This project was made possible through Cooperative Agreement Number HRN-A-00-96-9006 between the US Agency for International Development and Tulane University
| LINKING COMPLEX EMERGENCY RESPONSE AND TRANSITION INITIATIVE |
Addressing the Perceived Needs of Refugees & Internally
Displaced Persons through Participatory Learning and Action
William Weiss
Paul Bolton
Anita Shakar
Johns Hopkins University School of Public Health
September 2000.
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This project was made possible through Cooperative Agreement Number HRN-A-00-96-9006 between the US Agency for International Development and Tulane University |
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Purpose
A public meeting—prior to beginning data collection—is used to:• clarify the reasons the team will be working in the settlement;
• inform settlement members of the team's schedule and methods; and,
• help prevent raising unrealistic expectations about the outcome of the RAP.
Preparations
Clarify study goals, objectives, how the information gathered will be used and what the settlement population should expect from the study. Some key issues are:• The focus of the RAP is on taking immediate action to address priorities, using existing resources where possible. The population—if it has received a large infusion of resources from the outside during an acute emergency—may expect that the agency carrying out the RAP will provide all resources needed for implementation. That the population is expected to develop action plans that include using their own resources for implementation may be quite a surprise.
• Also, if resources external to the population are needed to implement solutions, the agency carrying out the RAP may not have these resources on hand. The agency may agree to develop a proposal for funding but the funding cannot be certain. These issues need to be clarified prior to any data collection activities.
• In addition, this RAP uses open-ended approaches to assessing perceived needs. It is quite possible that the population will give priority to a need that the agency(ies) carrying out the RAP does not have expertise. The agency carrying out the RAP must decide ahead of time what it will do if this happens prior to the public meeting. For example, the agency may agree to help the population advocate to government authorities to address a priority need outside its expertise. Or, the agency may agree to provide the information collected to another NGO that has the relevant expertise.
Conduct Preparation visit:
According to the CRS manual:5"Before going to the community to begin the study, the team (or selected members) will want to visit the (settlement) at least once. During this preliminary visit the team will want to ascertain whether the (population living in the settlement) is interested in participating or not. At this time, it will be important to be very honest about how the information gathered will be used and what mechanisms will be put in place to ensure confidentiality of particular informants." (pg. 44).The visit also allows the team to plan the logistics of providing food and water to team members during the study and where the team can work to write up the findings of activities during the study.
Schedule Date & Time: About two to three hours are needed at a day & time convenient to most settlement members.
Who to invite to the public meeting?
• Everyone living in the settlement (if this can be done—usually through existing traditional systems);
• Traditional leaders from each ethnic group living in the settlement;
• Providers of existing social services (health, schools, water supply, etc.);
• Local government authorities and/or settlement administrators.
Activities
• Introduce the members of the team;• Explain the purpose of the study;
• Describe how the study will be carried out and the kinds of methods that the team will use;
• Discuss how the information will be used & what the team considers reasonable expectations of what can result from the study—Give emphasis to immediate actions that can be carried out using existing resources of settlement members;
• Establish dates and times for additional public meetings to discuss findings and recommendations; and,
• Allow time for any number of questions and concerns—check for unrealistic expectations and address these immediately.
Special considerations for refugee/IDP populations
• The main consideration for carrying out a public meeting in a complex population (complex distribution of age, gender, ethnicity and/or levels of authority) is how to prevent exclusion of key groups from the public meeting, especially vulnerable groups (women, adolescents, elderly, minority ethnic groups). Since this activity may be the first such activity with the settlement population, it may not be possible to prevent all groups from being excluded from the initial public meeting. Greater understanding can only come with closer contact with the population and actively questioning whether groups are being excluded from activities.• Using a "site-based" approach to invite settlement members to the public meeting may help prevent exclusion of groups. First, identify the "sites" that together are likely to have good coverage of the population (for example, medical or relief centers, schools, market areas, churches, mosques or temples).Identify leaders at these sites and ask them about the different groups who are in contact with the site (ethnic, age, gender). Ask gatekeepers for ideas and support in inviting representatives of these groups.
Purpose
• Use a group process to obtain a diagram of the settlement from the perspective of those who live there;• Collect information on the context that can help the team (especially if new to the area) better understand the results of later data collection activities;
• Collect information that can help the team design other data collection activities, such as how to divide team members to best complete the Walkabout; and,
• Establish the attitude (among the team members as well as among the refugees/IDPs) that the team is here to listen and learn rather than to tell and teach.
For these reasons, the participatory map is most useful if carried out at the beginning of the RAP.
Preparations
Materials needed:• An open area at each site;
• Locally available objects (e.g., sticks, stones, leaves, feathers, plants) to use a map symbols;
• Notebook & pencil for study team members;
• Large paper for recording the diagram;
• Verbal group consent form.
Selecting informants:
• Purposively select 6-8 individuals for each group that completes this exercise in each site;
• If possible, have a group of men and a group of women carry out this exercise at each site;
• Ask persons to recommend potential informants who others consider especially knowledgeable about the layout of the settlement (these individuals may be identified during the initial public meeting or through the primary service organizations in the area);
• In addition to persons recommended to you, attempt to include in each group, representatives of different ethnic groups and ages staying at the site.
Data collection steps
• Facilitator obtains verbal consent from the group and signs the consent form;Triangulation to minimize biases• Clear a large space to allow participants to draw the map on the ground;
• The facilitator begins by identifying a couple of landmarks to orient the activity and draws figures on ground using a stick to represent these landmarks;
• Facilitator "hands over the stick" to someone in the group and asks that person to identify on the map the most important sites in the area;
• Instruct the group to use sticks, stones, seeds, or leaves as map markers;
• Ask the group to work step by step in identifying and placing symbols for the major features of the settlement. It will be important for them to include what they think are the most important sites within the settlement;
• You can also suggest additional features to include on the map after the group has exhausted its own list of important areas.
• See Figure 2. below for a possible checklist of features to explore in the mapping exercise;
• Interview the map using the checklist to develop probing questions;
• Copy the map into a field notebook as it is being drawn; transfer to a large sheet of paper later;
• Record what people say about items on the map and record your observations of the process.
• The map that is drawn in the group will not be the final version, but can be used immediately for planning the Walkabout;
• Once the map has been drawn, it is important that it be verified with other individuals later for accuracy;
• Verify the map especially with representatives of groups (age, gender, ethnicity, geographic site) you believe to be under-represented in the original mapping exercise;
• The verification can be done informally during the walkabout activity;
• After the map has been compared for accuracy, the final version can then be redrawn onto a large piece of paper which can be:
– given back to the refugees/IDPs who created the diagram; and
– reduced and copied for use in planning other activities.
Figure 2. Features that could be examined during the mapping exercise. Housing structures and organization
Water sources and distribution
Food storage and distribution
Roadways
Markets, shops
Health Clinics, pharmacies
Major Buildings
Agricultural Plots
Livestock
Schools
Emergency relief services
NGOs and other international organizations
Service centers
Fences/ barriers
Security or other guards
Settlement members (numbers of men, women, and children seen)
Types of people living there (e.g., ethnicity, politics, social class, new arrivals vs. old)
Understanding and using this information
• This type of participatory map provides an excellent glimpse of what the refugees/IDPs think are the most important aspects of their settlement (which may or may not be what we may consider important).Figure 3. Participatory Map of an IDP Camp in Gulu, Uganda.• This information can be used by the team to plan where team members will go during the walkabout and later data collection activities. The team can plan to help ensure that all of the site is covered and that information about important groups are not left out of the RAP. For example, perhaps some persons live in an area that cannot be seen by team members; it is possible that data collection activities may have missed persons from this area.
• The map provides information about the current context of the refugee/IDP situation—this information can help the team understand the findings of later data collection activities. For example, we may better understand why women prioritize water access as a problem is we can see where water sites are located on the map.
Purpose
• Use a semi-structured observation process to understand the condition of the settlement and its members;• Collect a different type information on the context than the participatory map can provide (a way of "triangulation");
• Obtain contextual information that can help the team better understand the results of later data collection activities;
• Collect information that can help the team design other data collection activities (for example, where and how to conduct the Free List exercises);
• Establish the attitude (among the team members as well as among the refugees/IDPs) that the team is interested in the problems of settlement members and that the team is there to observe and learn.
Preparations
Materials needed:
• Notebooks, pencils
• Checklist of objectives (items to observe)
Tasks:
• Clarify the specific objectives of this activity by developing or adapting a "checklist" of items to observe and record;
• An example Walkabout Checklist that can be adapted is presented in Figure 4.
• Use the participatory maps to sub-divide the settlement into smaller sites that can be assigned to 2-3 persons for observation;
• Assign smaller teams of 2-3 persons to a to observe items on the "checklist" within a sub-division of the settlement;
• Provide the team members training in observation techniques.
Data collection steps
• It is helpful to travel with persons knowledgeable about the area, such as a community liaison/guide or a member of an emergency relief mission.
• There are no specific informants to be selected for this exercise, although informal conversations with individuals in the settlement or visits of shelters/households will occur depending on the "checklist" used.
• In pairs or triplets (not too many in the group to avoid attracting unnecessary attention) walk around the site in a meandering fashion to absorb the atmosphere, stopping to greet people;
• Where people are in or near shelters/houses, occasionally stop and ask if you may look at the inside and surrounding area;
• To facilitate spontaneous informal conversation on topics that you are exploring, familiarize yourself with the checklist the team developed before you set out on your walk. If necessary, refer to it discreetly.
