Efficiency

Efficiency measures the outputs, both qualitative and quantitative, in relation to the inputs. It assesses whether the adaptation intervention has used the least costly resources possible in order to achieve the desired results. This generally requires comparing alternative approaches to achieving the same outputs, to see whether the most efficient process has been adopted. When evaluating the efficiency of an adaptation project, it is useful to consider the following questions:

Impact

Impact considers the positive and negative changes produced by an adaptation intervention, directly or indirectly, intended or unintended. This involves the main impacts and effects resulting from the activity on the local social, economic, environmental and other development indicators. The examination should be concerned with both intended and unintended results and must also include the positive and negative impact of external factors. When evaluating the impact of an adaptation project, it is useful to consider the following questions:

Sustainability

Sustainability is commonly divided into technical and institutional aspects. Technical aspects are related to whether the interventions stay viable to the problem they address. This may involve the capacity of local communities to benefit from the intervention in the long term in terms of a) access , b) affordability and c) knowledge to the resources involved in the intervention. Furthermore the interventions which reduce vulnerability in the short-medium term should not cause mal-adaptation in the long-term. Institutional aspects are concerned with assessing whether mandated stakeholders have the capacity to manage interventions into the medium and long-terms. When evaluating the sustainability of an adaptation project, it is useful to consider the following questions:

Equity

Equity assess whether the effects of an adaptation intervention may be experienced unevenly, both spatially and temporally, as a result of the differing vulnerability of individuals, households, businesses and communities, thereby generating further marginalisation for certain groups. At the same time, equitable interventions might be seen as those that provide the greatest degree of assistance to the poorest. When evaluating the equity of an adaptation project, it is useful to consider the following questions:

Flexibility

Flexibility accounts for the uncertainty of climate change and the evolving knowledge base and it assess whether a specific adaptation intervention has the necessary robustness to deal with the complex and variable environment within which it is implemented and with a variety of possible futures. When evaluating the flexibility of an adaptation project, it is useful to consider the following questions:

A Theory of Change

\label{theory-of-change} A theory of change is a planning tool that defines all the building blocks required to bring about a given goal. Underlying the design of a specific development intervention is an explicit or implicit theory of change with social, behavioural, and institutional assumptions indicating why a particular policy will work to address a given development challenge (NONIE 2009). A similar rationale applies to adaptation projects. Any theory of change requires certain assumptions to be made about how inputs are related to activities that will result in the desired outputs, outcomes and impacts. The evaluation must explore and challenge these assumptions. This is particularly true in the case of climate adaptation where there can be considerable uncertainty (UKCIP 2011). The theory of change approach in relation to adaptation projects is concerned with opening up the black box of implementation and focuses on the appropriateness of the logic behind the intervention. This includes the assumptions made about the underlying rationales and those that define the relationships or chain of results that link inputs to activities to outputs, outcomes and impacts, and on the factors and risks inherent in the adaptation project design that may influence whether the initiative succeeds or fails. The adaptation theory of change also considers social, political, economic, demographic and institutional factors, both internal and external, that have an influence on how and why the initiative produces certain results. The articulation of the adaptation theory of change can use one or more sources of evidence, ranging from the intervention’s existing logical framework, to insights and expectations of relevant stakeholders, to theoretical and empirical research on processes of change and past experiences of similar interventions. A theory of change is made of specific building blocks which can be structured through the use of a logical framework for adaptation.
Adapted from the developmental literature, the logical framework for adaptation is a key analytical tool for the evaluation of adaptation projects. It graphically conceptualises the hypothesised cause-and-effect relationships expressed in the theory of change and hence how project resources and activities will contribute to the achievement of objectives and results. The underlying logic is that inputs are used to undertake project activities that entail the delivery of outputs (goods and services). Outputs lead to the achievement of the project outcomes (e.g. first level or primary outcomes, second level or secondary outcomes, etc.), which in turn contribute to the project impacts (DFID 2011). Based on the logical framework for adaptation it is possible to configure indicators, baselines, milestones, targets, identify data sources and techniques, and assess assumptions and risks for evaluating implementation and results around this structure (AFB 2011).

Logical framework

\label{logical-framework} Within the context of adaption initiatives, the logical framework can be structured as follows (AFB 2009, 2011):