FINAL Global Mapping Review of NGO Engagement in Coordinated Assessments REPORT

7/31/2019 FINAL Global Mapping Review of NGO Engagement in Coordinated Assessments REPORT

1/33

Strength in

Numbers

Global Mapping

Review of NGO

Engagement inCoordinated

Assessments

Andy Featherstone, on

behalf of the ECB, July

2011


2/33

iiGlobal Mapping Review of NGO Engagement in Coordinated Assessments

Strength in Numbers: Global Mapping Review of NGO Engagement in

Coordinated AssessmentsAndy Featherstone, July 2011

EXECUTIVE SUMMARY

1. Introduction

Problem Statement

The collection of data and information on the impact of disasters has long been considered a key

element in being able to ensure that the most appropriate assistance of the right quality is provided

at the right time but evidence suggests that practice falls short of aspirations. With no single

commonly accepted methodology, it has been difficult to respond to accusations that the sector is

approaching the important task of humanitarian response inefficiently, a claim that was made by the

2005 Humanitarian Response Review (HRR) and which has since been echoed in successive

evaluations of the response to large-scale humanitarian crises. While there has been growing

acknowledgement of the importance of pooling knowledge and resources which has led to the

development of methodologies to support coordinated multi-sectoral assessments, practical uptake

of these has remained low and the results have often been disappointing, either taking too long to

organize or failing to provide timely results which agencies can use to guide their humanitarian

work.

Purpose of the Research

In seeking to make recommendations for ways to strengthen the practice of coordinated

assessments (and in particular the role that the Emergency Capacity Building Project can play), this

study will map experience from recent humanitarian responses, distil good practice and analyse

lessons learnt. It will review the considerable progress that has been made across the burgeoning

assessment initiative architecture and will use the growing body of knowledge to make

recommendations for how the ECB and broader humanitarian community can focus their efforts in

the future.

Coordinated Needs Assessment: What? When? Why? Who?

Coordinated needs assessments are those which are planned and carried out in partnership with

other humanitarian actors, with the results shared for the benefit of the broader humanitarian

community to identify the needs of the affected population of a humanitarian crisis.1

They can be

carried out at any time after a disaster has occurred and can strengthen the effectiveness of a

humanitarian action by increasing the timeliness, efficiency, coherence and coordination of the

response. The focus of this research is on CNA in the first 2 phases (0-72 hours and 4-14-days) after adisaster has struck. While there are many different types of CNA, emphasis will be placed on those

which include the participation of NGOs. While joint UN agency assessments exist as a discrete

subset of CNAs, they will not form a significant part of this report.

2. Towards A Review of Agency Practice in CNA

While a rigorous review of practice is not possible due both to time constraints and the fractured

nature with which assessment reports have been archived, an analysis of coordinated assessment

practice from a literature review makes it possible to make some broad observations on the practice

of CNA.

1Needs Assessment Task Force (2011) Operational Guidance for Coordinated Assessments in Humanitarian

Crises, Inter-Agency Standing Committee


3/33

iiiGlobal Mapping Review of NGO Engagement in Coordinated Assessments

Observations from a review of agency practice in 48 CNAs

in 2003-2011

Observations from a review of assessment

practice in the Philippines in 2010

CNA practice benefits from strong governmentengagement;

CNAs are more often used in rapid onset naturaldisasters than for conflict-related crises;

In conflict-related crises one of the motivations forCNAs is for security purposes;

While food security assessments often benefit fromstrong coordination they are difficult to classify;

Disasters are increasingly assessed jointly withcommon methodologies used by agencies;

Many of the most timely CNAs were undertaken formid-size emergencies;

Recent large-scale CNA tend to deliver results severalweeks after the crisis;

The important role played by the Red CrossMovement albeit with a focus on internal

CNA;

Reasons for the lack of CNA in the first 2-weeks after the typhoons:

Lack of awareness; Competition for Resources; De-prioritisation; The lack of an Enabling

Environment.

