Case Study

The case study component based in Metro Manila, the Philippines, draws upon multiple sources of data and thus not only allows in-depth study of individual cases, but also an analysis of contextual conditions or the system, which may be very

influential and significant to the phenomenon of CBA (Yin, 2003). According to Robert Yin three conditions make a case study the preferred research method. The two  that  ring  true  for  this  research  are  that  (1)  “’how’…  questions  are  being  posed”,   and  (2)  “the  focus  is on a contemporary phenomenon within a real-life  context”  (Yin, 2009, p. 2). The case study method thus takes an idiographic approach, which is favourable to qualitative data collection, that investigates individual   cases   “in personal, in-depth detail to achieve a unique understanding of them”  (Crane, 2009, p.

1). This is important here in order to provide relevant and specific observations and lessons for the future practice of CBA among the urban poor in the context of settlement development planning.

Within the general case study method, there are three main types: descriptive, exploratory, and explanatory or causal (see Yin, 2003, pp. 5 and 14-15). The nature of this research draws upon the descriptive and exploratory types of case study because the research questions aim to (a) to describe the practice of CBA in the context of settlement development planning among the urban poor, and (b) to explore and determine the feasibility of CBA and how it may be strengthened. In addition to these three types, there are single- or multiple- case study designs that in turn may be holistic or embedded. This research employs a multi-case embedded design (see Figure 6), which means that three cases of settlement development organisations are selected (thus making it multi-case) and within each case two communities are selected as units for analysis (thus making it embedded). The multi-case embedded design  is  seen  to  be  “more  robust”  with  analytic benefits due to its ability to replicate the research more than once (Yin, 2009, p. 53) and by conducting fieldwork in a larger number of sites makes it easier to capture the phenomenon in all its various dimensions (Heimer, 2006).

Figure 6. Illustration of an embedded, multiple-case study design Source: Adapted from Yin (2009, p. 46)

In order to select three settlement development organizations and six urban poor communities and their residents in Metro Manila, a multi-stage sampling method is employed. This involves three levels of sampling. Firstly, organizations are researched in order to identify those that work not only with multiple urban poor communities in Metro Manila, but also in the area of settlement development (i.e.

housing). From this sampling the following three settlement development organisations were selected: Gawad Kalinga (GK), an NGO originating specifically to address housing needs of the urban poor through a process of sweat equity, benefactors and local government partnerships; the Homeless  People’s  Federation  of   the Philippines, Inc. (HPFPI), a federation of urban poor residents working together to also address security of tenure and improved living conditions predominantly through community organization and savings groups; and TAO-Pilipinas, a Technical Assistance NGO co-founded by two female architects motivated to use their professional training to improve the housing of the urban poor through design solutions and training predominantly in-situ, but recently also by relocation. (For more information about them see Section 6.1).

The second level of sampling involves selecting two communities from each of the three cases. After learning about the variety of communities each organization works with, two are selected from each based on: (a) their frequent and/or severe experience of typhoon-related flooding or in some cases also other climate-related hazards like

storm surges, (b) their location within or connection to Quezon City, and (c) the established nature of the programme (in other words that the relationship between organization and community is not new and settlement development initiatives have been implemented). When it is not possible to meet all three criteria the closest possible match is made. From this second level of sampling the following six communities were selected: Brookside and Sitio Pajo from GK; the Payatas Scavengers Homeowner Association, Inc. (PSHAI) and Tagumpay from HPFPI; and Sub-Urban and Masagana from TAO-Pilipinas (see Table 4).

The final and third level of sampling involves random selection of fifteen households from each community so that a total of ninety households are interviewed across all six communities (see Table 34 in Appendix B for a complete list of the household interviews). If a randomly selected household is not available then either the next household down on the community list or the adjacent neighbour is selected. The household interview process comprises of a translator-facilitated semi-structured interview followed by ranking exercises for hazards and household and community assets. It also includes a guided tour of the house led by the resident and photo-taking of parts adapted, damaged and/or repaired in response to climate-related hazards.

Both the second and third levels of sampling are discussed in more detail in Section 6.2.

