
community from where the project is being managed.
It should indicate regular milestones for reviewing
progress and developing actions to keep progress on
track. An Impact Chain is another such tool. It answers
a key question, What do we want to achieve?
according to resources, activities, output, usage/
target group and impact.
The Log Frame (Fig. 15) is a more sophisticated
tool, and although it can be effective, it requires
substantial training to understand and use it. The
Log Frame should be used right from the beginning of
project design. It allows defining what the project will
do, and produce, its objectives and assumptions, and
how the projects impact will be measured, monitored
and evaluated.
Fig. 18: Example of a Log Frame matrix (AusAID 2005)
Page 31
9. Key Resources and References
Resources and Further Information

CIDT (2001) Participatory Learning and Action Training Course. Walsall (UK), Centre for International Development and
Training (CIDT).
Daze, A., Ambrose, K. and Ehrhart (2009) Climate Vulnerability and Capacity Analysis Handbook. Canberra, CARE. http://
www.careclimatechange.org/tk/integration/en/quick_links/tools/climate_vulnerability.html
Regmi, B.R. et al (2010) Participatory Tools and Techniques for Assessing Climate Change Impacts and Exploring Adaptation
Options: A Community Based Tool Kit for Practitioners. London, DFID (Department for International development) and
Kathmandu, LFP (Livelihoods and Forestry Programme). http://www.forestrynepal.org/publications/reports/4667
IFRC (2008) What is VCA? An Introduction to Vulnerability and Capacity Assessment and VCA Toolbox. Geneva, International
Federation of Red Cross and Red Crescent Societies (IFRC). www.ifrc.org/Global/Publications/disasters/vca/vca-toolbox-
en.pdf
Oxfam GB (2010) Oxfam Participatory Capacity and Vulnerability Analysis: A Practitioners Guide. Oxford, Oxfam.
Theis, J. and Grady. H.M. (1991) Participatory Rapid Appraisal for Community Development. London, International Institute
for Environment and Development (IIED). http://pubs.iied.org/8282IIED.html
Turvill, E. and Dios, H.B.D. (2009) Participatory Capacity and Vulnerability Analysis Training Pack. Oxford, Oxfam. http://
disastermanagementbangladesh.org/oxfam_tools/index.php
References in Annexes
AusAID (2005) AusGuideline:The Logical Framework Approach. Canberra, AusAID.
Kalibo, H.W. and Medley, K.E. (2007) Participatory Resource Mapping for Adaptive Collaborative Management at Mt. Kasigau,
Kenya. Landscape and Urban Planning, no. 82.
CWS (Church World Service) (2010) Participatory Rural Appraisal and Wealth Ranking (presentation). Phnom Penh, Act
Alliance.
Benecke, E. (2011) Networking for Climate Change: Agency in the Context of Renewable Energy Governance in India.
International Environmental Agreements, vol. 11, no. 1.
Practical Action (2008) Learning from Practice: Lessons on Facilitating Participatory Market Mapping Workshops. Rugby
(UK), Practical Action.
CIDT (2001) Participatory Learning and Action Training Course. Walsall (UK), CIDT (Centre for International Development and
Training).
Community Media (undated) Participatory Learning Manual. Dublin, Community Media.
Page 32
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Tel: +61 3 9289 9444
Fax: +61 3 9347 1983
www.oxfam.org.au
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Participatory Capacity and

Vulnerability Analysis (PCVA) Toolkit

Supported by Australian aid.

Dr Iftekhar Ahmed, Research Fellow, CCAP

Published November 2012

132 Leicester Street

2. Key Climate Change and Disasters Concepts 2

3. Key PCVA Concepts 3

5. Working with Communities 7

6 Other Points to Consider 9

7. Guidance on PCVA Stages 11

9. Key Resources and References 31

This toolkit assembles a set of tools and describes Re-Facilitation

There are many other PCVA or related manuals; some

Disasters can result from natural and human induced

Framework 1. Collecting secondary data

Methods Community and stakeholder consultations, participatory methods, background research

Table 1: Key features of PCVA

This section outlines some of the logistic and Time

Groundwork Gender and Inclusion

Language and Literacy

Selecting the Relevant Tools Involving local Authorities

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Stage Purpose Tasks and Questions Tools and Resources

Indirect actions and who is/are responsible.

Stage Purpose Tasks and Questions Tools and Resources

Fig. 5: Example of a Daily Time Chart of womens activities in the Gaza

Annex 4: Resource Map/ Hazard Map

Fig. 6: Example of a Venn Diagram showing water use/control in

Fig. 8: Example of a Hazard Map in a village in Ghana (Daze et al 2009)

Annex 6: Seasonal Calendar

Fig. 10: Example of a Seasonal Calendar from a village in Sudan

Hazard Ranking can be done similarly, listing hazards

Annex 9: Long Term Trend Analysis

Fig. 11: Example of a Historical Timeline prepared in Niger showing

Annex 11: Problem/Solution

In the same way, a Solution Tree can be produced.

Fig. 16: Example of Market Mapping for bee products in Nepal

Fig. 18: Example of a Log Frame matrix (AusAID 2005)

Resources and Further Information

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