Integrated Vulnerability and Capacity Assessment (IVCA) Guide

Pakistan Red Crescent Society

With Technical Support from IFRC

2014 version
I. What is IVCA?
II. Objectives of Conducting IVCA
III. Workflow of IVCA Process
IV. Preparation Before Field Implementation
V. IVCA Tools
VI. Principles & Skills in Conducting IVCA
VII. Analysis of the IVCA Data
VIII. IVCA Report Template

Pakistan Red Crescent Society 1

What is IVCA? I V C A
“Vulnerability & Capacity Assessment (VCA) is a method for gathering Understanding the different causes of
information through a participatory way with an aim to increase the vulnerability requires holistic
awareness of communities about risks and help them to plan activities assessments; so Integrated Vulnerability
for reducing vulnerability and increasing capacity before a disaster & Capacity Assessment (IVCA) is
happens”. proposed for ICBRR programming. IVCA
holds similar VCA methodology, while
Vulnerability can be defined as, “Characteristics of a person or group in adding some components of Community
terms of their capacity to anticipate, cope with, resist and recover from Based Health and First Aid (CBDFA) &
the impact of a natural or man-made hazards”.1 Participatory Hygiene and Sanitation
Transformation (PHAST) manuals to
The definition of vulnerability suggests that it cannot be described emphasis more on integrated mode of
without reference to a specific hazard or shock. work.

Following the RCRC integrated programming approach, PRCS has developed an Integrated Community Based Risk
Reduction (ICBRR) program in 2013. The ICBRR Program is built-upon on concept of resilience and comprehensive
cross sector assessments. While planning for the ICBRR Program, multiple risks and their impacts on people at risk
must be considered alongside the assessment of their capacities.

Working in resilience mode comes with an understanding that the level of vulnerability to disasters and shocks is
often determined less by the scale of a disaster or a shock.
VCA
is linked more to "development" than "relief".

1. http://www.ifrc.org/Global/Publications/disasters/vca
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 I V C A
There are three different stages of IVCA, but in this IVCA Guide, we will focus only on the 2nd
stage. All the stages are illustrated in the picture below:

All the stages are important for a successful community-based risk reduction program.

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Objectives of Conducting IVCA: I V C A

1. To collect the information in a participatory way.

2. To increase community’s awareness of risks and hazards.
3. To understand community’s perceptions and capacity for planning of risk reduction.
4. To appreciate the prioritized areas and actions proposed by the community, which would be the basis
of future risk-reduction activities.

Expected Outcome of IVCA:

The following table describes some of the expected outcomes from an IVCA in supporting program design
and capacity building within a National Society:

Program Design Capacity Building

Contribute to effective vulnerability mapping and updating the
strategies.
Realign existing services to meet the needs of vulnerable groups.
Development of new programs to reach Vulnerable groups.
Revitalizing the relationships with government and other key
stakeholders.
Using IVCA as a new method for monitoring the change and
evaluating the activities.
IVCA skills’ training for staff and volunteers creates a more effective
network to monitor ever-changing conditions of vulnerability.
Increase the motivation of staff and grassroots volunteers.
Creation of a new organizational image that will attract more
volunteers.
Development of new partnerships with organizations working with
similar objectives and in the same sectors.
Using IVCA results in the decision-making process for the
development of new organizational vision and operating strategies.

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 I V C A

 IVCA requires commitment

and should not be carried
out without the agreement
of the people, e.g.
volunteers and communities.

 Transparency is vital and

one of the most important
things to keep in mind
throughout the process.

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Preparation Before Field Implementation I V C A

The activities those carried out during this preparation are mainly the responsibility of the staff and management
committee. This includes making all necessary decisions and completing the activities that need to be done before
the actual IVCA process begins. Having everything in place will help minimize potential problems. Preparation takes
time and requires considerable energy on the part of the IVCA coordinators and staff; they should be trained and
ready to carry out the assessment. However, identification and the acquirement of the necessary resources and the
development of investigatory tools needs to be developed before the start of the ICVA. Below are the few things
need to be considered before the IVCA exercise;
1
Make sure that the community understand the purpose of the IVCA in a
Preparatory P preparatory meeting. (IVCA introductory meeting with communities)
2
Ensure representation from different groups/genders in the meeting. (IVCA
Representation R field plan in consultation with community)
3
Ensure proper timing of the community meeting - Consider their usual daily
Timing T chores. (agreed appointments as a part of IVCA field Plan)
4
Ensure proper settings of the community meetings. The meetings area should be
Setting S calm, comfortable, and easily accessible .