• Discreetly jot down details of what you observe, and make notes of things said during conversations with people you meet.
Triangulation to minimize biases
• Diversify perspectives on the smaller teams visiting sub-divisions of the settlement as much as resources permit (e.g. health worker with engineer and food security worker); • Visit each part of the settlement if possible and—if visiting shelters/homes—visit shelters/homes in each part of the settlement; • Visit persons of each ethnic group within the settlement if possible and—if visiting shelters/homes—visit shelters/homes in each ethnic group living in the settlement; • Observe what people do as well as what people say... Are there differences?
Understanding and Using the Walkabout Information
Access to resources:• The Walkabout allows the team to identify how access to important resources varies among the settlement members;
• The team’s observations give a glimpse of what people do during the day and how far they may need to travel to get essential goods;
• Which groups get the prime locations with access to feeding and health centers, other health services, shops and roadways can say much about hierarchies and what types of people have poor access to services or are at risk for problems;
• For example, if women of a certain ethnic group travel far from their shelters for water or food, it may put them at risk for violence and rape;
• Observations may provide information on the amount and quality of contact with the surrounding stable communities;
• This information is used to plan further data collection to ensure the team does not exclude marginalized groups with low access to key resources from the study.
Conditions in the settlement:
• The Walkabout also is useful for assessing the following conditions: crowding; hygiene; food availability; water quality and storage capacity; etc.
• This information will help the team better understand the findings of later data.collection activities;
• For example, the team may better understand why, in later group discussions, women place a high priority on increasing access to water sources.
Adapting example checklists
The following sections include structured observation checklists or simple checklists that could be used for the walkabout. Each of these instruments should be modified and adapted to suit the characteristics of the specific settlement in question. It is not necessary to use all the forms, these instruments were designed to be guides to help create locally appropriate forms for your site.Figure 4. Example Walkabout Checklists
Housing (observe/visit 5-10 households)
1. Shelter space per person
(a) Ave. shelter area (m 2) : _____________
(b) Ave. no. persons/shelter: ___________
(c) Ave. shelter space per person: _______ (3.5m 2 is minimum standard)
2. Average distance between shelters (m): __ (2 m is minimum standard)
3. Are shelters:
(a) for single families?
(b) for extended families?
(c) for many different families?
4. Are shelters made of:
(a) local materials in good supply?
(b) local materials in scarce supply (e.g. use can lead to environmental degradation, competition with local population)?
(c) donated materials?
(d) within large buildings (schools, warehouses, barracks)?
5. Do shelters provide adequate:
(a) protection from the sun?
(b) protection from rain?
(c) protection from flooding?
(d) protection from cold (if applicable)?
(e) privacy?
(f) ventilation?
6. Presence of hazards, such as - Is the heating device (fire, store, etc) up off the wet ground or on the ground where children are crawling around and playing?
7. Are there separate sleeping, eating and cooking areas?
Water (observe/visit 5-10 households)
1. What are the water sources and how far are they from homes?
Water source Distance
___________ (a) less than 100 meters
___________ (b) 100-500 meters
___________ (c) less than 1 km
___________ (d) 1-2 km
2. What activities take place at or near the water source?
(a) washing water containers
(b) washing clothes
(c) bathing/washing self
(d) watering animals
(e) urination/defecation
3. Is water treated at the source, and if so, how?
(a) by filtering with a piece of cloth
(b) by chlorination
(c) by other means
4. How is drinking water transported to the home?
5. Who fetches the water?
(a) women
(b) children
(c) men
6. Water drainage - What happens to the water drain off? Is there stagnant pools of water around the water source?
7. How is drinking water stored in the home?
8. How much water storage capacity does a household have.... 10 / 20 liters?
9. How is drinking water handled in the home?
Sanitation (observe/visit 5-10 households)
1. How far is trash disposed from the shelter?
2. Did you see anyone defecating? (Who? Where? Describe)
3. What proportion of homes have latrines?
4. Where is the latrine located? (indicate reasons why, if relevant)
5. How close are hand-washing facilities (water and ash or soap)
(a) next to the latrine
(b) within walking distance
(c) inside the home
6. Observe the latrine.
(a) Does it have a sound super-structure?
(b) Is the floor safe to stand on?
(c) Does it have a slab?
(d) Is the hole small enough to be safe for children?
(e) Does the latrine provide adequate privacy?
(f) Is the latrine clean?
(g) Any other features?
7. Is there evidence of fecal contamination?
(a) along the roads
(b) along the footpaths
(c) near the water source
(d) in/near the fields
(e)outside the houses
(f)inside the houses
8. What is the contamination observed?
(a) infants/young children’s feces
(b) adults’ feces
(c)cow dung and/or other animal feces.
Food storage and consumption (observe/visit 5-10 households)
1. How long will household food stocks last?
2. Type and amount of food (for example: have plenty of flour, but no oil or pulses)?
3. What type of food storage exist?
(a) within the home
(b) outside the home
4. What is the condition of the storage containers?
(a) sturdy
(b) evidence of animal infestation
(c) deteriorated
5. Where are perishable foods kept?
(a) in bins
(b) on shelves
(c) outside
5. What is the condition of (easily observed) food in the household?
(a) spoiled
(b) dry
(c) wet
6. Are there garden plots in or around the housing compound?
7. What type of cooking fuel is utilized?
8. Where is cooking done?
9. What types of utensils are available for cooking and eating?
10. Are they livestock in and around the house?
Markets, shops (Collect this information on randomly selected shops/ market areas)
1. How large is the shop?
(a) 20 sq. ft
(b) 40 sq. ft
(c) 100 sq. ft
2. What types of items do they sell?
3. How many different types of foods do they sell?
4. Are basic staples available (soap, salt, sugar, flour)?
5. If they sell food, what kind and range of prices?
(a) fruits, fresh
(b) vegetables, fresh
(c) grains
(d) meat, fresh
(e) (this list could be expanded)
Travel and Paths
1. How far are the furthest houses from:
(a) Roadways
(b) Food suppliers
(c) Suppliers of other essential items
(d) Medical services
(e) Other emergency services
2. Do these distances differ by ethnic or language groups?
3. What are the conditions of the travel paths? What are they made of?
4. Are there hazards on the travel paths? To vehicles, to pedestrians?
5. What types of vehicles use the travel ways?
Health Clinics, pharmacies
1. Are they well stocked with medicines?
(a) antibiotics?
(b) antimalarials?
(c) vitamin A capsules?
2. Presence/ condition of the cold chain?
3. Are they well staffed?
4. Is there a waiting line or is there no one there?
5. What hours are they open?
6. What types of facilities do they have?
7. Are there health messages posted? If so, what kind?
8. Availability of water at clinic?
9. Presence of latrine at clinic?
10. Are there user fees/ payment required?
Other emergency relief services, service centers
1. What types of services to they have?
2. What are their hours of operation?
3. Are they well supplied?
4. How often are the services utilized?
5. Is there a long wait for services?
Agricultural Plots
1. How large are the plots?
2. General quality of the soil (dry, wet, etc.)
3. What are the types of crops planted?
4. How well are the plots cared for? (Well tilled, overgrown?)
5. Any evidence of formal or informal irrigation system?
Livestock
1. What types and amount of animals are kept?
2. What is the condition of the animals (thin, fat, etc.?)
3. How are the animals cared for? Who watches over them?
4. What are they fed?
5. What happens to the animal waste?
Settlement members
1. What is condition of the typical settlement member? Do they look malnourished? Tired.
2. What is the condition of their clothes? Do they have appropriate outerwear?
3. Is the settlement crowded?
4. What activities are individuals doing?
(a) women?
(b) men?
(c) children?
5. Are there many pregnant women and young children?
6. Is there evidence of illness (respiratory infections, disabilities, injuries)
Education:
1. Condition of the school?
2. Availability of classroom materials?
3. Presence of a teacher?
4. Types and numbers of students present?
(a) girls?
(b) boys?
(c) ages?
Primary Health Care (observe/visit 5-10 households)
1. Evidence of vaccination contact?
(a) vaccination cards for children < 5 years?
(b) growth monitoring cards for children < 5 years?
(c) antenatal care cards for pregnant women or mothers of children born in the settlement?
2. Evidence of vaccine coverage?
(a) documented measles vaccination for children?
(b) documented coverage of 3 OPV, 3 DPT, BCG?
(c) children under five weighed in the last month?
(d) documented coverage of 2 TT for mothers of children born in the settlement?
3. Are school-age children in the household attending school?
(a) girls?
(b) boys?
(c) ages attending? Not attending?
4. ORS packets in the house?
5. If yes, can mother explain when and how to use them?
6. Availability of containers and cups and spoons to mix and serve ORS?
7. What fluids are given to children with diarrhea and how often?
8. What foods are given to children with diarrhea and how often?
Purpose
• To determine which concerns/ problems are most commonly stated by the population;
• To identify the specific local terms and descriptions for these problems;
• To provide direction to the study team as to the main issues for more in-depth investigation;
• To collect the information about most important problems rapidly while minimizing biases of collecting data in complex populations.
