VULNERABILITY AND CAPACITY ASSESSMENT GUIDELINE

VULNERABILITY AND CAPACITY ASSESSMENT GUIDELINE

WHAT GUIDES OUR WORK Mission: To volunteer, participate and partner in delivering humanitarian service to the most vulnerable. Vision: To be a model National Society contributing to overcome humanitarian challenges. Primary objective: To prevent and alleviate suffering with complete impartiality, making no discrimination. STRATEGIC GOALS Disaster Management: Enhance local preparedness, response and recovery through community-based initiatives and advocacy. Health and Social Care: Promote healthy living through community based initiatives. Youth: Mobilize youth as agents of change in addressing youth related issues. Organizational Development: Build a sustainable national society by enhancing institutional structures, systems, skills and capacities to deliver quality services. Document by: Financial and Technical support by: Disclaimer: This book is adapted and contextualized from the Vulnerability and Capacity Assessment Series, International Federation of the Red Cross and Red Crescent Societies (IFRC), 2005. Maldivian Red Crescent, Maldives, 2012 Copies and translations of all or part of this document may be made for noncommercial use, provided that the source is acknowledged. The Maldivian Red Crescent would appreciate receiving the details of its use.

Vulnerability and Capacity Assessment GUIDELINE

CREDITS: Document Author: Maldivian Red Crescent Technical Input by: Ahmed Siyah, CBDRR Project Officer, Maldivian Red Crescent Aminath Sharmeela, Programme Manager, Maldivian Red Crescent Colin Fernandez, Disaster Risk Reduction Advisor, IFRC South Asia Regional Delegation Fathimath Rishana, CBDRR Project Coordinator, Maldivian Red Crescent Fathimath Himya, Programme Field Officer, Maldivian Red Crescent Ibrahim Fawaz, Development Coordinator, Maldivian Red Crescent Ibrahim Solah, Programme Field Officer, Maldivian Red Crescent IFRC Climate Center Maldivian Red Crescent Volunteers Mohamed Adeel, CBDRR Project Officer, Maldivian Red Crescent Shaziya Ali, Programme Field Officer, Maldivian Red Crescent Shesh Kafle, Canadian Red Cross Society Financial support: Canadian Red Cross Society, Community Based Disaster Risk Reduction Project 2010 2015 International Federation of the Red Cross and Red Crescent Societies (IFRC) Photography: MRC Photo Library

Contents Introduction What is a VCA - Maldivian Red Crescent definition... 5 Principles of the VCA process... 6 Objectives of a VCA... 7 The VCA process... 8 Getting ready: planning and budgeting a VCA process... 9 Step By Step Guide To Conduct A VCA Step 0: Selection of the community to conduct a VCA...13 Background (Desktop) Study...13 Step 1: Socialization of community to Vulnerability and Capacity Assessment (VCA)...14 Duration...14 Target audience...14 Minimum messages to the community...14 Methodology...15 Step 2: Selection and orientation of VCA Committee...16 Composition...16 Process of selecting VCA committee members...17 Roles and responsibilities...17 Step 2.1: Management of the VCA process...18 Step 3: Induction/training of VCA practitioners...20 VCA practitioners selection and recruitment...20 VCA induction and training...21 Step 4: Data collection using the relevant tools...22 VCA facilitator capacity and skills for tool implementation...33 Step 5: Verification of data and filling in gaps with the community...34 Tools and verification methods...34 Tool verification guideline...35 Conditions to change data on a tool...37 Step 6: Data analysis...38 Step 7: Participatory ranking and prioritization...41 Step 7.1: How to do ranking...41 Step 7.2: Problem tree...43 Step 8: Community Action Plan (CAP)...44 Step 9: Compile VCA Report and share with stakeholders...47 Step 10: Revising and updating of VCA...49 Use of VCA for MRC Unit and Branches...50 Annexure Annex 1 List of stationeries and materials required...53 Annex 2 Guide to organize information collected from the Desktop study...54 Annex 3 MRC VCA Toolbox (accompanied in a separate book)...55 Annex 4 VCA Report template...56

Introduction

What is a VCA - Maldivian Red Crescent definition Introduction The Maldivian Red Crescent (MRC) perceives the Vulnerability and Capacity Assessment (VCA) process as an opportunity to understand the Maldivian communities from all aspects. MRC understands and accepts the potential for VCA to be an all inclusive assessment that is meant to empower the community to take action towards reducing its vulnerabilities, address its problems and increase its resilience. In a community there are various factors that come in to play as the communities through time model below explains. A Vulnerability and Capacity Assessment (VCA) can support to assess and understand all these factors within communities and provide options for communities to reach the desired vision or goal (often development). The community engagement and participatory nature of VCA enables the community to be empowered, to consciously identify the vulnerabilities and capacities within each factor below, and use the capacities identified to alleviate these vulnerabilities through planned and proactive community-led action. In this sense, the VCA is a community process facilitated by the Maldivian Red Crescent. Figure 1 In short, Vulnerability and Capacity Assessment (VCA) is a process, 1) that captures and understands the vulnerabilities and capacities of a Maldivian community at a given time 2) that enables the community to decide and design activities that can help improve their own situation 3) that empowers community to take action based upon their analysis and priorities 4) that raises community priorities to the local government authorities to act upon them For MRC, this process is a strategic entry to support in understanding scope where MRC volunteers can partner and complement the community to build its resilience and capacity in different areas. 5