The limited participation of government; The lack of National NGO participation.

3. Mapping the CNA Landscape

Interest in CNA has significantly increased in the last 5-years and this has been matched by a

corresponding increase in the number and diversity of initiatives, methodologies and tools that have

sought to harness agency interest, corral resources and strengthen collective practice.

Global Initiatives Inter-agency Methodologies

The IASC Needs Assessment Task Force (NATF) Assessment Capacities Project (ACAPS) OCHA Assessment and Classification of

Emergencies Project (ACE)

United Nations Disaster Assessment &Coordination (UNDAC)

Emergency Capacity Building Project JointNeeds Assessment (JNA)

Emergency Market Mapping Analysis (EMMA) Household Economy Analysis and the Integrated

Phase Classification (IPC)

The Multi-Cluster Rapid Initial Assessment Multi-Cluster Initial/Rapid Assessment (MIRA) The Humanitarian Dashboard ACAPS Secondary Data Review (SDR) Methodology for Rapid Humanitarian

Assessment (REDLAC)

European Commission Humanitarian Office(ECHO) Initial Needs Assessment Checklist (INAC)

Cluster Assessment Methodologies: Local Estimate of Needs for Shelter &

Settlement Toolkit (LENSS)

Health Resources Availability MappingSystem (HeRAMS)

Global Health Cluster Rapid HealthAssessment Guidelines (RHA)

Environmental Needs Assessment inPost-Disaster Situations

The Short Guide to Rapid Joint EducationNeeds Assessment Toolkit

Country/Regional Initiatives

Sphere India Unified Response Strategy (URS) Vietnam Joint Disaster Rapid Needs Assessment

(JDRNA)

Bangladesh Rapid Initial Report (RIR) and RapidEmergency Needs Assessment (RENA)

Unicef Multi-Sector Indicator Block Mapping(MSiB) in Haiti

4. Progress & Pitfalls in CNA

While the evidence presented in section 3 suggests cause for optimism with a diversity of initiatives

providing potential for change across the sector, it would be wrong to suggest that a tipping point

has been reached and it is important to temper an analysis of new and emerging practice with

feedback from agency practice and from the evidence provided in successive IASC Inter-Agency RealTime Evaluation reports. A review of theses leaves little doubt that the ALNAP-authored State of the


4/33

ivGlobal Mapping Review of NGO Engagement in Coordinated Assessments

Humanitarian System isnt far off the mark in concluding that needs assessment remains a key

weakness in the system.2

But as this research illustrates, these weaknesses are beginning to be

addressed and important lessons have been learnt which mean that a good practice cycle for CNA is

becoming ever closer to being realised.3

5. The Future of Needs Assessment: Collaborative, Coordinated and Capable

The recent growth of interest in CNA has seen a growing convergence of thinking on the subject. The

argument for CNA is gaining acceptance and the development and use of the JNA methodology

should be considered good practice; that it has the support of a coalition of 6 of the worlds largest

NGOs is important in terms of providing critical mass of field experience. Given its profile and given

the partnerships that the ECB has entered into with ACAPS, the ECB has significant potential to

spear-head change across the sector.

CNA practice needs to coalesce around a single approach that is contextually relevant and that is

communicated across a multi-stakeholder platform.

Global Level

A significant knowledge gap exists across the humanitarian community which does little to promoteparticipation in CNA. A communications strategy and materials should be developed by OCHA in

partnership with ACAPS for IASC agencies to promote CNA at regional and country level.4

The partnership between ACAPs, NATF, OCHA and the ECB has significant potential to change practice andit would make good sense to harmonise objectives around the promotion and dissemination of good

practice in CNA.

Country Level

2Harvey P et al(2010) The State of the Humanitarian System: Assessing Performance and Progress A Pilot

Study, Active Learning network for Accountability & Performance in Humanitarian Action, London, pp.293

The figure is based on a more detailed one-page diagram in box 4 in section 4 of the report4This recommendation is encompassed in the DRAFT 2011 NATF work plan which is available at

http://www.humanitarianinfo.org/iasc/pageloader.aspx?page=content-subsidi-common-default&sb=75

While important progress has been made in

strengthening CNA methodology and in

broadening participation, the aspirations of

the humanitarian community are still not

being adequately served by current practice.