Preparations
Pre-test the free list question:
• Usually done on the field days prior to the day scheduled for free listing (e.g, on the days that the participatory map and Walkabout are being done);
• Have the some members of the team translate the question from English (Spanish, French, Portuguese or Arabic) to the local language(s) of settlement members;
• Have other bi-lingual team members (who did not hear the translation) "back-translate" the translation into English (Spanish, French, Portuguese or Arabic);
• Check for misunderstandings, revise the translation and repeat the "back-translation" process until the team is satisfied;
• Ask the question of 5-10 settlement members and record the responses;
• Check: do the responses to the question make sense?
• If not, ask settlement members for advice on revisions and repeat the test (3-5 more settlement members) until the team is satisfied.
• Write the final version of the translated question on an index card for each team member to read from during the free-list activity.
Materials needed:
• pre-tested free list question;
• At least 10 free list forms per site;
• index card for each team member, with pre-tested free list question written on it;
• pencil;
• hard surface for writing on (e.g. notebook, folder, board);
• informed consent form for each free list form;
• map (official or participatory) of the settlement.
Selecting informants:
•From each study site, select 12-15 willing informants (minimum of 10) that represent persons living in that site who are of different gender, ages, ethnicity, access to key resources, economic status and/or other important characteristics;
• Decide whether to sample "purposively" or with a "probability" sample (e.g. random sample);
• If the population is complex, with many ethnic groups or great differences in access to key resources or in economic status, consider using a "stratified random sample" among "groups of interest" (e.g. ethnic groups, economic status groups, groups with low, typical, and high access to key resources);
• If resources permit, locate a separate study site among each group of interest and randomly select 12-15 willing informants from each of these sites;
• If resources do not permit a separate study site among each group of interest, take a random sample from each group of interest within a study site (the settlement as a whole may be the study site in this case)... the number of informants from each group, out of 12-15 total informants, should be proportional to the size of the group in the study site;
• e.g, select 5 of 15 informants from an ethnic group that represents 1/3 of the study site population;
Hint/Suggestion: In the example above, the "groups of interest" are ethnic groups. If groups of interest live separately from each other, go to each of these locations... at each location, count the number of shelter/houses in each location, select at random (pull a number out of a hat) a household, and interview an informant from that household... repeat the process until the number of informants the team has decided should be interviewed from that group has been interviewed.
If groups of interest live amongst each other, sub-divide the team and assign each smaller team a required number of informants from a group of interest. Each smaller team then selects a starting point and a direction at random from within the study site. This teams then interviews the first person from their assigned group they come across between the starting point and the boundary of the settlement along the direction line selected at random. Repeat this process until the number of informants the team has decided should be interviewed from that group has been interviewed.
• If the population is not very complex (e.g, one or two ethnic groups and/or with minimal differences in economic status or access to resources, then "purposive sampling" is appropriate;
Data collection steps• For example, interview a wide variety of informant types (men & women, older and younger adults and youth, different ethnic groups) in an area with low access to key resources and in an area with typical access to key resources.
Hint/Suggestion: Sub-divide the settlement into areas that differ to some degree according to an important factor such as access to resources or ethnic group;
Assign a smaller team the responsibility for interviewing a specified number of informants from each area (the number of informants from each area out of 12-15 total informants should be proportional to the size of the area relative to the size of the settlement; e.g, select 5 informants from an area that has 1/3 the population size of the study site
Each small teams attempts to interview as wide a variety of people as possible in that area... One possibility is to go to a place(s) in that area that most people use (e.g, market, food distribution point, water point for women, meeting place for men) and interview people at that place who are willing... random selection is not needed... Attempt to interview people of different ages, gender and ethnicity if they are willing.
In general:
This exercise will take about 15-20 minutes per informant. The free list includes one main question (to get a list of main problems or difficulties) and a second question (to obtain more information about the problems on the list). It will be important to probe the informant and help jog their memory in order to obtain a complete list of problems. It is important to encourage the informant to clarify what they say. Interviewer should not assume that he/she knows what the informant means.
Specific steps:
• After the initial greetings with the respondent, obtain verbal consent and sign the verbal consent form;
• If consent is given, begin with the first question: (Also see sample free list form)
• "What are main difficulties that people living in this settlement face?"
• Additional probing can be done by asking, "Are there any other kinds of difficulties people here face?"
• Record answers (names of difficulties mentioned) in the left column of the Free List form;• Ask the second question (asked of each item obtained from the first question):
• "You mentioned ________ was a difficulty here. Please describe to me how this affects the lives of individuals faced with this difficulty?"
Tabulation• Record responses in the right column of the Free List form adjacent to each difficulty discussed.
• Responses are tabulated by counting the number of respondents that mentioned each item; (see tabulation table below)
• Items are then ordered in terms of frequency of response;
• Before tabulation is done, make sure that the responses are standardized and in some cases you may choose to collapse the items;
• Often phases or several words may be used to describe a specific item and may not be described in the exact way by each respondent; • Prior to collapsing any categories, you will need to enlist the assistance of a local person(s) to ensure that the meanings of the words or phrases are not lost when combined.
Understanding and using the information
• First, look at the results of the activity. The items mentioned by all or most informants represent problems perceived as important by a wide variety of persons living in the settlement. Responses mentioned by a few persons represent problems faced by a minority (although possibly a marginalized group) or not considered very significant by most. • Select the 10-12 most frequently mentioned problems for further investigation during the study. These 10-12 items will–in follow on activities of pile sorting and matrix ranking—be reduced in number and then prioritized to identify the problem(s) with the highest perceived priority for action.• Without the use of a tool, such as free-listing, programs run the risk of addressing issues that are not a high priority across a wide variety of types of persons living in the settlement. The free-list is a useful "screening tool" that can be used to quickly identify the most important problems for a settlement population.
Special considerations for refugee populations
• This activity sets the direction for the remainder of the study. This activity generates a list of key problems that will be explored in-depth during the remainder of the study and acted upon. It is critical, therefore, that the views of the most. vulnerable and marginalized persons are not excluded during this activity.Figure 5. Free Listing Recording Form• In stable populations, participatory assessment (e.g., PRA) of key problems is often done in group discussions. Typically, a team will carry out 2-3 group discussions with women and with men. Each group is formed of persons with similar background (ethnicity, SES, age, gender, authority). This is done because problems may vary between persons of different backgrounds and the views of vulnerable persons should be captured.
• Carrying out group discussion with persons of mixed backgrounds versus similar backgrounds creates the risk that the persons with dominant backgrounds will control the discussion and a list of problems generated during the discussion will be from their perspective only.
• Refugee or IDP populations often have complex structures compared to stable populations. A settlement can be composed of persons with many different backgrounds: ethnicity, SES, authority, education, irregular age and gender mix.
• To assess the key problems from perspectives of many persons with different backgrounds, would require several groups to be formed from each major type of person (ethnicity, SES, level of authority or education, age and gender). This process can quickly become overly complex and unfeasible. For example, consider a settlement with four ethnic groups and with persons of little education and persons with secondary education.Covering the varying perspectives of persons living in this settlement could require carrying out 40 or more group discussions! (2 groups of educated men, 2 groups of uneducated men, 2 groups of educated women, 2 groups of uneducated women, and perhaps 2-4 groups of adolescents within each of the four ethnic groups).This is impractical in almost all cases.
• Using free-listing allows us to interview many individuals of a variety of backgrounds relatively quickly. We can feasiblely assess what are key problems for most persons living in the settlement without excluding the views of vulnerable or marginalized persons. [The possibility of excluding the views of vulnerable persons, however, must be actively considered and questioned throughout the study].
• Free listing also can be accomplished without the risk of a group process where persons with dominant backgrounds will control the discussion and a list of problems generated during the discussion will be from their perspective only.
| Free listing Recording Form: Main difficulties faced by persons living in the settlement | |
| Interviewer:
Date: Location: Informant’s age & gender: Ethnicity: Time spent in settlement: Original home: Marital status: |
|
| Question 1. "What are main difficulties that people living in this settlement face?" List of Names of Each Difficulty Mentioned (Write Local Terms) | Question 2. "You mentioned ________ was a difficulty here. Please describe to me how this affects the lives of individuals faced with this difficulty?" |
| 1 | |
| 2 | |
| 3 | |
| 4 | |
| 5 | |
| 6 | |
| 7 | |
| 8 | |
| 9 | |
| 10 (create more spaces if needed) | |
Figure 6. Free Listing Tabulation Form
| Free Listing Tabulation Form: Main difficulties faced by persons living in the settlement n = ____ | ||
| AME OF ITEM (USE LOCAL TERM) / TRANSLATION | Frequency(#) | Percent(%) |
| 1 | ||
| 2 | ||
| 3 | ||
| 4 | ||
| 5 | ||
| 6 | ||
| 7 | ||
| 8 | ||
| 9 | ||
| 10 | ||
| 11 | ||
| 12 | ||
| 13 | ||
| 14 | ||
| 15 | ||
| 16 | ||
| 17 | ||
| 18 | ||
| 19 | ||
| 20 (create more rows if needed) | ||
Note: For final presentation, select a cut-off point–for example, 50% or 33% of respondents mentioned the item— and present the tabulation form with only the items above the cut-off point; order the items in descending order of frequency of mention.
ACTIVITY 5: (RECOMMENDED) PILE
Purpose
From the Free List activity you have obtained a list of the important items representing "main difficulties faced by the community". The next step is to see how the most important of these items are related to each other (adapted from Wellor and Romney, 1988).