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IVCA Tools & Their Recommended Sequence: I V C A
This section provides a detailed explanation on how
to undertake the research part of an IVCA. It will help
IVCA practitioners to choose the right tools to suit
their purpose and describes when and how to use
them and what to do with the information collected.

IVCA tools have its own specific purpose, used to

gather specific information. Using IVCA tools in
sequential order will enable a more systematic
buildup of information and makes the triangulation
of information easier. PRCS IVCA process considers a
given sequence to use the participatory tools:
Methods for Inquiry
PRA

Focus Group Discussion

SSI

Direct Observation

Transect Walk

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Collection/Review of Secondary data I V C A

Information that already exists for a different purpose is called “secondary information” or
“secondary data”.
A review of secondary sources means collecting information that already exists, usually in the
What form of written reports or documents. It provides an overall picture of the community in
which the IVCA is going to be carried out. This review should be done prior to any field work,
as the findings may influence the use of the tools in a given community.

 To get an overview of the situation based on the work already done by others.
 To crosscheck the information gathered through other means.
 To get an idea of the challenges facing the community and a history of what has been
Why done so far to address them.
 Determine what further information you want to collect.
 Make a list of potential sources of information, i.e. libraries, internet, other organizations
and people, etc.
 Collect the information.
How  Analyze the information to get a first impression of the area and to find out if there is
any gap in the existing information beforehand.
Synthesize and summarize the information and share it with the team members before
Data Compilation entering into the community.

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Community Mapping I V C A

Mapping is an assessment tool that helps to visualize resources, services, vulnerabilities and
risks in a community. Features may include roads and bridges, health clinics, schools, water
sources, markets and shelter, as well as other important factors in the community.
Maps can be made by a community to indicate the position of risks and hazards. They can
What also be used to understand what a community has in the way of resources and where they
are located. Maps are also useful for stimulating discussion among community members
about important aspects of the community. They can help a community to analyze potential
problems and solutions.

Why To identify risks such as flood areas, health hazards and vulnerable locations or groups.

 Determine who will participate in the mapping process.

 Decide what purpose the map will serve (Hazard/risk map, Spatial map or Capacity
How resource map)
 Decide what kind of map will be drawn.
Maps can be drawn on a Flipchart. Laminating the Flipchart after the map has been drawn
Data Compilation will preserve it to be used at a later stage in the project.

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Historical Profiling & Visualization I V C A

To gather information about what happened in the past in a certain community and produce
a community profile. 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
What planning projects. With historical visualization, the community creates a chart showing how
key aspects of their lives have changed over time. It can show up changes in housing, trees,
river levels, livestock and hazards and helps people to think about how their susceptibility to
certain risks may continue to change in the future.
 To get an insight into past events, such as hazards, and what changes have occurred over
time.
Why  To gain an understanding of how things may continue to change in the future (trends).
 To make people aware of the changes and present perceptions.
 Serve as a basis for discussions on future programs or projects within the community.
 Identify areas of interest.
 Select the participants.
How  Plan the group discussions.
 Capture the information.
The team will have to come out with two charts:
Data Compilation Chart one: Historical visualization – graphic information
Chart two: Historical Profile – written information

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Seasonal Calendar I V C A

A seasonal calendar helps to explore the changes taking place in a community over the
period of one year. For a seasonal calendar, a chart is created with the months of the year
along the horizontal axis and the events and activities significant to the community listed in
What the vertical axis. Completion of the chart by the community helps the IVCA team to see the
hazards and risks in terms of when they occur. The analysis can help a community to rethink
its living habits according to its vulnerability to hazards.
 Find out what activities take place in different seasons.
 Identify people’s workload at different times of the year.
Why  Compare variations in availability of resources through the year, such as food, water and
income.
 Examine the local relationship between climate and natural disasters.
 Set the timeline for the calendar.
 Select the materials to make the calendar.
How  Determine the categories to be mapped.
 Determine values

Data Compilation The team will have to come out with a seasonal calendar as below.