What is required is a framework which can

galvanise the full support of the sector in

the earliest phases after a disaster has

struck and which can provide results across

multiple sectors in a timeframe that will

support operational decision-making. This

research has shown that despite a

methodology gap (see box 3), innovation

within the sector and a growing consensus

about the importance of CNA means that

the many of the elements of a cycle of good

practice to address this gap have either

been developed or are in development.
http://www.humanitarianinfo.org/iasc/pageloader.aspx?page=content-subsidi-common-default&sb=75http://www.humanitarianinfo.org/iasc/pageloader.aspx?page=content-subsidi-common-default&sb=75http://www.humanitarianinfo.org/iasc/pageloader.aspx?page=content-subsidi-common-default&sb=75


5/33

vGlobal Mapping Review of NGO Engagement in Coordinated Assessments

As part of its responsibilities for ensuring that humanitarian action in-country is coordinatedprincipled,timely, effective and efficient

5, each HCT (or inter-agency forum) should include in its annual work plan

the development of a strategy that seeks to establish a coalition of support for CNA. OCHA should play a

crucial support role. This process should be led by the HC (or RC/HC) and coordinated with the Cluster

leads where appropriate.

ECB Member Agencies

The JNA makes a considerable contribution to CNA and has provided important lessons, but the tool itselfand methodology that supports it would benefit from further development. The ECB should commission a

technical evaluation of the JNA methodology with a view to understanding its strengths and weaknesses.

The need for contextualisation of the tool has been raised in both the Bolivia and Bangladesh pilot studies,and both country teams are seeking to build broad consensus across the humanitarian community around

a single tool. The Indonesia team should prioritise discussions about the adoption of a single tool for all

NGO, UN and government stakeholders.

The ECB should have a strategy to promote the use of CNA beyond its 5 pilot countries in order to fosterfar greater engagement within the NGO (both international and national) sector.

CNA will add most value where there is strong partnership across all humanitarian stakeholders

which includes the host government and national NGOs.

Global level

The development of the MIRA approach should acknowledge the diversity of humanitarian contexts andthe needs for assessment tools to be adapted to the context in which they are being used. A harmonised

approach that uses a modular tool to collect both strategic and operational data will likely elicit the

greatest participation from humanitarian stakeholders.

ECB Member Agencies

In developing the JNA pilot in Bangladesh and Bolivia, the ECB have taken the important step of exploringstrategies of how to promote government participation. With the recruitment of a project manager in

Indonesia, it will be important for the ECB agencies to develop a strategy to enhance the participation of

the National Board for Disaster Management (BNPB).

Successful CNA will ultimately require strong leadership both at country and HQ level

Global Level

While the NATF plays an important technical role, it is the IASC member agencies themselves (and thestanding invitees particularly ICVA, Interaction, SCHR, IFRC and ICRC) who have the most significant part to

play in changing practice at an agency level through committing to support pilot countries and emerging

CNA practice as a means of promoting broader change across the sector. It will be important to use the

IASC as a means to negotiate engagement in the promotion of the new approach.

Country Level

It is ultimately the HCs (or RC/HC) responsibility for ensuring the development of an approach to CNA thathas broad participation throughout the humanitarian community and which benefits from the technical

support of OCHA (and cluster leads where appropriate).

ECB Member Agencies

The ECB has made an important contribution to CNA through the development of the JNA but outside ofthe pilot countries, ECB agencies still regularly choose to opt out of CNAs or have uncoordinated

assessments as their default mode of responding to crises. Humanitarian leaders of ECB member agencies

should use the learning from the JNA to promote CNA practice in new and emerging crises.