Preparations
Create pile sort cards:• Review the tabulation table resulting from the Free List activity;
• From the tabulation table, identify up to 10-12 of the most frequently-mentioned items by community members about main difficulties faced;
• These are the problems that you will ask another group of respondents to categorize into piles based on how similar they are;
• For the pile sort procedure, each problem is usually presented on a separate index card. Words or names may be written on the card. If the population is non-literate, pictures or drawings should also be drawn on the index card to represent the problem;
• On the back of each problem card, write a unique number for each problem... note: every interviewer should use the same unique number for a problem card;
• Pre-test the cards by showing them to several settlement members and asking what they believe the words or drawings on the cards represent—revise as needed.
Materials needed:
• One set of pile sort cards for each interviewer or smaller team (if interviewing in pairs or threes);
• At least 10 pile sort forms for each interviewer or smaller team (if interviewing in pairs or threes);
• pencils for each team member;
• hard surface for writing on (e.g., notebook, folder, board);
• informed consent form for each pile sort form.
Selecting informants:
• As with the Free Listing, select 12-15 willing informants (minimum of 10) from each study site;
• Use the same process described to select informants in Activity 4. Free Listing.
Data collection steps
In general: This exercise will take about 15-20 minutes per informant. The pile sort includes one main question (to ask informants to put the cards into piles containing "similar" problems) and a second question (to ask how the cards/problems in each pile are similar). This is an open-ended activity and informants decide for themselves what criteria they will use to determine which problems are similar to one another. The interviewer should not suggest any criteria for what "similarity" means (e.g., do not suggest that problems be put into piles according to how "serious" they are).Specific steps:
• Shuffle (mix up randomly) the cards before beginning the interview;
• After the initial greetings with the informant, obtain verbal consent and sign the verbal consent form;
• If consent is given, review the cards with the informant;
• Ask the informant to indicate the meaning of each card... Remove from the interview, any cards the informant cannot understand;
• Ask the informant to group the cards into piles of similarity:
• "Please put the cards into piles ‘of difficulties’ that are similar. You can make as many piles as you like. Some things may go into more than one pile. That is okay too."• Let the informant decide his/her criteria for why items are similar or not;
• Allow the respondent to make as many piles as they like;
• The rule is that all cards cannot go in the same pile and all cards cannot be in piles of one.
• After the piles have been created, the interviewer records the number of piles created and what problems are placed in each pile together (remember: a unique number is on the back of each problem card to facilitate this). See the recording form below.• Then, the interviewer points to each pile and asks the informant why the cards in each pile were placed together;
• "Please describe how the problems in this pile are similar to each other."
• Record the explanation on the recording form. Recording these descriptive explanations are vital to interpreting the results.
Tabulation
• Pile sorts are tabulated by creating a similarities matrix (see Figure 8.);• A similarities matrix is created and tabulated for each group of interest (and for which there are at least 10 pile sort interviews);
• The matrix will have a square (or box) for each possible pairing of problems used in the pile sort;
• For example, in Figure 8. there are five problems used in the pile sort (1-5) and ten possible pairings (1 & 2, 1 & 3, 1 & 4, ... 4 & 5).
• Review each of the recording forms from pile sort interviews in a single group of interest;• For each possible pairing of problems count all instances where these two problems are placed together in the same pile;
• Then write this count in the appropriate square (box) of the similarities matrix;
• In this way, problems that are considered to be similar by many informants have the highest counts on the similarities matrix;
• For example, in Figure 8, problems 2 and 4 were most often placed together in the same pile; 2 and 3 next most often; and problems 3 and 4 third most often.
Analysis
• Identify the pairs of problems that are most often placed in the same pile;• Summarize the reasons–recorded on pile sort recording forms–that these items were seen as similar;
• that is, the explanations given about how the problems in a given pile are similar.
• Then identify the items that were least frequently placed in the same pile (for example, pair 1 and 3 in Figure 8.) and summarize the reasons these problems are seen as different.• Describe the criteria informants use to place problems together into piles of similarity;
• Possible criteria include: one problem causes the other problem to occur; both problems caused by something similar; both problems have similar effects; the problems occur at the same time or place or with similar people; and the problems have similar physical characteristics;
Understanding and using the information
• Understanding the perceived relationships among problems gives us a better understanding of what the problems are and why the community perceives these problems as major concerns.• In addition, understanding the criteria the population uses to place problems into piles of similarity can help us understand why priorities are given to some problems during later data collection activities and help us identify where best to intervene to address the priority problems.
• For example, if two issues of concern are perceived to be similar because they have a similar cause, we might be able to address both issues by addressing the one underlying cause;• Specific example: "Poor health" and "lack of food" are placed together in the same pile. The explanation give is that both problems are the result of "lack of income-generating opportunities"... Pile sorting helps us understand why "lack of income-generating opportunities" is ranked highest priority for action in matrix ranking exercises... This activity also helps us argue for "income-generation" as a key need for intervention and a key long-term sustainable approach to addressing health and nutrition.
• Specific example : "Flooding" and "malaria/fever" and "lack of transportation" are problems placed together in the same pile. The explanation given is that all three problems result in the same thing: the inability to work in jobs that may be available in a nearby town... Pile sorting in this example may help identify "drainage systems," and "malaria control," as key activities to support income-generation.
Special considerations for refugee populations
The issues with pile sorting are the same issues described in Activity 4. Free Listing. Figure 7. Pile Sort Recording FormPile Sort Recording Form: Main difficulties faced by persons living in the settlement |
| Items to be sorted (name & unique number): ____________________________________ ____________________________________________________ Informant Type (group of interest): _______________________________ Informant Age: _______ Informant Gender: ________ |
|
Pile number.
(# of each Item placed in that pile) Reason sorted in same pile 1. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 2. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 3. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 4. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 5. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 6. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 7. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 8. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ 9. ( ___ ___ ___ ___ ___ ___ ___ ___ ) ________________________________ |
Figure 8. Pile Sort Tabulation Matrix (Similarities Matrix)
(Example: 10 informants Pile Sort 5 Problems)
| Problem | 1 | 2 | 3 | 4 | 5 |
| 1 | X | X |
|||
| 2 | || | ||||
| 3 | |||| | X | |||
| 4 | | | ||||| | | ||| | X | |
| 5 | || | | | || | || | X |
Items 2 and 4 were put together most frequently (by 6 of 10 informants)
Items 2 and 3, and items 3 and 4 were put together the next most frequently (3 of 10)
So, items 2, 3 and 4 are related in some way.
What were the reasons given for placing the items together?
What criteria were used to group items? (cause –> effect; similar effects, similar cause)
Items 1 and 3 were never put together in the same pile. What does this suggest?
• To have refugees/IDPs state their preference for problems "to be rid of" using criteria of their choosing.• To obtain a rank ordering of preferences (of problems "to be rid of") to help decide priorities for intervention.
Preparations
Identify a set of problems to be ranked:• Use information collected during earlier exercises (Free Listing, Pile Sorting, Walkabout) to identify up to six (6) key problems for ranking;
• Criteria: the team can use to select up to 6 problems—out of many identified— include: (1) feasibility of acting on the problem; and/or (2) that a problem addresses a root cause of other key problems;
• Example: Look at the top 10-12 most frequently mentioned problems during the Free Listing activity... From those, select up to six (6) problems that the results from the Pile Sorting activity suggests are root causes of other key problems
• Note: ranking more than six problems is possible with pair-wise but it is not advised. This is because it usually requires more time than optimal (90 minutes) to compare and rank six items using the "pair-wise" method.
• This set of up to 6 problems should have been identified as important by informants who represent a wide variety of persons living in the settlement.Develop checklist of objectives:
• Clarify the specific objectives of this activity by developing a "checklist" of information to collect during the activity;
• An example checklist for a matrix ranking exercise is provided in Figure 9.
Figure 9. Example Checklist of Objectives for Pair-Wise Ranking: Ranking of Key Problems - Rank order of problems by the number of times each problem was selected as "more important." - Reasons given for why top priority problems were ranked as top priorities; - Reasons given for why low ranking problems were ranked as lower priorities for intervention; - Most vulnerable groups for top priority problems; - Seasonality of the problem; - Persons or groups currently working on the top priority problems; |
• index cards (with diagrams and words) indicating each problem to be ranked—can use Pile Sort cards, if available;
• Pencils and notebooks;
• paper or space on the ground to draw the pair-wise matrix (see Figure 10);
• Checklist of objectives.
Selecting informants:
• At each study site, "purposively" select your groups.
• This activity requires carrying out ranking exercises with at least two groups of 6-10 people (8 persons per group is ideal) at each study site—at minimum, select a group of men and a group of women made up of persons representing a cross section of age, ethnicity, access to resources found in the camp. If the findings vary greatly between groups, more group discussions will be needed to try and understand the variation in preferences.
• If the team has the resources, it is ideal to carry out four or more group discussions: One group is older men, including men from each sub-population. The second group is younger men from each sub-population. The third group is older women from each sub-population and the fourth is younger women from each sub-population;
• In the case that adolescents are a focus of the program, carry out discussions with groups of male adolescents and groups of females adolescents].• In the case that there is great variation in access to key resources, carry out discussions with groups of people with low access and with higher access.
