Using a Multi-Disciplinary Approach to Conduct a Situational Analysis

As a conservation planner, do you have a clear understanding of the social and natural resource processes operating in a geographic area or with a particular group of producers? If not, you may want to conduct a situational analysis.

By conducting a situational analysis, conservation planners can discover needs and problems facing stakeholders. Determining the myriad of factors facing stakeholders allows you to customize the conservation planning process. This fact sheet will help you assess the internal and external factors that influence conservation activities, while meeting the goals of the producers and the community.

What is a situational analysis?

A situational analysis is a structured method of collecting, analyzing and delivering information about current resource conditions, issues, problems, opportunities, and challenges facing stakeholders within a defined geographic area (e.g., farming community county, watershed, multi-county) or an area of common interest (e.g., crop farmers, dairy producers, absentee land owners). A situational analysis carefully assesses the strengths, weaknesses, opportunities, and threats (SWOT) influencing the socioeconomic and biophysical resource conditions in a situation. This type analysis can describe the major issues, problems, and needs facing stakeholders in planning and implementing conservation activities. By simultaneously assessing external and internal factors in a multitude of areas (e.g., government policies, politics, environment, health, economics, technology, climate, and natural resource factors), NRCS and its conservation partners can better plan for future conservation activities and programs.

A situational analysis can be specific or broad based in its focus and purpose. It can be directed toward a specific topic or several topics, one geographic location or several locations, one stakeholder group or several stakeholder groups, a narrowly defined or expanded time period. The data used to describe current conditions can be generated from a variety of natural resource and social data sources. Since this fact sheet assumes NRCS conservation planners are more familiar with natural resource data than social information, this publication focuses more on the process of collecting and analyzing social data.

Social data is divided into primary and secondary sources. Primary social data is typically described as "first hand" data that includes information gathered through field interviews, focus groups, surveys, public meetings, and group meetings. Secondary data is information that has been collected previously through the census, research reports, meeting minutes, and newspaper articles. Either type of data may contain qualitative (non-numeric) and quantitative (numeric) data.

A multidisciplinary team will gather natural resource data and social data and intertwine the information through a dynamic framework. A situational analysis will typically result in an assessment of the current situation, an outline of recommendations, a list of potential activities and a communication plan. The composite of these actions will utilize knowledge from a variety of social science and natural resource scientific disciplines. This team-based approach is especially useful when the natural resource problems and issues are complex, caused by humans, related to human or animal health, and/or have major economic consequences on producers or the community.

Who benefits from the information?

Any member of the conservation partnership, particularly field staff and program managers, who has an interest in obtaining information about a situation's internal strengths and weaknesses as well as external opportunities and threats.

Why is a situational analysis important?

The advantages of a situational analysis include:

Provides a method to simultaneously assess physical and social resource concerns
Provides a method to assess the issues, problems, and concerns of a specific group
Structures the collection of data
Examines both internal and external factors that impact a situation
Gathers information on a wide range of issues from interested stakeholders
Develops a communication plan to deliver the findings to a large and diverse audience

The disadvantages of a situational analysis include:

Time consuming
Bias can be introduced into summaries and findings from personal interviews
Changes in program priorities and/or the public's interest in a project may hinder the project's implementation.
A poorly designed communication plan can result in the ineffective delivery of messages to identified stakeholder groups.

How do you conduct a situational analysis?

With the advantages and disadvantages identified, it is important to list the steps involved in conducting a situational analysis. The steps are:

1. Identify the situation using physical, planning, and social boundaries.

A GIS (Geographic Information System) can be used to define physical boundaries such as county lines and watershed boundaries. A situation can also be defined by planning boundaries which can include local, environmental, economic, and advocacy interest groups. Absentee landowners, dairy farmers, soy bean growers, and poultry producers are social boundaries which have a common interest that can define a situation.

2. Meet with interested individuals, the local work group, the state technical committee, etc. to discuss the conservation concerns and issues.

For more specific information on how to identify interested individuals see:

Developing and Maintaining a Network

http://www.ssi.nrcs.usda.gov/publications/1_PPCs/PPC020_Networks.pdf

Conservation Partnerships: Indicators of Success

http://www.ssi.nrcs.usda.gov/publications/2_Tech_Reports/T004_indicator_final.pdf

Understanding Community Power Structures http://www.ssi.nrcs.usda.gov/publications/1_PPCs/PPC021_CommunityPower.pdf

Working with Community Leaders http://www.ssi.nrcs.usda.gov/publications/1_PPCs/PPC043_WorkingWithCommunityLeadersFinal.pdf

Defining Communities: An Issue Based Approach http://www.ssi.nrcs.usda.gov/publications/1_PPCs/PPC022_FDDDefiningCommunitiesAnIssueBasedApproach.pdf

Developing Your Skills to Involve Communities in Implementing Locally Led Conservation

Contact your State Social Science Coordinator or the SSI-GR office to obtain the modules "Community Issues Identification", "Addressing Community Issues", and "Networks and Collaborations".

http://www.ssi.nrcs.usda.gov/publications/5_Brochures/PB003_LocallyLed.pdf

3. Form a situational assessment team from a list of stakeholders, individuals and groups, with an interest in the conservation issues.