An important lesson which is yet to be learnt is that early phase CNAs should adopt a good

5Guidance on the role of HCTs is available from

http://www.who.int/hac/network/interagency/inter_agency_guidelines_country_teams.pdf
http://www.who.int/hac/network/interagency/inter_agency_guidelines_country_teams.pdfhttp://www.who.int/hac/network/interagency/inter_agency_guidelines_country_teams.pdfhttp://www.who.int/hac/network/interagency/inter_agency_guidelines_country_teams.pdf


6/33

viGlobal Mapping Review of NGO Engagement in Coordinated Assessments

enough approach that allows for timely data collection, analysis and dissemination of results.

ECB Member Agencies

Given the ECBs experience in developing the Good Enough Guide to Impact Measurement andAccountability in Emergencies

6there is scope for a similar contribution to be made based on experience

developing and trialling the JNA and building on the experience of the NATF and ACAPS.

6Emergency Capacity Building Project (2007) The Good Enough Guide: Impact and Accountability in

Emergencies, Oxfam, Oxford. Available fromhttp://www.ecbproject.org/GoodEnoughGuide
http://www.ecbproject.org/GoodEnoughGuidehttp://www.ecbproject.org/GoodEnoughGuidehttp://www.ecbproject.org/GoodEnoughGuidehttp://www.ecbproject.org/GoodEnoughGuide


7/33

viiGlobal Mapping Review of NGO Engagement in Coordinated Assessments

Table of Contents

Executive Summary ii

Table of Contents vii

Acronyms viii

1. Coordinated Needs Assessment - What? When? Why? Who? 01

1.1 Introduction 01

1.2 What is a CNA? 02

1.3 When are CNAs Undertaken? 02

1.4 Why Carry out CNAs? 03

1.5 Who are Involved in CNAs? 03

2. Mapping Agency Practice in CNA 04

2.1 Observations from a Review of CNA between 2003 and 2011 04

2.2 Analysing NGO Practice: The 2010 Typhoon Response in the Philippines 06

3. Mapping the CNA Landscape 09

3.1 Global Initiatives 09

3.2 Country & Regional Initiatives 11

3.3 Interagency Methodologies 12

4. Progress & Pitfalls in CNA 16

4.1 Important Lessons for CNA Practice 17

4.2 The Methodology Gap and a Cycle of Good Practice 20

5. The Future of Needs Assessment: Collaborative, Coordinated and Capable 21

5.1 Recommendations 235.2 Conclusion 24

Annexes (Separate Document)

Annex 1 Bibliography 26

Annex 2 Terms of Reference for the Mapping Study 29

Annex 3 CNA in Practice 2003 - 2011 32

Annex 4 Evaluation of Needs Assessment Practice in IA IASC-RTE 2003 - 2011 34

Annex 5 Survey Questionnaire & Results 36

Annex 6 Participant List 40

Annex 7 Glossary of Terms 41


8/33

viiiGlobal Mapping Review of NGO Engagement in Coordinated Assessments

Acronyms

ACAPS Assessment Capacities Project

ACE Assessment & Classification of Emergencies [Project]

ALNAP Active Learning network for Accountability & Performance in Humanitarian Action

BNPB Indonesian National Board for Disaster ManagementCNA Coordinated Needs Assessment

COD Common Operational Dataset

DNA Damage Needs Assessment [Haiti]

DER Disaster & Emergency Response Group [Bangladesh]

ECB [The] Emergency Capacity Building Project

ECHO European Commission Humanitarian Office

EMMA Emergency Market Mapping Analysis

ERNA Early Recovery Needs Assessment [Haiti]

FACT Field Assessment Coordination Team [IFRC]

HCT Humanitarian Country Team

HEA Household Economy AnalysisIASC Inter-Agency Standing Committee

IDP Internally Displaced Person

IHL International Humanitarian Law

INAC Initial Needs Assessment Checklist

IPC Integrated Phase Classification

IRA Initial Rapid Assessment

JAM Joint Assessment Mission [Darfur]