Data collection steps
Develop the pair-wise ranking matrix:• Prior to each group meeting, develop the matrix (see Figure 10 for an example)
• Develop the matrix on a large sheet of paper or on the ground where the group discussion will take place;
• Place symbols for the problems to be ranked along the top and one side of the matrix;
• The order of the symbols on the top and the side of the matrix should be the same;• The index cards used for these problems during the pile sort exercise can be used as symbols in this ranking exercise; Introduce the topic and process • Facilitator greets group members, introduces him- or herself, and introduces the other team members;
• Note takers make a diagram of the seating arrangement and choose unique names (false names) for each informant that is in the group... modify the diagram during the discussion to indicate persons who come late;Complete the matrix• Facilitator introduces the topic and reads the group verbal consent form and signs the form if participants give consent (participants who do not consent are allowed to leave);
• Facilitator presents the matrix by indicating the meaning of each problem symbol on the matrix and describing how the team decided to include the problem in this activity;
• Facilitator checks understanding of each problem symbol... correct misunderstandings... ask the group to modify symbols that are not understood;
• All team members (minus the facilitator) record what informants and the facilitator say and identify in the notes the unique name of the speaker. (Note: what informants say about the problems on the matrix is more important than the diagram of the matrix);
• At least one team member also records the diagram (the initial matrix can be pre-prepared in a notebook);
• Ask participants to consider the problems two at a time;
• Ask participants to select the one problem (of the two) they prefer to be "rid of;"
• Each problem is compared with all the other problems, one by one;
• The number of times a problem is selected is the score that problem gets;
• The higher the score a problem gets, the higher the ranking priority of the problem for intervention;
• The problem with the highest score is considered the top priority problem for intervention;
• Two items with the same score can be compared to each other and the preference recorded and ranked accordingly.
Interview the matrix:
• Ask why problems are given an overall ranking of 1st , 2nd , 3rd etc. as choices to get rid of;
• Ask about interesting observations you see on the matrix to better understand what is happening;
• Refer to the checklist of objectives for additional questions;
• It is very important to record explanations given by group members (exact quotes of important statements are excellent to record).
• Discuss topical areas not mentioned in the initial discussion that the team considers important to explore.
Close the discussion
• Close the discussion after 90 minutes or if the group has exhausted the topics of discussion, which ever comes FIRST;
• Prepare for closing by saying, "It is now about time to finish the discussion... Is there anything else someone wants to tell us? Something else about these or other problems?"
• Continue recording comments until informants have left;
• Thank the informants for their participation and state that the meeting was very helpful in understanding their situation better.
Understanding and Using the
Information• Pair-wise ranking activities will be carried out with different groups of settlement members (e.g, men, women, older and younger, different ethnic groups, different locations in the settlement). Because of this, we can compare the top priorities across groups. This comparison helps us identify those problems that are top priorities for action for a wide variety of settlement members.• With this information, we can then begin putting together an settlement action team—from among settlement members—that is best suited for developing a settlement action plan for each top priority problem.
Special considerations for refugee
populations In refugee/IDP settlements, especially those newly built or with new arrivals, be aware that many people may not have a good understanding of problems that affect others. It may be necessary to involve a wide variety of people from different parts of the settlement in the exercise, or do several discussions with groups from different areas of the settlement.Figure 10. Example of Pair-Wise Ranking Matrix
PROBLEMS TO BE COMPARED AND RANKED
| Problems | "KEC" HUNGER |
"LWENY" INSECURITY |
LACK OF LAND | "TWO" SICKNESS |
"CAN" POVERTY |
CONGESTION |
| "KEC" HUNGER |
X | |||||
| "LWENY" INSECURITY |
Lweny | X | ||||
| LACK OF LAND | Land (3) 'Kec' (1) |
‘Lweny' | X | |||
| "TWO" SICKNESS |
'Kec' (6) 'Two'(2) |
Lweny | ‘Two’ | X | ||
| "CAN" POVERTY |
'Kec' | Lweny | ‘Can' | ‘Can’ | X | |
| CONGESTION | Congestion | Lweny | Congestion | Congestion | Congestion | X |
| TOTAL | 2 | 5 | 1 | 1 | 2 | 4 |
| RANK | 3 | 1 | 6 | 5 | 4 | 2 |
Preparations
Develop checklist of objectives:
• Clarify the specific objectives of this activity by developing a "checklist" of information to collect during the activity;
• An example checklist for the Venn Diagram activity is provided in Figure 11.
Decide how the Venn Diagram will be drawn
• The Venn Diagram can be drawn on the ground using locally available materials to symbolize persons, organizations and agencies;
• Alternatively, the Venn Diagram can be drawn on a large sheet of paper using paper of different colors cut into different shapes and sizes to symbolize different persons, organizations and agencies;
• If the settlement population is unlikely to obtain paper in the future to use this activity for other purposes, consider drawing the Venn Diagram on the ground.
Materials needed:
• Pencils and notebooks;
• Symbols to represent persons, organizations and agencies:
• if done on paper, use colored paper cut into different shapes and sizes;• if done on the ground, use locally available materials of different types and sizes;
• Large sheets of paper (if doing the Venn on paper); and,Select informants• Checklist of objectives.
Figure 11. Example Checklist of Objectives for Venn Diagram: Stakeholders for a top priority problem. - Persons, groups living in the settlement most severely affected by the problem;
- Persons, groups, organizations within the settlement that are considered responsible for addressing the problem;
- Persons, groups, organizations within the settlement that are currently addressing the problem;
- Persons, groups, organizations outside the settlement that are considered responsible for addressing the problem;
- Persons, groups, organizations outside the settlement that are currently addressing the problem;
- Persons, groups, organizations who should be represented on an settlement action team to address the problem;
- Existing working relationships between those outside the settlement and those inside the settlement with regard to the problem.
• At each study site, "purposively" select your groups.
• This activity requires carrying out ranking exercises with at least two groups of 6-10. people (8 persons per group is ideal) at each study site—at minimum, select a group of men and a group of women made up of persons representing a cross section of age, ethnicity, access to resources found in the camp. If the findings vary greatly between groups, more group discussions will be needed to try and understand the variation in preferences.
• If the team has the resources, it is ideal to carry out four or more group discussions: One group is older men, including men from each sub-population. The second group is younger men from each sub-population. The third group is older women from each sub-population and the fourth is younger women from each sub-population;
Data collection steps Introduce the topic and process• In the case that adolescents are a focus of the program, carry out discussions with groups of male adolescents and groups of females adolescents].• In the case that there is great variation in access to key resources, carry out discussions with groups of people with low access and with higher access.
• Facilitator greets group members, introduces him- or herself, and introduces the other team members;
• Note takers make a diagram of the seating arrangement and choose unique names (false names) for each informant that is in the group... modify the diagram during the discussion to indicate persons who come late;
• Facilitator introduces the topic and reads the group verbal consent form and signs the form if participants give consent (participants who do not consent are allowed to leave).
Complete the Venn Diagram
• The facilitator begins by drawing a large circle on a large piece of paper or on the ground (paper is usually easier);
• The facilitator states that the circle represents the settlement site:
• everything within the borders of the settlement will be represented inside the circle;• everything outside the circle represents a person, organization or agency that is not within the settlement.
• First, the facilitator asks the group to identify types of persons living within the settlement that are most severely affected by the problem.
• Each type of person mentioned is represented by a symbol (e.g., piece of colored paper on which is the group’s name or some other locally available marker);• The symbol is placed inside the circle to show that they exist within the settlement;
• Symbols placed close together suggests a close relationship between persons/groups represented by the symbols;
• note cards can be placed under the symbol with the meaning of the symbol written on the card to help the facilitator and note takers.
• Second, the facilitator asks the group to identify persons, groups, organizations within the settlement that are considered responsible for addressing the problem;
• Instruct participants to use different types of symbols for specific persons, natural groups and organizations;• Symbols for persons should be unique and the same approximate size;
• Symbols for groups and organizations should also be unique but can vary in size depending on their perceived importance in addressing the problem;
• Symbols placed close together suggests a close relationship between persons/groups represented by the symbols;
• Third, ask the group to identify persons, groups, organizations within the settlement, if any, that are currently addressing the problem;
• Instruct participants to use different types of symbols for specific persons, natural groups and organizations;• Symbols for persons should be unique and the same approximate size;
• Symbols for groups and organizations should also be unique but can vary in size depending on their perceived importance in addressing the problem;
• Symbols placed close together suggests a close relationship between persons/groups represented by the symbols.
• Fourth, ask the group to identify persons, groups, organizations outside the settlement that are considered responsible for addressing the problem;• Fifth, ask the group to identify persons, groups, organizations outside the settlement that are currently addressing the problem;
• Sixth, ask the group to identify persons, groups, organizations (inside or outside the circle) who should be represented on an settlement action team to address the problem;
• Note: place a marker next to a symbol representing a person, group or organization that is already on the diagram.
• Last, ask the group to drawn lines from markers on the outside of the circle to markers on the inside of the circle to represent existing working relationships, if any.Interview the Diagram
• Ask why the problem most affects the types of persons identified in the Venn as most vulnerable;
• Ask about interesting patterns and relationships you see on the diagram to better understand what is happening;
• Refer to the checklist of objectives for additional questions;
• It is very important to record explanations given by group members (exact quotes of important statements are excellent to record).