A major goal is to ensure that all views are represented. This team can include representatives from common interest groups (dairy farmers) and opposition groups (local dairy association) that have been identified from newspaper articles, reports, etc. Technical specialists, such as nutrient management specialists, can also be part of the team. Methods used to develop team membership include assignment by agency program managers, volunteerism, and/or invitation by work group or technical committee. Include representatives from the private sector on the situational assessment team.

4. Gather information from secondary or existing sources to describe physical and social resource conditions. At a minimum, topics should include those items displayed in Box 1.

5. Gather information from primary data sources.

When collecting information from stakeholders, avoid biased items and terms, e.g. "Don't you think that program X has too many hidden costs?"

Examine the existing data and first hand information using these following questions as a guide:

What legislation is currently impacting producers within the area?
Has the cost-share level changed over the past 3 years?
Have producers in the area adopted innovative agricultural technologies?
Who are NRCS's existing partners?
What resources are available to address the identified concerns within the situation - field staff, money, in-kind services, etc.?
What are the most pressing issues, problems, and needs facing the conservation community?
What strengths and/or resources are available within the defined area to address the issues, problems, and needs?
What challenges or barriers prevent NRCS, producers, and other conservation partners from addressing the issues and problems?
How can NRCS directly impact the issues and problems through technical assistance, financial assistance, information and education, and/or requests for policy or program changes?

6. Assign roles and responsibilities relative to the collection of information.

Technical experts representing the disciplines of economics, soils, hydrology, and nutrient management can be requested to collect data. Sociologists can be assigned to collect primary data using methods such as focus groups and field interviews. Relevant newspaper articles can be obtained from the NRCS State Public Affairs Specialist. Volunteers can collect information via an electronic or library search.

7. Brainstorm and organize the findings from your workgroup discussions.

Use the format below. Internal

StrengthsWeaknesses

External

OpportunitiesThreats

8. Prioritize conservation concerns and issues.

Focus on three to five conservation concerns. One social science method that is available to assist in prioritizing issues is the paired comparison technique. For a more in depth information "Prioritizing Issues or Concerns: Using the Paired Comparison Technique" at http://www.ssi.nrcs.usda.gov/publications/1_PPCs/PPC011_PrioritizingPairedComparsionFinal.pdf.

9. Formulate a list of future actions resulting from the analysis.

10. Develop a communication plan.

Determine how the report will be presented and distributed to all internal and external stakeholders. For more information see the draft PPC on "How to Develop a Marketing Plan" or "Marketing for Success" at http://www.ssi.nrcs.usda.gov/publications/3_Marketing/M001_GuideBooksMarketingConservationSuccess.doc .

Present information by using topics such as:

Physical resources
Socio-economic resources
Primary data/Interest group analysis
Attitudes toward situation
Perceived barriers to problem within the situation
Suggested solutions

How can you use this information within NRCS?

An example of a situational analysis in NRCS appears below. This example is based on an actual project.

The XYZ Headwaters Water Quality Project took place on the eastern seaboard of the United States. It encompassed five counties, approximately 1.8 million acres, and 22 hydrologic unit areas. Agriculture is the primary industry and within agriculture the poultry and livestock sectors are the economic leaders. NRCS National Headquarters staffs became aware of high levels of fecal bacteria through articles in local newspapers and requested that the NRCS state staff initiate a detailed study of the situation.

To better understand what poultry and livestock producers thought about the newspaper reports concerning fecal coliform and the need to address the complexity of issues related to animal waste management, NRCS state staff requested the assistance of the local work group in initiating the formation of a situational analysis team. Technical representatives from a number of knowledgeable agencies and organizations with a stake in the situation were included on the team. Some of these groups included the State soil conservation agency, the Headwaters Soil Conservation District, poultry association, Water Quality Advisory Committee, and NRCS. The team members included experts in the areas of agronomy, nutrient management, economics, sociology, engineering, and biology. The team identified four major concerns: water quality, animal waste storage, nutrient management, and fecal bacteria.

From the work session, a team of technical and district representatives created a list of internal strengths and weaknesses along with external opportunities and threats. Their lists follow:Internal

StrengthsWeaknesses

Locally driven

Fully funded- financial and technical assistance

Availability of technical assistance from agency staff

Educational assistance - tours and demonstrations

Existing partnerships at the state and local level

Voluntary producer participation in programs

Availability of multidisciplinary technical assistance (nutrient management specialist, hydrologist, economist, etc.)