KFSSG Kenya Food Security Steering Group

KPK Khyber Pakhtunkhwa Province

LENSS Local Estimate of Needs for Shelter & Settlement Toolkit

McRAM Multi-Cluster Rapid Assessment Mission [Pakistan]MIRA Multi-Cluster Initial and Rapid Assessment methodology

MSiB Multi-Sector Indicator Block Mapping

NATF Needs Assessment Task Force

NDMA National Disaster Management Authority [Pakistan]

NGO Non-governmental Organisation

NWFP North-West Frontier Province [now KPK]

PHF Pakistan Humanitarian Forum

PIFERP Pakistan Initial Floods Emergency Response Plan

PONJA Post-Nargis Joint Assessment

REDLAC Risk, Emergency, and Disaster Task Force Inter-agency Workgroup for Latin America

& the Caribbean

RENA Rapid Emergency Needs Assessment [Bangladesh]

RHA Rapid health Assessment Guidelines

RINAH Rapid Initial Needs Assessment for Haiti

RIR Rapid Initial Report [Bangladesh]

RTE Real Time Evaluation

SDR Secondary Data Review

TEC Tsunami Evaluation Coalition

UN United Nations

UNDAC United Nations Disaster Assessment and Coordination

UNEP United Nations Environment Programme

UNOCHA United Nations Office for the Coordination of Humanitarian Assistance

URS [Sphere India] Unified response Strategy


9/33

1Global Mapping Review of NGO Engagement in Coordinated Assessments

Strength in Numbers: Global Mapping Review of NGO Engagement in

Coordinated AssessmentsAndy Featherstone, July 2011

Disasters and humanitarian emergencies are increasing in magnitude and complexity. This presents a major

challenge to NGOs that respond to these emergencies. In order to address this challenge, emergency directors

from 7 agencies - CARE International, Catholic Relief Services, International Rescue Committee, Mercy

Corps, Oxfam GB, Save the Children and World Vision International - came together to form the Emergency

Capacity Building Project (ECB) in 2003 to discuss the most persistent obstacles in humanitarian aid delivery.

The second phase of the project began in 2008, and seeks to improve the speed, quality and effectiveness of

emergency preparedness and response in the humanitarian community by building capacity at the field, global

organizational and humanitarian sector levels. The ECB Project places considerable emphasis on accountability

of humanitarian actors to disaster-affected populations, and participating agencies see their main value -

added to needs assessments not only in improving the timeliness, coherence and quality of assessment data,

but also in ensuring that the views of those most affected are adequately represented.

1. Coordinated Needs Assessment: What? When? Why? Who?

1.1 Introduction

Problem Statement

The collection of data and information on the impact of disasters has long been considered an

important factor in being able to ensure the best possible response. With the provision of needs-

based assistance a core commitment of humanitarian principles, methods of determining and

prioritising needs as a means of providing assistance of the right quality at the right time has been a

significant preoccupation for humanitarian agencies. Consequently the needs assessment

landscape is littered with competing methodologies and good practice guides which have resulted

in a variety of approaches being adopted. With no single commonly accepted methodology, it has

been difficult to respond to accusations that the sector is approaching the important task of

humanitarian response inefficiently, a claim that was made by the 2005 Humanitarian Response

Review (HRR) and which has since been echoed in successive evaluations of the response to large-

scale humanitarian crises.

While there has been growing acknowledgement of the importance of pooling knowledge and

resources which has led to the development of methodologies to support coordinated multi-sectoral

assessments, practical uptake of these has remained low and the results have often been

disappointing, either taking too long to organize or failing to provide timely results which agencies

can use to guide their humanitarian work.