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Season Calendar
Rainfall
Heat wave
Snowfall/ Cold wave

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Hazards/Risks Matrix I V C A

It is the process of studying the nature of hazards determining its essential features and
What impact.
 To identify the type of hazard (natural or manmade)
 To know the warning signs (scientific or indigenous indicators that a hazard event will
occur (cloudy skies, movement of animals, temperature, weather pattern, etc.)
 To understand the sources or causes behind.
 To know Speed of onset of hazard, rapidity of arrival and impact (very fast, very slow,
Why etc.)
 Frequency of hazard (how often does the hazard strikes (once a year, every month, once
in 10 years, etc.) and duration (how long does the hazard event lasts (1 day, 2 hours, 60
seconds, etc.)
 To know the elements at risk (elements of society that are affected (children, men,
women, aged, persons with disability, farm animals, crops, livelihood, infrastructures)
 Select the community members to be involved in the discussion

How  Set the matters of hazards to be analyzed.

 Draw a table by putting matters of hazard on horizontal axis

Data Compilation The team will have to come up with a hazard/risk matrix as shown in next page:

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Hazards/Risks Matrix I V C A

The facilitator has to probe separately and specifically on the following key questions:

 Different hazards [flooding, landslide, fire…]

 Different issues related to health/ water/ sanitation

Hazard Speed of Coping

Cause Warning Signs Frequency seasonality Duration
Type Onset Mechanism

 News on radio
and in  Every high tide  Embankments
 Water
newspaper  When typhoons  Swimming
 Typhoon
 When it rains pass (6 times a skills From June 2 days till
Flood  High tide Relatively fast
more than two year)  Housing on till October 3 months
 Monsoon
hours  During rainy raised/elevate
rains d lands
 Rhythm of high season
tide

Wind
-------- ------------- ----------- ------------ ----------- -------- ----------
storms

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Livelihood Analysis I V C A

A combination of interviews and diagrams (usually at the household level) to represent the
various ways that income (and/or subsistence food sources) is generated to enable people to
What live. It collects information on the bundle of assets or resources available to the household for
55%
its livelihood activities. It is a powerful tool to identify the areas of a household’s vulnerability
and what capacities it has to protect itself from hazards.

Understand how people obtain their basic needs and any additional income. It will also
Why indicate the strength and resilience of people’s livelihoods with respect to hazards.

 Identify livelihood activities.

 Identify household assets and resources, i.e. natural, physical, financial, etc.
How  Identify the hazards that threaten the assets.
 Identify the coping strategies.

The information collected has to be systematized. It can then be presented for use in
Data Compilation conjunction with other tools to make conclusions and recommendations. The data obtained
from this tool can be instrumental in the project identification and planning process.

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Livelihood Analysis I V C A

Major Hazard Alternate

Who Coping External
Sources %age Threatens Source Impact of Loss
Does Mechanism Assistance
of Income the Income of Income
Poverty,
unemployment
Robbery, Looting etc.

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Ranking of Problems I V C A

Ranking means placing something in order. In ranking, a group of similar items (e.g. Natural
hazards) is evaluated according to set criteria. It can be used to identify problem areas and
What preferences quickly and to decide priorities. Ranking is a useful follow-up to other tools to take
participants one step further in their critical thinking as well in the analysis of a given
situation.
 To quickly identify problem areas and preferences as individuals see them and compare
them with the assessments of others.
 Guide people to rank problems in terms of:
 What can be changed about the situation?
Why  What can be influenced about the situation?
 What must be accepted about the situation?
 Have the community themselves decide what is a priority to be addressed.
 Assign a value to a wide range of variables.
 Using the seasonal calendar, identify what is to be ranked
 Identify the criteria for how the list will be ranked.
 To encourage participation of all the community members, use of both drawing and table
How along the voting would be strongly suggested.
 Identify the priority.
 Probe for details.

Data Compilation The data obtained from this tool should be compiled as mentioned in the diagram below.