Regulatory backup

Available USDA Farm Bill Programs

EQIP

Water Quality Special Project

Nutrient Management Initiative

USDA Water Quality Initiative

Failure resource inventory in watershed

Limited field staff

Limited farmer education program on composting

Limited information on phosphorus index

Limited number of conservation plans including nutrient management

Low number of certified Nutrient Management Planners

Lack of a waste transport plan

Limited litter and manure storage structures

Difficult to relocate livestock to new feeding areas

External

OpportunitiesThreats

Improve nutrient management

Improve existing partnerships

Support of project objectives by the district and state agricultural agency

Cost-share support from project sponsors

Historical Project Success (Water Quality Incentive Program)

Ongoing PL-534 Land Treatment Project

Section 319 Nonpoint Source Project

Potential for waste transport program

Limited knowledge and understanding of watershed resources

Public opposed to existing amounts of fecal bacteria

Pending legislation

Limited field staff

Lack of information on safe phosphorus levels

Improperly stored and utilized litter and manure

The team also identified a list of stakeholders, or those who would be impacted by the project. The stakeholders were:

USDA agencies - NRCS, Farm Service agency, and Cooperative Extension

Other federal agencies - Environment Protection Agency and Fish and Wildlife Service

State Soil Conservation Agency

XYZ Soil Conservation District

Environmental groups

Poultry Association

State Department of Agriculture

State Department of Environmental Protection - Office of Water Resources

From secondary data sources, the team collected information on the physical and social-economic characteristics of the area. This information was found through sources such as the U.S. Census of Agriculture and NRCS Technical Reports. Social-economic data can be found using the U.S. Census of Population and Housing (http://www.census.gov/population/www/index.html) and U.S. Census QuickFacts (http://quickfacts.census.gov/qfd/).

The team also collected data from primary sources. A survey was used to inventory people in the watershed. Producers were interviewed about the number of dead bird composters in the hydrologic unit, number of minority farmers, and number of conservation plans. In addition, issues raised in ongoing local work group meetings served as a source of primary data on the watershed.

Following the collection and analysis of primary and secondary information, the team created a list of actions to address the problems of the watershed. The action items were:

Increase awareness, understanding, and use of Phosphorous index in nutrient management planning
Work with RC&D to develop waste transport projects
Introduce a farmer education program - tours and demonstrations
Implement dead bird composting program
Increased federal and state cost-sharing opportunities
Update litter and manure storage structures
Relocate livestock feeding areas
Promote the installation of conservation buffers
Increase the number of conservation plans including nutrient management
Develop a research project to study phosphorous levels in soil
Increase the number of certified Nutrient Management Planners
Address inventoried treatment needs by watershed sub basins
Use 10 year contracts to manage livestock waste and poultry litter

After the data collection and situational analysis were complete, the team developed a comprehensive report. The report contained a section which underscored the role that NRCS played in bringing all stakeholders together to address both the social concerns and physical resource issues. The local work group reviewed the initial draft for technical adequacy and distributed the final reports which included an executive summary, to the stakeholders cited above and used informational meetings to present the results. The report was available in print and/or electronically. Findings were also distributed at local, state, and national conferences.

A situational analysis is important to understand the current resource conditions within a defined area. Knowing the advantages and disadvantages of a situational analysis can assist us in determining the appropriateness of this method to a particular project. A step-by-step process in conducting a situational analysis can aid in project organization, add to the creditability of NRCS, and provide clarity of identified strengths, weaknesses, opportunities, and threats. In addition, it can provide a basis on which specific strategies can be planned and implemented. Without a situational analysis studies may be incomplete. Too much or too little emphasis can be given to physical resource concerns versus socio-cultural factors.

Where can you get more information?

For additional information on situational analysis explore the following sources:

Department for International Development, Performance and Effectiveness Department.

March 2003. "Tools for Development: 3. Problems and Situational Analysis". Department for International Development, East Kilbride, United Kingdom.

Forest, L. B. 1998. "Working With Our Publics, Module 4, Situational Analysis." North Carolina Agricultural Extension Service and Department of Adult and Community College Education, North Carolina State University. Raleigh, NC.

Godschalk, David R; Parham, David W.; Porter, Douglas R.; et. al. 1994. "Pulling Together: A Planning and Development Consensus-Building Manual." Urban Land Institute, Washington, D.C.

Health Systems Trust. "Section 2: CONDUCTING A SITUATION ANALYSIS." Health Systems Trust, Durban, South Africa.

Hinchley, Enid Blackwell and Souter, Linda. 1995. "Planning for Change: A Handbook for Training Workshop Leaders in Organizational Development and Strategic Planning." International Federation of University Women, Geneva, Switzerland.

Manktelow, James. "SWOT Analysis." http://www.mindtools.com/page5.html. Mind

Tools.

Martin, Adrienne; Oudwater, Nicoliene; Sabine Gündel. 2001 "Methodologies For

Situation Analysis in Urban Agriculture." Livelihoods and Institutions Group, Natural Resources Institute, University of Greenwich.

Personal Communication (January, 2004) West Virginia State Economist, NRCS

Morgantown, WV

Rennekamp, Roger; Zimmerman, Julie; Nall, Martha A. September 2003. "Situational

Analysis." Department of Community and Leadership Development, Cooperative Extension, University of Kentucky - College of Agriculture.

NOTE: All efforts were made to contact the providers of the publications above in order to receive a full citation.