Purpose of the Report

In seeking to make recommendations for ways to strengthen the practice of coordinated

assessments (and in particular the role that the ECB can play), this study maps experience from

recent humanitarian responses, distils good practice and analyses lessons learnt. It reviews the

considerable progress that has been made across the burgeoning assessment initiative architecture

and will use the growing body of knowledge to make recommendations for how the ECB and

broader humanitarian community can focus their efforts in the future.
http://www.careinternational.org/http://www.crs.org/http://www.theirc.org/http://www.mercycorps.org/http://www.mercycorps.org/http://www.oxfam.org.uk/http://www.savethechildren.org/http://wvi.org/wvi/wviweb.nsfhttp://wvi.org/wvi/wviweb.nsfhttp://www.savethechildren.org/http://www.oxfam.org.uk/http://www.mercycorps.org/http://www.mercycorps.org/http://www.theirc.org/http://www.crs.org/http://www.careinternational.org/


10/33


Methodology & Limitations

This research is based on consultations with staff from a range of different humanitarian actors

including the UN, NGOs, Red Cross Movement and interagency initiatives based in headquarters,

regional and field positions.7

The interviews covered a wide range of field contexts (Pakistan, Bolivia,

Indonesia, Kazakhstan, Kenya, Haiti and Bangladesh). That the researcher was tasked with making

recommendations about the development of existing ECB Joint Needs Assessment (JNA) toolsmeant that member agency staff comprised the bulk of those interviewed and were selected on the

basis of their participation in CNA. As a result, many of those interviewed tended to have an

understanding of CNA and tended to be supportive of the approach. Efforts were made to broaden

participation through the use of online survey which 33 people participated in8

and to the extent

that time allowed, attempts were made to elicit feedback from those agencies that could be

considered as early-adopters of CNA methodologies as well as those who are more sceptical of their

value.

The research draws on a diverse set of literature on CNA practice which was gleaned from key

informants and from an extensive web-based literature search. It is important to acknowledge the

lack of rigour in this approach but also to highlight broader weaknesses in archiving CNAs which haveonly recently begun to be addressed through OCHAs survey of surveys which has significantly

improved access to assessment data. Where possible, efforts have been taken to harmonise the

approach and terminology used in the document with practice elsewhere (particularly the

Assessment Capacities Project [ACAPS] and the Needs Assessment Task Force [NATF]) with a view to

promoting consensus on key issues amongst policy-makers and practitioners.

The limited time available for the research and development of the report (12-days) meant that at

best this report provides a snapshot of CNA practice. While it is hoped that this provides useful

analysis, it may also be used as a route map for practitioners who wish to research specific sections

in more detail. To assist in this, an expanded bibliography is provided in annex 1.

1.2 WHAT is a CNA?

CNAs are those which are planned and carried out in partnership with other humanitarian actors,

with the results shared for the benefit of the broader humanitarian community to identify the needs

of the affected population of a humanitarian crisis.9

In its Operational Guidance document (2011),

the NATF provides a classification of CNAs by type which include the following 2 categories;

Harmonized Assessment: Data collection processing and analysis is undertaken separately,however the data is sufficiently comparable (due to the use of common operational datasets,

key indicators, and geographical and temporal synchronisation) to be compiled into a single

database, and to serve as the subject of a shared analysis.

Joint Assessment: Data collection, processing and analysis form one single process amongagencies within and between clusters/sectors. This leads to a single report. This is sometimes

also referred to as a 'common assessment'.

1.2 WHEN are CNAs undertaken?

CNAs are carried out at any time after a disaster has occurred. The most effective approach to a CNA

will depend on the phase in which an assessment is conducted and there is growing consensus

around a 4-phase framework which distinguishes between assessments carried out in;

7Participants include staff from the ECB, ACAPS, OCHA, Oxfam, MSF, IFRC, Mercy Corps International, Save the

Children, Care International. See Annex 6 for a list of participants8

The survey questionnaire and results can be found in Annex 5. The last question of the survey provides a

profile of those who participated9

Needs Assessment Task Force (2011) Operational Guidance for Coordinated Assessments in Humanitarian

Crises, Inter-Agency Standing Committee


11/33


Phase 1, 0-72 hours: During the first 72-hours after a crisis an initial CNA is undertaken toestablish the severity of the crisis.