Principles of the VCA process VCA is led by the community themselves, thus empowering them to improve the quality of their lives and livelihoods. At the centre of this process, are the community members who discuss, plan and act on their priorities. Participatory Approach: The essence of the VCA lies in the involvement of the community in making decisions which would have a positive impact on their present and future lives. By involving communities in the process, they are able to understand the constraints, the reasons for these and opportunities to overcome them. It provides a platform for people from various social groups to raise their concerns and seek action on the same from the necessary actors. Most importantly, having the involvement of the community from the initiation of the process, creates ownership of the process and greater commitment to many factors such as the realization of the plans created by them. Focus on the most vulnerable: All communities are comprised of various groups of people differentiated by physical abilities, gender, age and economic conditions and the VCA process is able to bring these groups together. The VCA provides an opportunity to the most vulnerable to participate and ensure that their concerns are also taken into account during the analysis, planning and implementation process. While facilitating the VCA process, it is crucial that these vulnerable groups are adequately represented as well as given the opportunity to share during the discussions. The various activities which are planned are sensitive to the needs of these vulnerable groups; for example to ensure the evacuation routes are disable-friendly which would also cater to the aged, pregnant women and children. Capacity enhancement: The VCA process creates and enables a congenial environment where people s traditional knowledge and skills contribute to the larger goal of community development. It gives an opportunity for every member to share their knowledge and information with other members thus creating a greater pool. The VCA raises awareness, mobilizes people, identifies problems, creates solutions and promotes cohesion within the community which contributes to a more empowered community. It also helps communities to better understand their problems by identifying its root causes thus leading to appropriate and effective interventions and actions by the community. Linking VCA to local government planning for development: Under the new Decentralization Act, City, Island and Atoll councils are mandated to prepare, with the participation of the people, their Development Plan for a minimum of five years. The community needs to advocate/influence the local government officials to include their priorities within the plan as those are most pertinent to them. This presents an opportunity to inform the local governance officials to incorporate the VCA findings and priorities into the Island Development Plans. 6

Objectives of a VCA Introduction In its basic form, VCA enables communities to become more resilient, by supporting to understand the different priorities and actions that are possible for them to take towards sustainable development. Part of this is preparing for hazards and preventing them from turning into disasters, enabling healthy and safe living and attaining sustainable economic and social cohesion. In order to first understand the objectives behind conducting a VCA, it is important to understand that the reasons behind a VCA for a community and for the organization (MRC) in conducting/facilitating the process can be different. The objectives have been listed below, recognizing this factor. Objectives of a community to conduct a VCA To better understand their environment, society and community in relation to predicted risks and hazards (social, health, natural and economic) To gather baseline information, which serves as a crucial reference to gain financial support, and to mobilize themselves To increase the understanding of their capacities and opportunities to cope with above mentioned risks and hazards To reach agreement with local stakeholders on actions and priorities for the community at the given time To implement and evaluate projects in the areas for development, prevention, preparedness and risk reduction for the hazards identified Objectives for an organization (MRC) conducting/facilitating the VCA process To support a community in its development, preparation for disasters/risks, improve community cohesion and make the community more resilient to different hazards To gather baseline information, which serves as a crucial reference for organizational planning and programming, actions in the community and reference purposes To better understand the community s environment in relation to predicted risks and hazards and increase awareness about the existing capacities within the community To identify and reach agreements with local stakeholders on actions that can be taken, tapping into opportunities for partnerships and collaborations Design and implement projects in the areas of development, prevention, preparedness and risk reduction 7

The VCA process The VCA process is designed to achieve the above mentioned objectives and to empower the community where VCA is being conducted. The diagram below describes the VCA process that Maldivian Red Crescent will follow in order to conduct a VCA in any given Maldivian community. Process of the VCA STEP 0 Selection of the community to conduct a VCA STEP 1 Selection and orientation of VCA Committee STEP 2 Socialization of community to Vulnerability and Capacity Assessment (VCA) STEP 3 Induction/training of VCA practioners to VCA process and tools STEP 4 Data Collection using the relevant tools STEP 5 Verification of data and filling in gaps with the community STEP 6 Data Analysis STEP 7 Participatory ranking and prioritization STEP 8 Community Action Plan STEP 9 Compile VCA Report and sharing with stakeholders STEP 10 Revision and updating VCA periodically 8

Getting ready: planning and budgeting a VCA process Introduction Once the National Society has decided to undertake a VCA for a community, it is necessary to have a management structure, objectives developed and a work plan in place. For communities where MRC branches exist, VCA process should be planned and budgeted within the Branch annual plans. There are a few steps to be taken internally prior to initiating the VCA process. These steps are enumerated below. 1. Selecting a VCA Facilitator It is crucial to select an experienced and trained VCA Facilitator to lead the VCA process in the community. The criteria for a VCA Facilitator are as follows: Should be a trained and MRC approved VCA ToT Should have assisted as a trainer in at least 2 prior VCAs in communities Able to plan and conduct a VCA in a community (based on trainer evaluation records) Strong analytical and facilitation skills Available for the required amount of time (from selection of community to report compilation) Able to travel to field 2. Planning a VCA General timeline for a VCA is as follows: VCA Step Type Community/ Office based Responsible Duration 0. Selection of the community to conduct a VCA Desktop Study Office based work VCA Team 1 week 1. Selection and orientation of VCA Committee Selection: Office based work (through letter) Orientation: Community work VCA Team/ MRC Branch or Unit in the area Orientation: 1 day 2. Socialization of community to Vulnerability and Capacity Assessment (VCA) Community work VCA Team/ MRC Branch or Unit in the area 1 week 3. Induction/training of VCA practitioners to VCA process and tools Community work VCA Team 02 days 9

VCA Step Type Community/ Office based Responsible Duration 4. Data Collection using the relevant tools 5. Verification of data and filling in gaps with the community Community work VCA Team 05 days Community work VCA Team 02 days 6. Data Analysis Community work VCA Team 02 days 7. Participatory ranking and prioritization Community work VCA Team 01 day 8. Community Action Plan Community work VCA Team 03 days 9. Compile VCA Report and sharing with stakeholders Community work/ Office Based Work VCA Team 1 week Total time in community: 1) If MRC Branch/Unit is in the community If the MRC Branch/Unit is in the community, they can complete Step 1 and Step 2 with the community using the guideline, in consultation with the chosen VCA Facilitator. The VCA Facilitator will then be involved from VCA Step 3 onwards. The VCA Team needs to be with the community for 14 days. 2) If no MRC Branch/Unit is in the community The VCA Facilitator needs to travel to community from VCA Step 1 onwards. The VCA Team needs to be in the community for 20 days (minimum). 3. Budgeting for a VCA To develop a Budget for the VCA process, possible budget components would need to be included as given below: Travel Per diem Accommodation Venue Hire Refreshments Stationeries 10