Close the discussion
• Close the discussion after 90 minutes or if the group has exhausted the topics of discussion, which ever comes FIRST;
• Prepare for closing by saying, "It is now about time to finish the discussion... Is there anything else someone wants to tell us? Something else about persons or organizations related to this or other problems?"
• Continue recording comments until informants have left;
• Thank the informants for their participation and state that the meeting was very helpful in understanding their situation better.
Understanding and Using Information
• The persons, groups and organizations identified in this activity are potential main "stakeholders" for the top priority problem(s) identified in the ranking exercise;• These potential "stakeholders" include three types of persons:
• persons who are most seriously affected by the problem and/or at greatest risk for having the problem;
• persons considered by the settlement members to be responsible for addressing the problem (perhaps based on a traditional system);
• persons who are already working on the problem in some capacity.
• Information about potential stakeholders is used to help identify the types of persons who should participate in an "settlement action team" to address the top priority problem(s).
Special considerations for refugee populations
Persons who have been at the site a short time may not know much about the local decision-making structure. Some settlements, although physically a single unit, may be divided into groups based on culture, politics, or place of origin. Each may have it’s own administration. Therefore, it is important to choose informants who have been at the site at least 6 months or - in the case of new settlements - one of the earlier arrivals, and to do Venn diagrams with representation from each of the various groups. Figure 12. Example of a Venn Diagram: "Stakeholders" of displaced persons camp for the problem of " inability to earn income"
| Note: This activity is
useful but may not be necessary. The team needs to decide whether or not to carry out this
activity after it has carried out the Venn Diagram. This activity can also be done later as part of Section III, if the settlement action team believes it needs additional information about the problem to make informed action decisions. The only caution is not to do this activity before the team has had several days experience in the settlement. |
Preparations
Develop "ethnographic field guide":
• The team decides which gaps in information about top priority problems are the most relevant for presentation at a public meeting and which demographic data should be collected (e.g. age, sex, ethnic group);
• Use the information above to develop an Ethnographic Field Guide (EFG).
• The EFG is used to help the interviewer conduct the interview.
• The EFG provides ideas about opening questions and topics you would like the informant to talk about.
• Common topics include: causes and effects of problems, vulnerable groups, coping strategies, and suggested solutions.
• Figure 13. below provides an example Ethnographic Field Guide for this activity.
Materials needed:
• Paper and pens for note-taking;
• Tape-recorder, if acceptable and available.
• Ethnographic Field Guide
Select informants:
• Hopefully, by this time in the study, the study team will have identified good potential key informants.
• A key informant should be "knowledgeable" about, or a "stakeholder" of the top priority problems to be discussed.
• From the Venn diagram, identify the types of persons who represent potential "stakeholders" for key informants:
• most importantly - persons who are most seriously affected by the problem and/or at greatest risk for having the problem;
• also - persons considered by the settlement members to be responsible for addressing the problem (perhaps based on a traditional system);
• or - persons who are already working on the problem in some capacity.
• Ideally, if time and resources permit, these interviews should be conducted from men and women and representatives of each of the sub-population.
• Remember, that in order to cover the topics described, at least two one-hour interviews will be required.
Data collection steps
Opening the interview:• Begin the interview with some greetings, casual introductions, explanation of the project and proper consent procedures.
• (It is best to get the demographic information at the end of the interview).
• Allow the informant to lead the discussion as much as possible. Keep in mind that you are trying to get ‘their story’. The interview should begin with a general question to get them talking around the topic of interest (see Figure 13. for an example opening question).
• Bernard (1995) describes some important steps to take when interviewing an informant for the first time. Ensure anonymity of all informants, Explain that you simply want to know what they think and what their observations are, not what other people believe. Explain to the informant why they were chosen and emphasize the need to get their opinions as you as an outsider are ignorant about the conditions of the settlement.
• We suggest that you begin your conversation with the informant in the following way: "I would like to learn from you about the situations that people in this settlement face. Please tell me about your typical day now?"
• Allow individuals ample time to consider this question and respond thoroughly.
During the interview:
• Let the informant lead.
• Encourage the informant to interrupt you during the interview to say something that is important.
• Probe extensively on specific issues that may come up, such as those in the sample ethnographic guide.
• Using probes also helps the informant continue on their streams of thought.
Hint/suggestion; (Adapted from Bernard, 1995).There are a number of successful ways to probe an individual during the interview. The most common ones include the silent probe which consists of remaining quiet or nodding one’s head in agreement. The echo probe consists of simply repeating the last thing that the person said. One can also probe by going back to something the informant said earlier in the interview and relating it to something else that was said. This helps clarify specific issues for the interviewer as well.
• Focus follow-up questions on topics that help describe in-depth the top priority problems. This includes among the following topics:
• Time the problem occurs (during the day, special days, seasons); • persons (most vulnerable groups for the problem); • places the problem occurs most; • coping strategies currently used, especially by vulnerable groups; • perceived causes of the problem; • suggested solutions for the problem.
• Be careful not to switch topical areas too quickly.Avoid probing about sensitive issues Note that recalling violent and traumatic events can cause distress among informants. For this reason, interviewers should not should not should not should not probe these issues in-depth [An exception is an interviewer who is a psychosocial professional and who can arrange for professional assistance; or, if all informants are linked with a functioning counseling service that is qualified to assist persons who have witnessed or experienced violence or trauma. However, good quality programs are usually not available to the majority of refugees and especially IDPs].• Because of the wide range of issues to be covered, it is not possible to collect all the information in a single interview.
Hint/suggestion: Arrange to come back to conduct a follow-up interview with the same individual. The follow-up interview can be used to clarify issues that came up in the first interview, as well as pursue other avenues of interest. The second interview has the added advantage that the respondent is usually more at ease because you are now known to them, and they understand your purpose and know what to expect.
Understanding and Using this Information
• The key informant interviews will provide a greater understanding about the dimensions of top priority problems:
• description of the problem;
• perceived causes;
• perceived effects;
• when the problem occurs;
• who the problem affects most;
• suggested solutions to the problem.
• This information well help settlement members devise an appropriate strategy to address the problem. For example, a strategy is more likely to address root causes of a problem rather than superficial symptoms if perceived causes of the problem are explored. Also, a strategy is likely to have the greatest possible benefit when it targets those most affected by the problem.• This information will also help team members better understand, and therefore support, the strategies selected by settlement members to address a top priority problem.
Special considerations for refugee populations
• The main consideration for refugee populations when carrying out key informant interviews is not to exclude the perspective of important "stakeholders" of a problem selected for action. This means not only interviewing persons who are working on the problem or are responsible for addressing the problem. Teams must make special effort to interview persons who are most affected by the problem.• Since the emphasis of these key informant interviews is on interviewing "stakeholders," this activity is placed at the end of the other data collection activities. This will give the team more time to identify groups most affected by a problem and identify, from within these groups, persons who can speak with some authority about how the problem is experienced by these groups.
Figure 13. Example Ethnographic Field Guide Figure
ETHNOGRAPHIC FIELD GUIDE: PRIORITY PROBLEMS FACED BY REFUGEES/IDPS Key Informant Interview Guide
General instruction:Let the interview be guided by the answers you get to the initial question. Explore leads that the informant raises which relate to the topics listed.
You are unlikely to be able to get through all the topics in an hour. If this is a capable informant, you should come back and explore the remaining topics another time. You may need to return several times.
Opening:
"My name is ________ , and I am visiting you to learn about the problems affecting people in this settlement, and how they deal with them. Are you able to talk with me now for about an hour?" (VERBAL CONSENT FORM HERE).
If not, but the informant appears willing, arrange another time. If the informant appears unwilling, thank them kindly. After you have talked with other people in the settlement, and trust begins to develop, this person may be willing to talk with you.
Initial Question
"I would like to learn from you about the situations that people in this settlement face. Please tell me about your typical day now?
Let the person speak as freely as possible. Write down topics mentioned by the informant noting local terms used for problems and adverse situations. Probe on the following topics as time allows and/or as topics arise during the interview:
1. For each priority problem faced by settlement members (identified earlier in the study):
- Description of what happens when problem occurs: "Earlier, persons in this settlement mentioned X was a serious problem. Please describe to me what happens in the settlement when this problem occurs?"
- most vulnerable groups and persons (ethnicity, age, gender) for the problem?
- times (seasons, times of day, day of week, part of month or year) that problem occurs?
- places that problem occurs?
- coping strategies used now?
- suggested solutions to the problem?
- perceived root causes of problem: "What are all the things (X1... Xn) that lead to the (problem)? What are the things (Y1.. Yn) leads to X1 (which leads to the problem)?" What are all the things (Z1.. Zn) leads to X2 (which leads to the problem)?" What leads to Y1 (which leads to X1, which leads to the problem)?" What leads to Y2 (which leads to X1, which leads to the problem)? etc.
- Root causes within control of the settlement to act on?
- Who in the settlement should act on the problem (and its root causes)
2. Other potential problems/issues of interest:
- Who are the most influential persons and groups in the settlement?
- What role do they play? What decisions to they make?
- Where do people obtain food, water and materials for shelter?
- Are sufficient quantities of food, water and shelter materials available? Quality?
- What did household members eat yesterday? How many meals did they eat yesterday?
- Where do people currently dispose of their feces? The feces of young children?
- Most are the most common and most serious illnesses of children, women and men?