Phase 2, 1-2 weeks: In the first 2-week a CNA is undertaken (often jointly by Clusters) in order tosupport operational planning.

Phase 3, 3-2 weeks: In the second 2-weeks Clusters harmonise the in-depth sectoralassessments undertaken by their members and participate in inter-sectoral analysis. Phase 4, 5-weeks and beyond: Early recovery considerations take greatest priority.The first 2 phases of the framework constitute the focus of this research, both of which are

considered critical for the provision of life-saving humanitarian assistance.

1.3 WHY carry out CNAs?

The importance of conducting needs assessment speaks to the core humanitarian principle of

impartiality10

, that the provision of assistance must be based on need alone which has its basis in

International Humanitarian Law (IHL). The purpose of needs assessment is to support decision-

making on whether to intervene, what interventions are required, to determine priorities andresource needs for response and to plan and design programmes. In saying this its important to

stress that CNAs undertaken in the early phases after a disaster are most often associated with

identifying macro-priorities rather than localized programme priorities.

While a 2003 study by the Overseas Development Institute on needs assessment found few

examples where individual assessments were undertaken according an agreed common strategy in

an attempt to provide a complete picture of relative need11

, a follow-up paper on Common Needs

Assessment released in 201112

provides a comprehensive endorsement of CNA which provides a list

of benefits which include the following;

Efficiency: By pooling resources, CNA can achieve significant savings over individual agencyassessments and in the initial stages after a disaster can reduce the chances of duplication;

Timeliness: Information across many different sectors can be collected simultaneously allowingfor more timely analysis of the situation;

Shared Learning: By working together on assessment, agencies can develop a shared analysis; Coherence: Multi-sectoral assessments can lead to better targeting of assistance; Coordination: By coordinating assessments, there is a greater likelihood that agencies will

coordinate their programmes;

Effectiveness: By having a clear picture of need soon after a crisis, it is possible to better targetresources.

1.4 WHO are involved in CNAs?There are many different combinations of humanitarian agencies involved in CNA but there are 4

that types tend to predominate;

UN agency Joint Assessments: Participation in these is limited to UN agencies alone with theexception of government representatives. This type of assessment was most prevalent in the

10For a full explanation of the principle of impartiality please see

http://ochanet.unocha.org/p/Documents/OOM_HumPrinciple_English.pdf11

Darcy J & Hofmann C (2003) According to Need? Needs Assessment and Decision-Making in the

Humanitarian Sector, Humanitarian Policy Group Report 15, September 2003, Overseas Development Institute,

London, pp.6-712

Garfield R et al(2011) Common Needs Assessments and Humanitarian Action, Humanitarian practice

Network, Network Paper, No. 69, January 2011 (Revised April 2011), Overseas Development Institute, London
http://ochanet.unocha.org/p/Documents/OOM_HumPrinciple_English.pdfhttp://ochanet.unocha.org/p/Documents/OOM_HumPrinciple_English.pdfhttp://ochanet.unocha.org/p/Documents/OOM_HumPrinciple_English.pdf


12/33


years before the reforms that followed the publication of the Humanitarian Response Review

(HRR).

Inter-agency Multi-Cluster Assessments: Coordinated by OCHA, participation in these is open tothose involved in the Clusters and includes UN, NGOs and government. A joint assessment tool is

often used to promote sharing and analysis of data. These are most often launched in the first 2-

weeks after a disaster. Inter-agency Sector-specific Clusters: UN, NGO and government participation is common with

the purpose of creating a baseline or expanding on the data gathered during multi-cluster

assessments. These occur most frequently in phase 3 although they can also be launched in

phase 2.

Joint NGO Assessments: These are most often linked to phase 1 assessments and have comeabout as a result of the greater agility of NGOs which often (but not always) allow a far swifter

deployment of assessment capacity. The ECBs JNA is the best example.