Gawad Kalinga (GK) Brookside Families Brookside

Samahang Sitio Pajo 1.6 HOA Sitio Pajo Homeless  People’s  Federation  

of the Philippines (HPFPI)

Payatas Scavengers Homeowners

Association, Inc. PSHAI

Tagumpay HOA Tagumpay

TAO-Pilipinas Sub-Urban Phase 1B/A-2 HOA Sub-Urban

Masagana HOA Masagana

Table 4. List of the three settlement development organisations and six urban poor communities in the case study

The second aspect of the case study research includes the interviewing of government agencies at the national and local (city and barangay) levels and other key informants

from academe and NGOs (see Table 5 for a summarised list of those interviewed and Table 34 in Appendix B for a complete list of interviews). A process of snowball sampling is used to identify who are relevant actors to interview regarding the practice of climate change adaptation, particularly in relation to housing issues and the urban poor, in Metro Manila and the Philippines. Snowball sampling is a non-probability method used in social science research and is particularly useful when the researcher does not know in advance who are relevant actors to be studied. As such snowball sampling begins with the identification of one or several key informants; in this research these were leaders of the settlement development programmes in the case study as well as government bodies and academe identified through a desk-based study of the Philippine context. Although these key informants can be asked to recommend other relevant key informants, actors or institutions for the study, most commonly experienced in this fieldwork is that interviewees identified other relevant actors indirectly through their answers to interview questions. (Trochim, 2006a)

Like a snowball gains in size as it rolls down a hill, the list of key informants, actors and institutions relevant to the research also grows and is confirmed as more interviews are held. This process of identifying actors followed up by semi-structured interviews is conducted throughout the duration of the fieldwork. Instead of being determined by a required number of interviews as in quantitative research, the decision to stop pursuing new actors towards the end of the fieldwork period is made when the interviews are either not revealing new actors or those identified prove beyond the scope of the study.

List of government, academe and NGOs interviewed during the fieldwork National government

Climate Change Commission (CCC)

Climate Change Office, Environmental Management Bureau, Department of Environment and Natural Resources (DENR).

National Disaster Risk Reduction and Management Council (NDRRMC) for the National Central Region (NCR)

National Housing Authority (NHA)

National Mapping and Resource Information Authority (NAMRIA)

Philippine Atmospheric, Geophysical and Astronomical Services Administration (PAGASA) part of Department of Science and Technology (DOST)

Presidential  Assistant  for  Climate  Change  (Mabini  Hall,  site  of  the  President’s  Office) City government (Quezon City Hall)

Buklod TAO (a community-based organisation in San Mateo, Rizal) Caritas Novaliches

Centre for Disaster Preparedness (CDP) based at the University of the Philippines Christian Aid Philippines

Environmental Science for Social Change (ESSC) based at Ateneo University.

Franciscan Missionaries of Mary (FMM)

Partnership of Philippine Support Service Agencies, Inc. (PHILSSA) Social Pastoral Institute (SPI)

Academe

Manila Observatory, Ateneo University Campus

University of the Philippines College of Architecture (UPCA)

University of the Philippines National Institute of Geological Sciences (UP-NIGS)

Table 5. Summarised list of government (national, city and town) agencies, NGOs and academe interviewed using snowball sampling and semi-structured interview methods during the fieldwork in Metro Manila

Table 6 summarises the research approach for the case study and shows how the case study aimed to contribute to answering all three of the research questions, however in differing degrees: it plays a supporting role in answering question one, meanwhile it plays a primary role in answering questions two and three. For question one, the case study aimed to confirm or support reasons (answered through the theory review) of why CBA is a potentially effective response to climate change among the urban poor.

For question two, it aimed to establish practice of, or plans for, implementing

adaptation strategies in settlement development work among urban poor communities, and to determine which actors, stakeholders, networks and institutions are important – both in constructive and destructive ways – in this process. Finally for question three, the case study aimed to identify constraints that actors who initiate and facilitate CBA and urban poor communities encounter in implementing adaptation strategies through settlement development planning and means of overcoming such constraints.

The case study was planned with consideration of the multiple levels that influence the practice of CBA among urban poor communities and also the need for context analyses at the global and national levels. The global level analysis for CBA is covered through the literature review, which identifies the international policies that affect and support the practice of CBA. The national level context analysis is covered through a desk-based study about the Philippines and text reviews of adaptation plans and policies. The selection of settlement development programmes for the multiple case studies also uses a desk-based study method followed by personal communication with the programme leaders and pilot visits to confirm that the cases met the criteria.