Step By Step Guide To Conduct A VCA

Step 0: Selection of the community to conduct a VCA A community has to be selected to conduct a VCA, before beginning of the VCA process. The selection of the community can be done in one of three ways: Selection of the community to conduct a VCA STEP 0 1) Community agreement: A Maldivian community recognizes the need for reducing the risks to various natural hazards, health and social issues in that community. MRC would then introduce the VCA process and the objectives of the process to build an interest among the community. When the community understands the benefits of the process, they agree the VCA to be conducted. 2) Programming: MRC can choose to conduct a VCA in a community, in order to facilitate its programmes and service delivery initiaives. In this case, the community is selected according to a certain criteria governed by MRC or by the programming direction itself. However, the community needs to become aware of and come on board for the VCA process before the process may begin. 3) Data collection for study/research: MRC (and sometimes, especially government) might choose communities to conduct VCA s in, in order to understand the hazards and risks in those communities. In this case community selection may be governed by a certain criteria or can even be random. However, the community needs to be aware and be on board before the process may begin. Once the community is selected for a VCA, the main VCA process can be initiated from Step 1 onwards as detailed below. However, a background (desktop) study of the community needs to be conducted before the main steps of the process may begin. Background (Desktop) Study The following information about the community needs to collected and studied in order to facilitate the upcoming steps. This information can later be re-used at the Step 4. Data Collection as secondary data when using the relevant tools Information to be collected include: Name of the community, location of the community in the country, the island map (geographical, topographical and land use map), lastest census data of the community (to understand population), published documents about the community (in areas of social, health, disasters, economic etc), Development Plan of the community, past/ present and ongoing projects of the community, headline news about community if any (in the past year), current community governance (names, address and phone numbers where possible). Whilst conducting the desktop study, ensure that all the information collected are from documented sources and the source documents are properly referenced in the VCA report. Annex 2 shows a table that can be used to organise the data collected from the desktop study. 13

Step 1: Socialization of community to Vulnerability and Capacity Assessment (VCA) The VCA is a participatory assessment tool, which places community involvement at the heart of the process. Community understanding and acceptance to do a VCA and their willingness to take part in the process therefore becomes the basic foundation and first step to conduct a VCA. It is the responsibility of the VCA facilitating individual/ group/ agency/organization (in this case MRC team, Unit or Branch) to socialize and sensitize the community on this objective and its advantages for addressing the various priorities. Duration Minimum three days for thorough VCA sensitization Target audience A VCA is a participatory process that requires the involvement, participation and support of the whole community and all the groups in the community. It also specifically requires contribution from some key stakeholders in the community. Minimum requirement for sensitization is specified below, Table 1 Target Audience VCA Committee General community members (not associated to the other groups) Minimum Coverage All members 35% of population Local governance bodies 50% Local Community Based Organizations and Non-governmental organizations Health/School/Utilities/MNDF/Police 50% of organizations in the community 100% - heads or management of each sector office It is also important to have representation from the various social groups in the community to make it more inclusive such as women, the elderly, disable and youth/ children. Minimum messages to the community MRC outlines messages that have to be delivered to the target audience in a community for VCA sensitization below. These are standard messages that are short, precise and clear for the community to grasp and understand the VCA process, their stake in it and the involvement required 14

1) What is MRC: A voluntary humanitarian organization established in Maldives based on a parliamentarian Act (MRC Act 2009) that is a part of the International Red Cross and Red Crescent Movement. Also would be necessary to share a bit on the RCRC movement and its seven Principles 2) MRC role in the VCA process : Technical and facilitating role Selection and orientation of VCA Committee 3) How the VCA would benefit the community: Understand community priorities and enables community to take action to solve them - refer to objectives of a VCA 4) How we will do it (timeframes and duration) STEP 1 5) Community role: manage, participate and share formation These messages can be adapted to the target audience that the message is being delivered to. Minimum standard message delivery is compulsory; however experienced VCA practitioners can add detail to the standard message as and when needed. Methodology The above mentioned specific messages have to be delivered to the target audience. MRC does not limit the different ways and methods that can be used to deliver the above messages It is recommended that methodologies used in community are chosen based on the context and what could be the most effective to get the messages through to attain the required coverage in the particular community. More methods that are relevant and culturally appropriate can be used in communities as the list below is not exhaustive. Table 2: Awareness Strategies 1. Videos and flyers 2. Community Meetings 3. Mobilization Activity 4. Focus group meetings (women, men, schools) 5. Community Theatre skit 6. Banner 15

Step 2: Selection and orientation of VCA Committee Purpose: to guide the VCA process from start to end in the community Timeframe: From start to end of the VCA process as outlined Based on previous experience of MRC in conducting VCAs, MRC has included the selection, orientation and involvement of a VCA committee throughout the VCA process. VCA committee will act as a advisory committee who will guide the VCA process on ways to improve the quality of the data collected by verifying the information collected, identifying gaps and advicing on where the information can be collected. The purpose of the VCA committee is to give the VCA process a sense of ownership to the commuity and take forward and advocate the outcomes with government and other relevant stakeholders. VCA committee will be formed in the beginning of the VCA process and will continue to assist the process till the VCA report is finalised and distributed to the relevent stakeholders at which time VCA committee will be disbanded. Composition The VCA Committee will consist of, 01 member appointed from community governance (Local Council) 01 member appointed from Health sector 01 member appointed from Education sector 02 members appointed from community CBO s/ngo s 05 members chosen by general community 01 member from MRC Unit (preferably Unit Chairman) this is where MRC Units exists 01 member appointed from Police or Maldives National Defence Force In selecting the VCA committee members Ensure equal representation of women in the committee. This would help in raising the concerns of women through the VCA process. A member should not represent more than one category in the composition of the committee. The facilitator should encourage as much as possible to widen the representation of the committee by ensuring that members have different background and functions within the community. Ensure that vulnerable groups in the community are represented in the committee. 16