- What actions to people take when having these illnesses?
- Do people feel safe? Is it safe to travel to markets and health services? Why or why not?
- Do people perceive the security situation changing in the near future? How?
- Who owns the land people live on and farm? Is land ownership/use stable or insecure?
- What are the most helpful things that NGOs have done for the settlement?
- What can NGOs do to be more helpful?
Remember: Guide the informant onto the topics above, but let informant decide the content discussed about each topic. Do not expect to discuss each topic on this list during the first or even second interview. Repeated interviews will be necessary to cover all the topics listed above.
Closing the interview:
"It is about time to finish this interview, is there anything you else want to tell me? Anything you feel is important for me to know about how you spend your day or about the situation faced by people in this settlement?" (Record responses)
Obtain background information:
Settlement code: Date: Age: Ethnic Background: Gender: Years of Education: "Thank you very much for talking to me today. Your time is very much appreciated and your insights have been very helpful. I would like to come back and talk with you again about other issues as I learn more. Would that be ‘okay’ (convenient) for you? When is the best day or timefor me to come back and talk with you?
ACTIVITY 9: DATA MANAGEMENT & PRELIMINARY ANALYSES
Purpose
There are two types of data management and analysis activities in this study: (1) daily management and analysis; and (2) management and analysis after a substantial amount of information has been collected.1. The purpose of daily data management and analysis is to help ensure accomplishment of study objectives with a minimum of biases.
2. The purpose of data management and analysis—after a substantial amount of information has been collected—is to prepare for feedback to settlement members and action planning.
Materials needed
• Field notebook (per interviewer);• Expanded notes notebook (per study team);
• File Folders;
• Paper (A4); Chart paper or newsprint;
• Pens, pencils, colored markers.
Daily Data Management and Analysis
Background and purpose:• Data management and analysis is not an activity that begins after all the data has been collected for a study. In qualitative studies, data is managed daily during and after each data collection activity.
• Qualitative research is designed to be iterative and flexible; this can only happen if data is managed and analyzed frequently during the data collection period.
• Daily data management and analysis allows the team modify the study plan, as needed, during the study. If indicated by analysis of a day’s activities, teams can use different methods than planned on the following days, interview different types of informants than planned, or repeat activities with different types of informants than before.
General process:
• Field notes are taken during each data collection activity;
• Expanded notes are written on the same day following an activity;
• Expanded notes are written by the team of persons who carried out a data collection activity;
• Expanded notes include the analysis and conclusions of the team that carried out the activity;
• Expanded notes also indicate possible biases and suggestions as to how to modify future data collection activities to address biases;
• Expanded notes are placed in a file folder;
• The file folder—that contains expanded notes of a data collection activity—has a page attached to the cover for writing identifying information about the activity.
• Note that the specific process, described below, is a suggestion, or a guide. There are other ways to manage qualitative data, including use of micro-computers.
Specific process suggested:
Step 1– Field notes:
• All team members who are present at a data collection activity take notes. [An exception is during an activity where the person facilitating the activity does not take notes].
• Write down what you observe and hear during data collection activities in a field notebook.
• Identify speakers / actors in your notes.
• Record the questions as well as answers.
• It is usually not possible to write down everything observed or heard word for word. When taking field notes, jot down cue words or phrases that will stimulate the interviewers memory when writing expanded notes after the data collection activity.
• Try to record as much as possible however, and try record the exact words of especially important statements.
• Keep key terms/phrases in the local language (next to these, write the translation in brackets).
• Include sketches, diagrams, and maps as these will help others to understand the interview context, and help the interviewer recreate the interview when writing expanded notes.
Step 2 – Write Expanded Notes:
• It is important to allocate time the same day of a data collection activity to write expanded notes.
• A one-hour interview can require two to four hours to write expanded notes.• This means that an interviewer cannot carry out more than two data collection activities in a day.
• Relatively inexperienced interviewers should only carry out one data collection activity in a day.
• Write expanded notes in a separate "expanded notes notebook" or type the expanded notes on computer.• At the beginning of the expanded notes, include an identification section. In this section include the following:
• Topic, date, and informant(s)’ pseudonym(s);• A description of setting and the informant(s);
• A punctuation key;
• Contextual information, such as:
• The second section of the expanded notes is the main body. The great majority of the expanded notes are in this section. Here we suggest writing a chronological script (scripting method) of the interview or observation including identification of who is speaking or acting. Also, record non-verbal behavior.– who recommended the informant(s);
– how you found the informant(s); and,
– how this interview fits in with other information.
• The third and final section of the expanded notes is the summary. This section is used to summarize/analyze both the process and the content of the data collection activity. The summary should address the following issues:
• Process summary/analysis:
• How did the activity go? • Were the informant(s) truthful/frank? • How well did the informant(s) participate? Willingly? • What are the biases in the data recorded in the main body of the expanded notes? Who or what are the types of persons/places/times this information represents?• How should we work differently during the rest of the study?
• Content summary/analysis:
• What are your conclusions related to the study objectives/questions? • Do these conclusions differ by study site? • What are the important issues to follow-up in future data collection activities?• If possible, make up to three copies of each expanded notes. Type notes if possible.
Step 3 – File Expanded Notes:
• The expanded notes of each data collection activity are placed in a unique file folder.
• On top of each file folder (each containing a unique set of expanded notes) staple or tape a "File Information Sheet."
• The "File Information Sheet" is used record information about the data collection activity such as: the community where the data was collected, the date of the activity, the data collection method used, the pseudonym of the informant(s), and the interviewers/observers or facilitator (for group exercise).
• The file information sheet should also record the file’s unique filename.
• Each file folder is given a unique filename (with numbers/codes/letters) to indicate things like the settlement where the data was collected, the date of the activity, the data collection method used, the pseudonym of the informant(s), and the interviewer/observer.
• Later, files can then be organized in a filing system using the filename to organize files. For example, files can be organized by community and then date, or by interviewer and then method or another similar way.Below is an example of a file information sheet.
File Information Sheet
Unique Filename A13/08/99(KI).HAB Place Site A Date 5 August 1999 Method Key Informant Interview (KI) Informant Pseudonym Awatif Language Used Arabic & Dinka Date Coded 13/08/1999 Coded by HAB
| Code | Frequency | Go to Page(s) | |
| Text | Color | ||
| CP_CA | ‘Blue' | 1 | 2 |
| CP_EF | ‘Blue' | 2 | 2,3 |
| CP_SO | ‘Blue' | 2 | 3,4 |
| ILL_CA | ‘Red' | 5 | 3,4,5 |
| ILL_HW | ‘Red' | 3 | 4,5 |
| ILL_TX | ‘Red' | 4 | 4,5,6 |
Note: instructions about how to complete the coding section of the File Information Sheet is provided in the section on coding below.
Post Data Collection Management
Background and purpose:The purpose of data management after a substantial amount of information has been collected, is to prepare for a public meeting. At the public meeting, settlement members and other invited stakeholders are given the findings of the study to date. The purpose of sharing the findings is to facilitate action–based on the finding–to improve the quality of life of settlement members. Proper data management (and later analysis)—prior to the public meeting—will help the team establish priorities for feedback to share the most meaningful findings of the study with settlement members.
Codes are used to help organize expanded notes and prepare notes for analysis. Coding also forces team members to read the data (notes) in a new way, increasing understanding of the information collected.
General process:
The following data management activities are carried out at this stage in order to prepare for a public meeting:
• organize data collected so far using file folders and file information sheets; and,
• code expanded notes of activities.
Specific process:
Step 1 – Organize data collected so far:
In this step, use the process described above in the section, "File expanded notes."
Step 2 – Select codes:
• Use codes that will help the team summarize key aspects of a top priority problem. For example, use codes for the following dimensions of a top priority problem(s):
• perceived causes (and effects) of the problem or issue;
• perceived effects of the problem or issue;
• most vulnerable groups affected by the problem and why;
• (for some issues: the places and times the problem occurs and why);
• current coping strategies to mitigate the problem, especially among vulnerable groups;
• solutions to the problem suggested by refugees/IDPs.
• Once team members have decided the codes they want to use, they can decide on what the code will look like.
• The way a code looks used should indicate the nature of the line(s) of text in the expanded notes that have been coded.
• For example, a code for ‘causes’ of the problem ‘lack of income’ could be written as, ‘INCOME_CAUSE’ or simply ‘IN_CA’.
• The example codes above have two parts: a problem and a dimension of the problem. One can simplify this more by just using one part to indicate a comment about that particular problem.
Note: it is very important that the codes used be simple (no more than two parts) and standardized by all study team members. The best way to standardize codes is to develop a codebook that all study team members use. A example codebook (for the problem ‘lack of income’) is provided below.
Figure 14. Example Codebook: Codes for Dimensions of the Problem ‘Lack of Income’
| Short form | Long form | When to use |
IN_CA |
Causes of Lack of Income | Use when an informant mentions things and situations that lead to the problem of ‘lack of income’ or things that do not lead to lack of income. |
IN_VG |
Vulnerable Groups for Lack of Income | Use when an informant mentions groups or persons that are most affected by the problem of lack of income. Use also when an informant mentions groups or persons that are least affected by the problem of lack of income. |
| IN_CS | Coping Strategies for Lack of Income |
Use when an informant mentions things people do to deal with the problem of ‘lack of income’ or things people do to prevent the problem from occurring. |
| IN_SO | Suggested Solutions for Lack of Income |
Use when an informant mentions things people can or should do to deal with the problem of ‘lack of income or things that people should not to do to deal with the problem. |
Step 3 – Code Expanded Notes:
• Code expanded notes of all data collection activities.