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Ranking of Problems I V C A

Flooding Fire Diarrhea Drought

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Problem Tree I V C A

A flow diagram which shows the relations between different

aspects of a particular issue or problem. It can help to build a
What 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.
To analyze the root causes of the key problems they identified.
Why The effect of the key problems which team identified.
To generate possible solutions tackling some of the causes.
 From the information gathered through the other tools and
interviews, various concerns and problems had identified
already.
 Small pieces of paper to be used to write down one major
problem on each piece of paper and then stick these on the
How wall.
 Group the problems, according to similarity or inter-
relationship.
 Drawing of the “problem tree” can start, the trunk
represents the problems, the roots are the causes and the
leaves are the effects.

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Change, Influence, Transformation chart (CIT), I V C A
with Ranking of Actions

Taking the results of the problem trees, the facilitator shall assist villagers to brainstorm some actions
to tackle some of those causes (vulnerabilities). Actions should be classified into “C.I.T” to define
what practically we can do together.

C Change  A change which community can bring through their own actions.

I Influence  Influence that the community can make through their actions.

T Transformation  Takes longer time and beyond the capacity of the community

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CIT Chart Template I V C A

CIT Chart
Prioritized hazard issue: FLOODING

Identified Actions for Financial Technical Ranking

No. C I T ST MT LT (1=top
Vulnerabilities Transformation requirements Requirement priority)

1 Weak river dykes Repairing gabion along river

2 No early warning Community EW measures

3 -DO- Drilling
Prioritized health/WATSAN issue: MANY DIARRHEA CASES
Identified Actions for Financial Technical Ranking
No. C I T ST MT LT (1=top
Vulnerabilities Transformation requirements Requirement priority)
Construct community
1 Poor hygiene
latrines
2 -DO- Hygiene awareness

3 -DO- Improve waste management

Lack of clean
4 Construct more bore-wells
drinking water

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Skills & Principles for Conducting IVCA
Skills Required
→ Induction with PRCS is compulsory for an IVCA
practitioner.
→ IVCA practitioner should have at least 2 years of
experience in development and community based
programming.
→ IVCA training course: Must
→ Well versed with VCA Tools
→ Participatory methods of investigation.
→ How communities function.
→ Culture and cultural sensitivity.
→ Team-building, decision-making, group dynamics.
→ Facilitation techniques.
→ Recording and interpretation of data.
I V C A
Principles
→ Data Source should be mentioned clearly.
→ Supporting documents should be annexed.
→ An IVCA practitioner is expected to follow the RCRC
Code of Conduct.
→ IVCA team should be balanced in term of gender.
→ IVCA team members are expected to respect the local
culture/norms; her/her dress and language should be
according to the local community. He/she must know
how to deal with females.
→ Ensure Community Participation.
→ Record Keeping (Data, Pictures, Reports, previous
assessments)
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Community Information I V C A

During the first visit to potential communities, you will wish to gather the following information and/or
complete these tasks:

→ Meet key leaders & make a list of other leaders (including their contact information).
→ Identify other humanitarian actors working in the community;
→ Prepare a list of local government structure (if exists);
→ Discuss major problems & familiarize yourself with the layout of the community.
→ Understand the routine of the community: When do people work? When is the best time to carry out activities?
→ Ensure that PRCS representatives maintain a friendly, dynamic and motivational attitude, whilst at the same time
clarifying the process and raising realistic expectations.

Some key points to remember for the first community meeting:

→ Issue the invitation in writing, where appropriate;
→ Ensure participation and involvement of as many community member & leaders as possible, and obtain consent.
→ Make sure that all participants are aware of who else will attend the meeting.
→ Prepare an agenda and a presentation with key messages that you wish to communicate to community.
→ Do not let the people to build unrealistic expectations from PRCS.

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Analysis of IVCA Data I V C A

Data collected from the assessment will be entered into a customized database
spreadsheet and that will be developed by the NHQ PMER and shared with
IVCA teams. The team will be responsible for cleansing and validation of each
survey/data form. Quantitative data will be analyzed by using STATA, SPSS and
spreadsheet pivoting (if needed). For qualitative data analysis, PMER will train
the IVCA team on the use of ‘Tally Sheet Method’ and ‘Q-Sort Method’ to
maximize the clarity and to identify the similarities and dissimilarities.

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IVCA Report Template: I V C A

For a close view, ask for

MS Word template

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