Process of selecting VCA committee members Elect the general community members in a general community meeting. Elect NGO members by inviting all NGO s in the community to a meeting. To select members from different sectors, send formal letters to relevant sectors and ask them to appoint a representative from decision making level who has sufficient insight and experience in the sector. Roles and responsibilities Support in community sensitization to the VCA process Represent the community voice during the VCA process in the community by providing recommendations on priority assessment areas Socialization of community to Vulnerability and Capacity Assessment (VCA) STEP 2 Advice the VCA Facilitator on community mobilisation/participatory methods that would be most applicable in the community Garner community support for the VCA process and ensure community involvement Support to validate and verify the data being collected. Support to identify gaps within the VCA process, and advice on where the required information can be collected Support in the community planning phase, prioritising in contextualising the recommended actions from community Support to share the VCA report with the community members and stakeholders Sensitize the community and stakeholders to the VCA plan and advocate for its use 17

Step 2.1: Management of the VCA process The following structures will be placed to ensure that community ownership and engagement is maximized in the VCA process management and implementation. This will include close MRC accompaniment to ensure that the process starts from a solid base. The management and decision making in a VCA process will always be by the VCA Committee as per their roles and responsibilities. The implementation process will be lead by a VCA Lead Facilitator who will ideally be from the community (but will probably be an MRC staff member or at least closely supported by an MRC staff member in the beginning). VCA Lead Facilitator's main role is to lead the selected VCA practitioners (in Step 03) to conduct a VCA in the community from start to end. The VCA Facilitator is responsible to; 1) train the community VCA practitioners in the VCA process, 2) enable mobilization and sensitization of the community on the VCA, 3) direct and lead them step-by-step through the process, 4) ensure that the VCA committee is sensitized, informed and updated during the process, 5) enable data collection as per directions in the toolkit, 6) lead the VCA team to analyze the information, 7) enable community planning, 8) facilitate to produce a VCA report as per given template, 9) ensure all findings (including VCA materials) are maintained and handed over to the Branch/HQ or community. The practical implementation, information collection and analysis of the VCA process will be conducted by the VCA Practitioners Team who are mostly 20 MRC trained community volunteers gender balanced (supported by one or two MRC staff field officers) The diagrams below depict the management of VCA processes in two situations, one where MRC Unit is in place and one where MRC Unit does not exist. 18

Table 3: Management of VCA Process where a MRC Unit is in place MRC Unit in place Management/decision making & Implementation of VCA process â MRC Unit (plus MRC HQ Field Officer) â VCA Committee 10 members of the community *refer to Step 2 à â VCA Lead Facilitator Ideally from the community (but will probably be a MRC staff member or at least closely supported by a MRC staff member) â VCA Practitioners Team 20 MRC trained community volunteers gender balanced (supported by one or two MRC staff field officers) *more information on Step 3 Socialization of community to Vulnerability and Capacity Assessment (VCA) STEP 2 Table 4: Management of VCA Process where there is no MRC Unit No MRC Unit in place Management/decision making & Implementation of VCA process â MRC HQ Field Officer plus nearest MRC Branch Community Focal Point â â â VCA Committee 10 members of the community *refer to Step 2 à VCA Lead Facilitator Ideally from the community (but will probably be a MRC staff member or at least closely supported by a MRC staff member) à VCA Practitioners Team 20 MRC trained community volunteers gender balanced (supported by one or two MRC staff field officers) *more information on Step 3 19

Step 3: Induction/training of VCA practitioners A team of VCA practioners is needed to implement the VCA process in the community. This step details the selection and induction procedures of these practitioners. VCA practitioners selection and recruitment At least 20 people from the VCA community The practitioners should represent Local governance NGOs/CBOs and Sectors (health, education etc) Community representative of all community groups (e.g. Youth, women, elderly, men, people with special needs), vocations MRC Volunteers and Members (where MRC Unit/ Branch is present) Characteristics of practitioners 18 years and above Above 16 years with parental consent (maximum 4 people in a group of 20) Education level above grade 7 Available in the community for the VCA process timeline (preference to people living in the community permanently) Selection of practitioners Put out announcement on all public notice boards and visible areas Explore community specific methods such as local media channels, local newspapers, social networks to disseminate the announcement Send out invitation to local NGO s/cbo s and sectors requesting their participation Announcement should at least give 1 week to ensure maximum dissemination and ample time for interested candidates to show interest Roles and Responsibilities Role: Community facilitator Support VCA lead facilitators in the VCA process Ensure involvement and participation by using different methods to mobilize the community Collect information from community 20

Follow instructions on how to do tools, and collect true information Help in analysis of information Facilitate community meetings etc VCA induction and training Training Objectives Understand the structure, process and key components of a successful VCA Use a wide variety of information-gathering tools and select those best suited to determine vulnerabilities and capacities in the community Gather valid information, recognize useful data and carry out quality analysis leading to the formulation of realistic recommendations Induction/training of VCA practioners to VCA process and tools Design a VCA implementation plan with the community Support to translate the information gathered into a realistic capacitybuilding program that is relevant to identified needs and in line with MRC priorities/objectives/mandate STEP 3 Replicate similar learning, and support VCA in other Units and communities Training Schedule and Components: Introduction to RCRC Movement and MRC 60 minutes What is a VCA 30 minutes How to do a VCA/ VCA process 60 minutes Terminologies holistic ( health, social, disaster) 60 minutes Community Mobilization 45 minutes Basic Facilitation skills (adult learning, methods, facilitation skills) 60 minutes Tools and approaches ( how to facilitate a tool and objective of tool) - learning by doing, Step 4 Verification and gap filling - learning by doing, Step 5 Analysis - learning by doing, Step 6 What is problem identification and ranking learning by doing, Step 7 Participatory ranking and prioritization - learning by doing, Step 7 Risk Management Planning learning by doing, Step 8 21