• Read through the expanded notes from each activity and identify comments made by informants related to each dimension of the problem you have selected to analyze.
• Place a code in the margin of the expanded notes adjacent to each comment related to the code.
• The code used next to each comment should be standardized according to the codebook (see above example codebook).
• Remember: the purpose of coding is to help organize your expanded notes and prepare your notes for analysis; coding also forces you to read your data in a new way, increasing understanding of what was discussed.
Step 4 – Complete File Information Sheet
• After each file with expanded notes is coded, complete the coding section of the file information sheet attached to the file cover (described above under Daily Data Management and Analysis).
• The file information sheet will record which codes, of all the codes developed so far, appear in the margins of the expanded notes inside that file.
• The number of times each code appears in the expanded notes and on what pages is also recorded.
Hint/suggestion: A color code can be used in addition to written codes. Color codes can help investigators rapidly and visually identify all files containing expanded notes that include an issue of interest, such as ‘Lack of income.’ This can be done be giving the same color code to all the text codes related to ‘Lack of income’. See an example on the File Information Sheet above.
Post Data Collection Preliminary Analysis
Background and purpose:• The purpose of this analysis exercise is to summarize the key findings about a problem of major concern to the refugee or ID population served by the program.
• The output of this exercise is to be presented to settlement members and other stakeholders at a public meeting.
• At the public meeting following this exercise, the task will be to agree on the top priority problem to address and select settlement members who will form an "settlement action team" best suited to develop action plans to address the problem.
Note! Participation of settlement members in the analysis will allow the study team to help check the reasonableness and accuracy of their analysis prior to the public meeting. For example, if the study team used community liaisons to help with the study by locating and introducing informants, guiding the team around the study sites, translate interviews or interpret findings along the way, the community liaisons would be good candidates to include in the analysis.
Other candidates include good key informants who are knowledgeable about the issues to be analyzed or community leaders. Although the analysis will be recorded on chart paper, most of the analysis relies on discussion allowing non-literate persons to participate.
General process:
The process for this analysis exercise is to:
• Sub-divide into "analysis groups;"
• Individuals read through the sections of text that provide information about the top priority problem—that is, sections of text that have been coded for this.
• Individuals share findings with members of "analysis groups."
• Analysis groups write, by consensus, a summary of findings about the top priority problem.
Specific process:
Step 1 – Oral summary:
• Sub-divide study team members into several analysis groups.
• One option is to develop groups defined by the sites inside the study where some team members collected data and other did not.• An alternative is to divide analysis groups into topical areas such as one group each to analyze one or two dimensions of the top priority problem(s) selected for analysis.
• When sub-dividing by topical area, balance expertise with perspectives from different sites
• Provide one copy of coded expanded notes of data collection activities to each analysis group.
• Remember: expanded notes are placed in a file folder with a File Information Sheet on the front
• Assign codes to each analysis group for them to analyze. For example, if doing analysis by study site, each analysis group will analyze all codes related to the problem being analyzed. However, if analysis groups are divided by topical area, each group will be given separate code related to their assigned topical area.
• Each analysis group summarizes findings for each assigned code using the following process:
• refer to coded expanded notes; divide expanded notes among analysis group members;
• individually read sections of expanded notes where codes of interest are located; • after reading, individuals share with analysis group members their summary of findings for the expanded notes they have reviewed; • pay attention to patterns emerging from the individual summaries of findings • summarize verbally the pattern of findings related to each code (note: that a pattern assumes that at two to three data collection activities support the findings without contradictory findings);
Step 2 – Written summary
• Each analysis group summarizes in written format the pattern of findings related to each code assigned to it.
• Use one separate sheet of chart paper or newsprint per assigned code.
• On the top half of the chart paper: write a summary of findings related to the code being analyzed, indicate sources of data supporting the summary, and possible biases (groups under-represented?).
• On the bottom half of the chart paper: write key quotes supporting the summary of findings and source of quote (e.g. male informant of 30 years: "the great distance from the city’ is why there is ‘lack of jobs’").
• Use additional sheets of chart paper if needed.
Hint/suggestions:
- Identify what data collection activities provided information to support the summary of findings (example: 3 key informants and two matrix ranking exercises).
- Identify the types of persons who provided the information that supported the summary of findings (gender, ages, ethnicity, social status, geographic area).
- From this, estimate who in the refugee/ID population the information represents and who is probably does not and any methodological biases.
Step 3 – Discussion and Consensus
• Analysis groups present summary of findings to the entire study team.
• When analysis groups are presenting by study site, each analysis group presents its findings in turn on a topic before moving to the next topic. This allows comparison of findings across sites.
• Study team compares findings across study sites, if data from different sites are available.• Study team judges the representativeness of findings (likely/potential biases).
• Study team agrees on an overall summary of findings for each topic area/code for presentation at a public meeting using consensus.
• Summaries of findings should describe the variation if and where it exists, For example, findings about causes of ‘lack of jobs’ could vary be study site, by ethnic group, by gender and/or by age.
Purpose:
This public meeting is placed at the transition transition transition transition between Section II (Data Collection) and Section III (Participatory Action Planning). There are several purposes for a public meeting at this stage in the study. This includes the following:• give back to the settlement members the information collected that is "theirs" to learn about and use;
• arrive at an agreement or understanding about which top priority problem the settlement members want to address;
• obtain recommendations from settlement members as to who might and should participate in an "settlement action team (SAT);" and,
• if possible, select the "SAT."
Present Findings
There is no one correct way to conduct this meeting. The process will vary from settlement to settlement. Therefore, a specific process will not be suggested here. Instead, we suggest that the study team consider the following issues when designing the structure of the public meeting:8WHAT?
That is, of all the information collected, what should be included in the presentation.
| Hint: At a minimum present the following: • introduce the study team and the purpose of the study; • methods used and types and numbers of informants participating in each method; • top priority problems for the refugees/IDPs and how this was determined; • perceived causes of the top priority problem and suggested solutions; • perceived most vulnerable groups affected by the top priority problem. |
That is, who presents AND who has a chance to react to the information collected;
Hint: Include refugees/IDPs on the presentation team to enhance acceptability of the findings. The implication is to use refugees/IDPs on the study team from the beginning. At a minimum, invite persons who participated in the study to the meeting along with community leaders (traditional and administrative).
HOW?
That is, determining the appropriate presentation style to encourage analysis and reflection on the information collected
| Hint: if the population is primarily non-literate, prepare visual cues to communicate findings. Refer to pictures already used in the study during pile sorting and matrix ranking. |
Note that the place where feedback takes place may influence the quality of participation and the subsequent discussion;
WHEN?
That is, will the feedback meeting take place at a time that allows maximum participation by settlement members?
Identify Settlement Action Team
• The program spokesperson gets agreement, from those attending the meeting, that the next step is to develop a plan to address the top priority problem identified in the data collection phase.• Assuming those attending the meeting agree that the next step is to address the top priority problem, the spokesperson states that the team would like to work with an "settlement action team" or an "action team" to develop a plan over the next several days.
• Spokesperson states that the team would like to work with an settlement action team comprised of 8-10 persons (stakeholders) of the following types identified during the Venn Diagram and other activities:
• persons who are most seriously affected by the problem and/or at greatest risk for having the problem;• persons considered by the settlement members to be responsible for addressing the problem (perhaps based on a traditional system);
• persons who are already working on the problem in some capacity.
• Spokesperson asks those attending the meeting to recommend/invite specific persons (representing each "type" of person described above) to participate in the "settlement action team."
• State that participation is strictly voluntary;• Suggest that at least half of the group come from persons most affected by the problem.
• Suggest that the group include men and women and persons of different ethnic groups.
• Ask for a time and place, that day if possible, to meet with the persons that have been recommended and who are willing to participate (or at least wiling to explore the idea of participating) in an "settlement action team."
• Meet with persons that settlement members recommended for participation in the settlement action team (and who are willing to participate).
• Share key findings from the study;
• Explain tasks/role of settlement action team;
• Share tentative agenda of when the group would work together;
• Identify persons willing to participate;
• Ask for help identifying additional persons if needed;
• Set time, place for next meeting to begin developing an action plan to address the top priority problem.
5. Adapted from Freudenberger K. RRA/PRA Manual for CRS Field Workers and Partners, 1999.• Document the key decisions and outcomes of the public meeting and the meeting with the preliminary settlement action team.
6. Adapted from Freudenberger K. RRA/PRA Manual for CRS Field Workers and Partners, 1999.
7. A good reference with examples for a Walkabout comes from the RAP manual by Almedom, Blumenthal, and Manderson: Hygiene Evaluation Procedures: Approaches and Methods for Assessing Water - and Sanitation -Related Hygiene Practices. This manual is available full-text on-line at the United Nations University website, http://www.unu.edu/unupress/food2/UIN11E/UIN11E00.HTM Several sections of the example checklist in this Activity came from this excellent resource.8.
These issues were suggested by Pretty, Guijt, Scoones, and Thompson in A Trainer’s Guide for Participatory Learning and Action. London: International Institute for Environment and Development. 1995.