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Table 1 Vulnerability factors, livelihood capitals, profiles, and indicators used for LVI analysis using the IPCC framework

From: Vulnerability analysis of smallholder farmers to climate variability and change: an agro-ecological system-based approach in the Fincha’a sub-basin of the upper Blue Nile Basin of Ethiopia

Vulnerability factors Livelihood capitals Profiles Indicators Units Hypothesized functional relationship
Exposure   1. Climate • Change in maximum temperature Changes over time, °C Larger change or frequency = higher exposure
• Change in minimum temperature Changes over time, °C
• Change in precipitation Changes over time, mm
•Climate-related hazards: drought No of events over the last 20 years
• Climate-related hazards: flood No of events over the last 20 years
Sensitivity Natural capital 2. Ecosystem • Land suitability for agriculture Avg. scale values of soil depth, terrain, drainage, and fertility of (1–5) More forest cover, suitable land, and access to irrigation = lower sensitivity
• Sustainability of land use system The assumed intensity of management (high, medium, and low)
• Land cover change (primarily deforestation/reforestation) % change over the baseline
• Use of soil water conservation techniques) % of the land with SWC structures
• Irrigation potential Ha of land suitable for irrigation
3. Agriculture • Annual total production (inverse) Tons of total product harvested Greater productivity and diversity = lower sensitivity
• Changes in productivity Yield in tons/ha
• The diversity of crop species Number of crops in the system
Adaptive capacity Financial capital 4. Wealth • Farm size Ha/HH Greater wealth = greater adaptive capacity
• Number of livestock TLU/HH
• Savings at the household level Amount of Birr (local currency)/HH
• Existing loans Amount of Birr/HH
• Non-agricultural income Amount of Cash obtained per year
Physical capital 5. Technology • Insecticide and pesticide supply % of HHs using insecticide Better access to technology = greater adaptive capacity
• Fertilizer supply % of HHs applying fertilizer
• Improved seed supply % of HHs using improved seed
• Irrigation potential % of HHs practicing irrigation
6. Infrastructure • Access to all-weather roads Walking distance in hours Better access to infrastructure = greater adaptive capacity
• Access to schools Walking distance in hours
• Access to veterinary services Walking distance in hours
• Access to markets Walking distance in hours
• Access to savings and credit % of HHs using credit
• Access to electricity % of HHs accessing lights
• Access to telephone % of HHs using a telephone
Human capital 7. Community • Sex of household head Male/Female More human capital, information and services = greater adaptive capacity
• Education level % of HH heads
• Availability of extension No of DAs/village
• Skills/training No of training HH head attended
• Health services Walking distance in hours
• Radio ownership % of HHs who have a radio
Social capital 8. Social • Governance 1–5 scale (election of leadership) Fewer non-working days and more tradition of working together = greater adaptive capacity
• Membership in social organizations/CBO % of HHs who are members of CBO
• Participation in projects Participation index
• Availability of bylaws % of HHs who have bylaws
• Number of non-working days/ month Average number of non-working days in a month
• The tradition of working together % of HH who have a tradition of working together