Step 4: Data collection using the relevant tools This is one of the most important steps of the VCA process and entails the collection of data that would enable to understand the community. It is important that this step is undertaken in a planned and systematic manner, to reduce confusion and enable effective analysis of data in the next stage. The VCA/Community facilitator s role is central to the success of this process where he/she is able to motivate the community, stimulate discussions and analysis. The VCA toolbox (IFRC 2007) is extensive and provides several options for the facilitators and community to collect different information. MRC went through this toolbox and have chosen eleven minimum tools that are required for a comprehensive analysis of a community. They are: 1) Review of Secondary Data, 2) Direct Observation, 3) Key Informant Interview, 4) Mapping (Vulnerability and Hazard Map, Capacity Map), 5) Relationship Venn diagram, 6) Seasonal Calendar, 7) Historical Profile, 8) Historical Visualization, 9) Coping Strategies and Livelihoods Analysis, 10) Household Vulnerability Survey, 11) Focus Group Discussion. This section provides a quick overview of the eleven VCA tools. It gives a brief summary of each one, together with its strengths and limitations, and highlights minimum guidelines and recommendation for each tool's usage. Step-by-step instructions and tips on how to use each tool are provided in the MRC VCA Toolbox. 22

Table 5: Participatory Tools Type of Tools Description Review of Secondary Data (quantitative and qualitative) A review of secondary sources means collecting information that already exists, usually in the form of written reports or documents. It provides an overall picture of the community in which the VCA is going to be carried out. This review should be done prior to any field work (Step 2.1) as the findings may influence the types of tools you choose to use in a given community. If secondary data is sought, they have to be cited in the VCA document as footnotes, endnotes or bibliography (Eg: Maldives Census, DNP, 2006) Only published documents can be used as secondary documents If information is obtained from Island Office please cite as (Eg: S. Feydhoo Island Office, 2011) If information is given by an island office representative by answering questions he/she will be treated as a key informant interview Data Collection using the relevant tools STEP 4 Some information that can be collected include, Name of the community Location of the community in the counrty The community map (geographical and topographical and land use map) Lastest census data of the community ( to understand population) Published documents about the community (in areas of social, health, disasters, economic etc) Development Plan of the community Past/ present and ongoing projects of the community Headline news about community with respect to any natural hazard or social issue if any ( in the past year) Current community governance (names, address and phone numbers where possible 23

Type of Tools Semi-Structured Key Informant Interviews (qualitative) Description A key informant is a person/(s) within the community who is able to provide information about a particular issue, topic, sector or profession due to his/her status, employment, experience or position in the community. A semi-structured interview with key informants is a form of a guided interview in which only a few specific questions are decided upon ahead of time. The questions are open-ended, with the aim of stimulating an informal discussion on a given topic or area. This interviewing technique can be used both to give information and to receive information. Some recommended key informant interviews and example topics for guided questions include: Island Councilor development plan and community issues NGO the planned activities in the community School education issues and planned activities Health health issues and planned activities 24

Type of Tools Description Focus Group Discussion (FGD) (qualitative) A focus group discussion is an organized dialogue between a selected group of informed/knowledgeable individuals in a community to obtain their views on and experiences of a given topic. It is particularly suited to obtaining several perspectives on the same topic. Focus groups also provide insight into people s shared understanding of everyday life and the ways in which individuals are influenced by others in a group situation. However, problems can surface when attempting to separate the individual view from the group view. It is very important that the facilitator has good group leadership and interpersonal skills in order to moderate such a group successfully. Focus group selection: By livelihood/ profession ( farmers, fishermen etc) By gender (men, women) By community groups (youth, elderly, people with disabilities, community activists, NGO s, CBO s etc) Focus Group size: Maximum 10 people Data Collection using the relevant tools STEP 4 Focus Group discussion time: No more than 60 minutes (1 hour) FGD Management: Prepare structured interview questions on the chosen topic in advance One facilitator who asks questions, facilitates discussion, resolves conflicts and bring people to agreements One note taker who writes down answers and captures information Recommended Focus Groups: Youth Youth opportunities and climate change Women Health and climate change Men livelihood, employment and climate change Occupational groups 25

Type of Tools Direct Observation (qualitative) Description Direct observation is a useful research tool as it helps the VCA team to understand the context in which the information is being gathered. It is important to brief the members to what they need to be observing as this would improve the quality of information collected. All members of the VCA team should be constantly taking notes on what they are observing. It is essential to provide as much detail as possible and to describe the circumstances and the context that lead to certain observations. This will allow others to assess the reliability of the information. When carrying out direct observation, you need to confirm that you have properly understood what you observe as it is easy to misinterpret what you are seeing. Guidelines: Direct observation needs to be categorized to hazards, risks and vulnerabilities Take pictures of what one observes as support Atleast 15 people has to take part in Direct Observation as this would help in generation of substaintial information which can be used for the various exercises which will follow the direct observation. 26

Type of Tools Description Mapping (qualitative) Maps can be made by a community to indicate the position of risks and hazards. They can also be used to understand what resources community has and where they are located. Maps are also useful for stimulating discussion among community members about important aspects of the community. It is also used to analyze the various risks and vulnerabilities of the community. They can help a community to analyze potential problems and solutions. Type of Maps: Spatial Map typical community map that depicts the community showing all resources and geography (this can be skipped if a proper map of the community is aquired through island office) Hazard and Vulnerability Map shows all the natural, social, health, economic hazards and vulnerabilities that can be physically depicted on a map through markers and legends (compulsory) Capacity Map - shows all the natural, social, health, economic, people and material capacities of the community that can be physically depicted on a map through markers and legends (compulsory) Data Collection using the relevant tools STEP 4 Group Size: Atleast 30 people need to take part to draw each map 27

Type of Tools Seasonal Calendar (qualitative) Description A season calendar helps to explore the changes taking place in a community over a period of one year. It can be used to show weather patterns (floods, storms), social (festivals) and economic activities (fishing). For a seasonal calendar, a chart is created with the months of the year in columns and the events and activities significant to the community listed in the rows below. Completion of the chart by the community helps the community team to see the seasonality of events in the community. Components of a seasonal calendar: Weather related events (monsoons, rain, dry season) Health related events (viral fever, dengue, etc) Natural Hazards (tidal surge, gust winds, floods, drought etc) Livelihoods/economy (fishing, farming, business) Social events (Eid, circumcision months, fasting, etc) Others (security concerns, thefts etc) Guidelines: The seasonal calendar is done for 12 months (Jan Dec or accordingly to the traditional calendar, if possible) The frequency and intensity of each event during a certain month needs to be depicted A note taker should note all discussions Group size: Atleast 30 people need to take part to develop the seasonal calendar 28