Upon confirmation of the cases to be used the case study draws upon a variety of methodological tools. The dominant tool is qualitative questionnaires that guided (a) semi-structured, open-ended interviews with programme and community leaders; key informants in local, municipal and national government; key, primary and secondary stakeholders; and individual urban poor residents. They also guided (b) focus group meetings with residents and leaders in urban poor communities.

Research component 2

Case studies of CBA practice among urban communities, where poverty and climatic hazards play a significant role in their development, by organisations

in the field of settlement development planning

Methodology Multi-layered research methodology (see Figure 3)

Desk-based research to identify appropriate settlement programmes for case study Text reviews of formal adaptation plans and policies

Walk through analysis and observation tools (for urban poor settlements) Questionnaire led semi-structured, open-ended interviews with programme and

community leaders; key informants in local, municipal and national government;

key, primary and secondary stakeholders; and urban poor residents.

Focus group meetings with households and community leaders in urban communities

Use of methodological tools: snowball sampling; stakeholder and institutional mapping; hazard mapping; Venn diagrams; and ranking exercises (see Appendix E)

Use of a Filipina translator (to translate between English and Tagalog)

Table 6. Research approach for examining CBA practice among the urban poor in the context of settlement development planning

Source: Template adapted from Schipper (2004, pp. 22, 23 and 26)

Complementary tools such as stakeholder and institutional mapping, community hazard mapping, Venn diagrams and hazard and asset ranking were also used in order to develop profiles of the study communities and to identify their experience and awareness of climate-related hazards and climate change (see Appendix E for a brief description of these tools). These tools were gleaned from Moser, Norton, Stein and Georgieva’s   (2010) methodological guidelines for carrying out urban Participatory Climate Change Adaptation Appraisals (PCCAA)¹³. According to them a primary

13 The methodological guidelines for PCCAA are also found in the following documents:

Moser, C., & Stein, A. (2010). Implementing Urban Participatory Climate Change Adaptation Appraisals: A Methodological Guideline. (Global Urban Research Centre Working Paper No. 5), 38

Moser, C., & Stein, A. (2011). Implementing Urban Participatory Climate Change Adaptation Appraisals: A Methodological Guideline. Environment and Urbanization, 23(2), 463-485.

task when analyzing the adaptation among urban poor communities is to gather information on community histories and characteristics. Second it is imperative to learn about their local experience of climate-related hazards and climate change events  and  third  it  is  necessary  to  identify  the  communities’  vulnerabilities  to climate-related hazards and climate change events. Fourth, they highlight identifying the level of importance community members allocate to different assets (such as household assets or community assets) and finally, they focus on the role of institutions in or outside of the community to positively or negatively impact potential community adaptation strategies. This is the general order that the case study took when carrying out research among the six urban poor communities.

Finally, although English is widely spoken in the Philippines, Tagalog is the national language and often people are more comfortable conversing in this. To facilitate rapport with community residents, especially interviewees, and to help minimize chances of miscommunication or misunderstanding a translator was employed to accompany and assist during the community field visits, focus group meetings and residents interviews.

The questions asked in the case study are categorized and tailored according to their target audience. The question audiences include: settlement development programme leaders, government officials, local key informants, and urban poor residents (see Table 7). The categories are expanded and individual questions are listed in Appendix A. It is important to note that as it became evident at the beginning of the fieldwork that climate-related hazards are the main concern and prominent manifestation of climate change impacts at present in the Philippines, it was decided that these should be the main focus of research. In the case of Metro Manila floods and subsequent landslides caused often by typhoons and tropical storms are the main hazards.

Nevertheless other hazards are also present in the metropolis. For some coastal communities, sea level rise, coastal inundation caused by subsidence, and tidal surges

or tsunamis are serious hazards, and for more inland areas with limited access to water sources, drought during summer months is a problem. Therefore although the main focus was on communities who experienced severe flooding, other hazards also include landslide, tidal surges and drought. Adaptive responses for the urban poor

Awareness and understanding of climate change Community and participatory methods Awareness and understanding of climate change Climate change adaptation plans and legislation Adaptive responses for the urban poor

Community and participatory methods

Climate-related hazards and perceived impacts Awareness and understanding of climate change Adaptive responses for the urban poor

Community and participatory methods

Awareness and understanding of climate change Community and participatory methods Stakeholder and institutional networks Prioritisation of actions

Table 7. Categories of questions for different actors within the case study Source: Template adapted from Schipper (2004)