Type of Tools Historical Profile (qualitative) Description With a historical profile, a community can build up a picture of past events, track changes in the environment and behaviors and understand causal links. Awareness of these patterns can influence the decisions that community members take when planning projects. Guidelines: The historical profile should depict main events or hazards in a community If an event is marked ask further details: when? How? Why? What was the damage/loss? How many people affected etc? note taker should document this If secondary data is referred during the tool please specify in the report Group size: Data Collection using the relevant tools Atleast 30 people need to take part to make a historical profile A good mix is needed Elderly Youth Middle Aged Key informants STEP 4 29

Type of Tools Historical Visualization (qualitative) Description With historical visualization, the community creates a chart showing how key aspects of their lives have changed over time. It can show changes in housing, trees, livestock and hazards and helps people to think about how their susceptibility to certain risks may continue to change in the future. This tool is also very helpful to track the changes in weather and climate patterns such as temperature, rainfall and sea levels. A historical profile can depict all/some of the components below Population Plantation (trees and bushes) Main livelihood (fishing, farming etc) Land area Infrastructure Waste Group size: Atleast 30 people need to take part to make a historical profile A good mix is needed Elderly Youth Middle Aged Key informants Scaling: Marking the year can go back in to the community s history as far as they can remember. 30

Type of Tools Household Vulnerability Assessment (qualitative) Description This tool is useful for helping households and by extension neighborhoods to assess their level of vulnerability in relation to likely hazards and health risks, taking into account key factors such as type of housing, rivers, evacuation routes, electricity, gas and drainage. Components: Main hazards that can be used in the survey include Flooding Winds Fire Rain Tidal Surge Survey is conducted using a standard template Data Collection using the relevant tools Sample Size: 15% of the total households in the community STEP 4 Livelihoods & Coping Strategies analysis (qualitative) Livelihoods analysis and coping strategies analysis look at two separate but closely related issues. The tools can be implemented together. Livelihoods analysis creates an inventory of a household s assets and how they are applied as a bundle to its income. It is a powerful tool to identify the areas of a household s vulnerability and what capacities it has to protect itself from hazards. Coping strategies analysis focuses on what people do when they are affected by a hazard (e.g. floods). Coping strategies are what come into play when dealing with the hazard. They are what families (and communities) rely on to develop means to maintain their livelihoods during and after a disaster. Sample Size: 15% of the total households in the community 31

Type of Tools Institutional Relationship Venn Diagram (qualitative) Description Venn diagrams are designed to collect social data by using circles to show and understand the relationships between institutions. They reveal similarities and differences between institutions, partners, people and issues within a community. They can be useful in identifying problems between institutions and possible solutions. Venn diagrams are especially relevant for institutional analysis as they can help to identify specific organizations that could be involved in implementing a community action plan or specific risk reduction projects. Group size: Atleast 30 people need to take part to make a historical profile A good mix is needed Elderly Youth Middle Aged Key informants 32

VCA facilitator capacity and skills for tool implementation Each tool requires a set of skills in order to implement it correctly and effectively. The star rating indicates the skills and capacities needed for that tool (one star means a lower level of skill, five stars means a high level of skill). Participants mainly need visual, oral and/or written skills. For those tools that require good facilitation skills (two stars and above), the people involved need to have relevant experience or training. Table 6: Skills and capacities required for facilitators Sl. No Tool Visual Oral Written Facilitation 1. Review of secondary sources 2. Semi-structured interviews 3. Focus group discussions 4. Direct observation 5. Mapping 6. Seasonal calendar Data Collection using the relevant tools STEP 4 7. Historical profile/ 8. Historical visualization 9. Household vulnerability assessment 10. Livelihoods and coping strategies analysis 11. Institutional Venn diagram 33

Step 5: Verification of data and filling in gaps with the community The information collected from the tools has to be verified and validated, before being used for analysis. In addition to this, during this step information that may have been missed out is sought and filled in. Tools and verification methods There are specific tools that are used in VCA data collection that has to be verified by the community. There are two types of information collected from these tools, they are: (a) Qualitative tools that depend on the whole consensus of the community in order to be recognized as true information and (b) tools that have captured people s opinions and personal views. Table 7: Verification of VCA Tools Type of Information Individual / Group View Point Tool Focus Group Discussion Secondary Data (cited) Direct Observation Household Vulnerability Survey Results Livelihood and Coping Strategy Results Key Informant Interview Data Verification Method Community verification Each tool should be viewed by 10% of population Community verification Each tool should be viewed by 10% of population Community verification Each tool should be viewed by 10% of population Community verification Each tool should be viewed by 10% of population Community verification Each tool should be viewed by 10% of population Community verification Each tool should be viewed by 10% of population 34

Type of Information Tool Verification Method Community Reflective Group View Point Historical Profile Seasonal Calendar Tool verification guideline Mapping (Hazard and Vulnerability Map, Capacity Map) Relationship Venn Diagram Household verification Sample size: 20% of total households Household verification Sample size: 20% of total households Household verification Sample size: 20% of total households Household verification Sample size: 20% of total households When a tool is presented to community members, specific information has to be provided to the community member as provided below: Who you are, your organization and what is a VCA What type of information has been collected by the tool Verification of data and filling in gaps with the community STEP 5 How the information was collected (methodology and sample size) If Household verification method: Is the information displayed on the chart valid? If not what would be your recommended change If by display for community method: The information displayed shows the information collected about <insert topic/theme> from <insert amount of people> This information is reflective of their point of view All tools need to be verified and validated by the VCA Committee after community and household verification. 35

Community Verification Method: Find a space in the community where all the tools can be displayed Paste, pin up or board up the flipcharts or boards with tools in the display space /room Invite community members to come and view the tools Each tool should have a facilitator (this would be a VCA Committee member or facilitator) who is well versed with information on the tool, to present to the community members what information has been collected (refer to tool verification guideline below) Take careful notes of community comments which would add or makes changes to the tools presented. 36

Household verification method Calculate sample size (20% of total population for each tool) and follow sampling methodology Assign each group/ individual households that they have to review Take tools to households and interview people (refer to tool verification guideline below) Verification of data and filling in gaps with the community STEP 5 Keep records of name, gender and no: of houses visited Take careful notes of community comments Tally total comments for each tool and see whether a change is required (refer to conditions to change data on a tool) Conditions to change data on a tool The following conditions have to met before changing the original data on a tool More community members than the amount of community people who participated in the tool agrees to change a particular data Example: If 30 people participated in the development of the seasonal calendar and if than 30 people need to agree that a certain piece of data as displayed on the tool is wrong/ need to be amended. Once condition 1 is fulfilled, this should be placed before the VCA Committee where they would need to give consent to make the change This process need to be well documented by careful note-taking and minute taking in VCA Committee meetings. 37

Step 6: Data analysis Until this step, several different data about the community would have been collected and verified by the community. All the information collected from all the tools need to be studied and scanned to find the crucial information about the community. Data analysis would reveal the important information captured and the relationship between the different data. It will support to narrow down the vast information into core vulnerabilities and capacities that can enable community to take action to improve. Analysis can be done through the following steps: Step 1 TRIANGULATION: Understanding information available from tools and categorizing the data available Eg: seasonal calendar shows rain seasonality, HVS provides info on which parts of house are vulnerable to rain, map shows houses mostly flooded by rain Step 2 Funneling information into health, social, natural, climate hazards and risks (with seasons) Step 3 Making a list of problems (inclusive of hazards and risks) - recurring themes seen as more important Step 4 Making a list of capacities that can help solve the problems stated above (based on information collected) Analysis Methods 1) Group Method: The VCA practitioners group can take part in analysis and all the steps above are completed through group exercises. 2) Desktop Method: A designated person (can be two people) or VCA lead facilitator uses the entered data to analyze information. Using the same steps. Group Method: Step by step group exercises and directions 1) Categorization of information from tools (triangulation) i) Display all the tools on the wall (each tool separately) ii) Prepare a stack of meta-cards (sticky notes or small pieces of paper 4x8cm) in three colours. Provide 8 10 cards of each colour to each participant iii) Ask all the participants to conduct a gallery walk around the room where the tools are displayed and write the below information on meta-cards (one point on each meta-card) and paste them near the tool flipchart 38

Colour One Main vulnerabilities/hazard information from the tool (Example: drug abuse, waste accumulation, health, less opportunities for youth, rain, floods etc) Colour Two What information about the vulnerabilities/hazard in the tool Seasonality Reasons for the vulnerability Problems caused due to issue/hazard (Example: Causes for drug abuse, cause of health problems, seasons for rain and tidal surge, solutions for waste management) Colour Three Main capacities identified through the tool Human (trained people) Material Infrastructural Resources Natural resources Capacities related to a particular issue/hazard/vulnerability (Example: Resources that can be utilized during floods, resources that can be used in case of a fire, trained people for hazards etc) iv) Ask participants not to repeat if the information required has already been marked by another participant (if identified, just fill in gaps where necessary) Data Analysis STEP 6 2) Funneling i) Once categorization is completed, Ask the participants to make a list of all the vulnerabilities/hazards marked with Colour One. Categorize vulnerabilities/hazards by themes. Example: drug abuse, availability of drugs, social problems due to drugs can be themed together under Drug Abuse as a main issue. Thereby, make a list of main issues. ii) Divide the group into subgroups and assign a main issue to each sub-group. The number of sub-groups would be based on the number of main issues identified iii) Ask each sub-group to make the following table (table 8) using the metacards marked to extract the relevant information from tool 39

Table 8 Main Issue (vulnerabilities /hazard) Issue Type (tick below) Seasonality (duration or times that the event takes place) Cause (Reasons for the vulnerability) Effects (Problems caused due to issue/ hazard) Capacities (things that can support improve the problems) Solutions proposed by community if any Drug Abuse Health Increase during Social Ramazan Economic Climate Change Increase during school holidays Neglect by parents Availability in community Gang behaviour Social Problems (such as family problems More school drop outs Gang violence People who are aware of characteristics or ways of recognizing a person abusing drugs Police station on the island A concern for parents Good parenting awareness programme for parents Awareness on drug abuse and effects to parents, youth and school children 3) Problem Listing i) Use the columns (main issue, cause, effects) from Table 08 to make a list of problems and issues in the community ii) Write problems in a self explanatory way. Example: Youth and children going into drugs due to neglect by parents iii) Reminder: Causes and effects of a main issue can be listed as a problem itself Problem Listing Main Issue Causes 1. Increase of drug abuse in community 2. Youth and children going into drugs due to neglect by parents 3. Availability of drugs in the community 4. Gang violence Effects 5. Increase of Social Problems (such as family problems) 6. Increase of students dropping out of schools due to drugs 40

Step 7: Participatory ranking and prioritization By this step, through analysis the VCA process would have identified the main problems and issues (including risks and hazards) in the selected community. In this step, the lead facilitator and VCA practitioners will use the ranking methodology to identify the five main priority issues in the community that community people would like to address. This tool can be useful to assess people s expectations, beliefs, judgments, attitudes, preferences and opinions. Ranking means placing something in order according to a specific reason. Quickly identify problem areas and preferences as individuals see them and compare them with the assessments of others. Step 7.1: How to do ranking Step 1: Identify what is to be ranked Generate a list of what is to be compared. Use the problems and issues list acquired from end of Step 6 Example: The main problems and issues in your communities Drug abuse Fire incidents Family problems Accumulation of waste Sanitation system List all the problems in a table to support ranking (example below) Participatory ranking and prioritization STEP 7 Problem/Issue Men Women Drug abuse Fire incidents Family problems Accumulation of waste Dengue and Chikungunya Shortage of water in April and March 41

Step 2: Decide on the ranking value and procedures Assign the ranking value (value : 1 mark/ sign = 1 point for the problem) Each participant is given 5 marks in total (they can be given pieces of stick, stones, to depict their mark) Ask participant to mark the 5 most important issues that he/she feel community should address A person can give 1 or more mark to one issue (but their total opportunity should be 5) Step 3: Calculate sample size Find out the total number of inhabited household s in the community Calculate what is 35% of the households in the community Follow random sampling (refer to Annex 7 Sampling Methodologies) Assign areas to teams accordingly Step 4: Ensuring gender based ranking Each team should rank separately for men and women (maintain separate sheets for men and women ranking results) Step 5: Compilation of ranking results Add all the points for each problem separately. The score for men and for women should be maintained separately. Based on total points, mark the highest scoring 5 issues/problems Step 6: Analyze the results Once the 5 most crucial issues/problems in the community have been identified, the root causes and effects due to these issues in the community which will be found out in Step 7.1 42

Step 7.2: Problem tree The problem tree is a flow diagram which shows the relations between different aspects of a particular issue or problem. It can help to build a picture of the major problems facing a community. From there, community members can look for the root causes that need to be addressed in order to reduce vulnerability. This tool can help to give structure when analyzing information obtained from other tools. Use it to Direct participants towards analysis of the situation and to build up a picture of the major problems the community faces. Look for the root causes that need to be addressed to reduce vulnerability. How to Write down one major problem on each flipchart paper (5 flipcharts for 5 problems) Each problem tree should be done by at least 15 people supported by two facilitators. Now the drawing of the problem tree can start: The root part of the tree represents WHY this problem is happening. The facilitator needs to ask the community/participants why do they think that this problem is happening in the community? The leaves and fruits represent the effects of the problem. The facilitator needs to ask what is happening in the community due to this problem. Participatory ranking and prioritization STEP 7 43

Step 8: Community Action Plan (CAP) The most important and crucial process is to support the community members to identify possible solutions in consultation with them. This section will explain various steps involved in identifying ways to tackle issues or possible solutions to the issues. Methodology: Stakeholder Focus Group Planning steps 1 and 2 below have to be carried out for all focus groups listed here. All 5 problems can be reviewed for Community Action Planning with each of these groups. Focus Groups required: 1) VCA Committee + Island Council 2) Main livelihood group(s) 3) Men/Women/Youth 4) NGO s and CBO s CAP step 1: Present findings and conclusions from VCA to community Things to present: 1) Ranking Results: Prepare a table as shown below for 5 prioritized problems for display. Explain to focus groups that the VCA has ranked vulnerabilities in the community, and identified capacities and resources within the community in relation to these risks, which could contribute to finding potential solutions to the issues. By emphasizing community capacities, communities will be motivated to act. Main Issue Issue Type Seasonality Cause Effects Capacities Solutions (Vulnerabilities /hazard) (Tick below) (Duration or times that the event takes place) (Reasons for the vulnerability) (Problems caused due to issue/ hazard) (Things that can support improve the problems) Proposed by community if any Problem 1 Health Social Economic Climate Change 2) Stakeholder mapping Venn diagram 3) Problem Tree for each of the 5 problems specified above (as completed in step 7.2) 44

CAP Step 2: Commitment to action identifying and turning actions for transformation into potential community commitments The next step is to identify actions for transformation with the focus group. Analyze those situations which can be changed or influenced, as opposed to actions which may be more difficult to implement. Ask community members to decide on the way forward. The table has to be completed for each prioritized problem. Note: Some communities have Community Development Plans (by the island council) which has activities which are planned for the community for a certain timeframe. It is recommended that the VCA facilitator/practitioners in charge of CAP review the Community Development Plan for the respective community and identify activities/ areas that may be to tackle prioritized problems below. If such activities are identified they can be placed within the below table referenced to the Community Development Plan of the community. Main Issue (Vulnerabilities /hazard) Issue Type (Tick below) Seasonality (Duration or times that the event takes place) Cause (Reasons for the vulnerability) Effects (Problems caused due to issue/ hazard) Capacities (Things that can support improve the problems) Solutions (Action based) Responsible Stakeholder (if multiple mark the lead with an L) Problem 1 Health 1. Social 2. Economic Climate Change 3. Community Action Plan STEP 8 45

CAP Step 3: Combine all and display for comments Combine all the inputs received to the community action plan from different focus groups and display to the community for general comments on recommended actions. The idea is to provide opportunity for general community to have a say in the recommended actions proposed by the representative community members. Recommended time of display for comments: 2 days Methodology: Copy the combined table on to flipcharts and display in a public hall. Invite community members to come and comment on the material as time permits. Place a facilitator to explain the table and proposed action to community members. Note the provided comments on stick on and place next to the action point for others to see.

Step 9: Compile VCA Report and share with stakeholders A report of all the various participatory tools, discussions, analysis and community plan is to be complied together by the VCA practitioners and facilitators with one of them taking the lead. The purpose of the VCA report is to present the documented priorities of the community to the local government officials and mechanism to influence local development planning which would incorporate these community priorities. It is also good to explore the possibility to have the Island Council Chairperson sign off on the VCA report which would represent ownership of the document by the local government. Refer to Annex 04 for a full guideline for VCA report Printed copies and PDF soft copies of the VCA Report has to be shared with: 1) Island Level i) Island Council (at least 5 copies, 1 for council and 4 for general community reference) ii) VCA Committee (1 copy) iii) MRC Unit (1 copy) iv) NGO s and CBO s (1 copy each) 2) Atoll Level i) Atoll Council (1 copy) ii) MRC Branch (1 copy) iii) Provincial Secretariat (1 copy) 3) National Level i) MRC HQ (1 copy) ii) Department of National Planning, Government of Maldives (1 copy) iii) National Disaster Management Centre (1 copy) iv) Relevant ministries (1 copy) Compile VCA Report and sharing with stakeholders STEP 9 47