In-Depth Multi-Cluster Monitoring Missions/Damage & Needs Assessments: These cut acrosssectors and are used either to assess overall needs as part of a periodic monitoring survey (the

Myanmar Post-Nargis Joint Assessment [PONJA]) or are to determine accurate estimates of

damage and associated needs. Participation often includes a much wider set of institutionswhich may include Development Banks and regional institutions. These types of CNA occur

either in phase 3 or phase 4.

The focus of this research is on CNA which include the participation of NGOs. While joint UN agency

assessments exist as a discrete subset of CNAs, they will not form a significant part of this report.

2. Mapping Agency Practise in Coordinated Needs Assessment

While anecdotal evidence suggests that rudimentary coordinated assessments have existed for as

long as the humanitarian enterprise particularly where insecurity or poor access meant thatinteragency assessments made sense from a security or efficiency perspective, it is only recently that

progress has been made in standardising approaches and documenting practice. Joint agency

initiatives to address widespread disasters such as the 1984-85 famine in Ethiopia and Eritrea and

the conflict in South Sudan in the 1980s and 1990s certainly witnessed significant inter -agency

collaborations yet these were very often coordination in name only with a review noting that

Operation Lifeline Sudan (OLS)13

suffered a number of structural problems impeding the ability of

the multilateral system to respond to humanitarian needs in civil wars, which includeddifficulties of

obtaining sound data.14

2.1 Observations from a Review of CNA between 2003 and 2011

While a rigorous review of practice is not possible due both to time constraints and the fracturednature with which assessment reports have been archived, an analysis of 48 CNAs makes it possible

to make some broad observations on the practice of CNA (see annex 3 for a list of these,

disaggregated by assessment phase). The following observations are supported by the review;

CNA practice benefits from strong government engagement

While the challenge of ensuring multi-stakeholder engagement in CNA is well documented, the

evidence suggests that it is in countries where government is an active participant in disaster

13OLS was the vehicle through which a consortium of UN agencies and 35 NGOs provided life-saving assistance

to Southern Sudanese communities affected by the civil war between 1989 when the Comprehensive Peace

Agreement was signed in 200414 Agnes Aboum T et al, T (1990) A Critical Review of Operation Lifeline Sudan: A Report to the Aid Agencies,

Humanitarianism & War Project, Tufts University, pp17. Available from

http://repository.forcedmigration.org/show_metadata.jsp?pid=fmo:2666
http://repository.forcedmigration.org/show_metadata.jsp?pid=fmo:2666http://repository.forcedmigration.org/show_metadata.jsp?pid=fmo:2666http://repository.forcedmigration.org/show_metadata.jsp?pid=fmo:2666


13/33


management that provides an enabling environment for CNA. While Indonesia, Pakistan and

Vietnam are all vulnerable to natural or man-made disaster, each benefits from strong government

participation in coordination and response. In addition to these 3 countries which dominate the

phase 1 and phase 2 responses documented in the list, it is noteworthy that 3 of the other CNA

highlighted, for Gambia (2010), Mozambique (2008) and Maldives (2007) were undertaken in

partnership with the respective government disaster management body.

CNAs are more often used in rapid onset natural disasters than for conflict-related crises

The majority of the timeliest CNAs were undertaken in response to natural disasters.15

While the

process of classifying assessments by phase lends itself far more easily to rapid onset events such as

earthquakes or flash floods the impact of which are also often more geographically focused, the fact

that governments are often party to internal conflicts certainly complicates the process of launching

a CNA under such circumstances. The perceived challenges of working alongside Integrated UN

Missions particularly in areas of active conflict can result in a separation between NGOs and UN

agencies which has consequences for participation in CNA. The findings of the online survey which

accompanied this research tend to support this; of the 13 CNAs that survey participants had been

involved in, only 2 of these were conflicts (DRC, 2008-2010 and Libya 2011).

In conflict-related crises one of the motivations for CNAs is for operational security purposes

Despite the added complexities of launching CNAs in areas of violent conflict, the research suggests

that threats to staff security can also provide a significant motivation for agencies participation in

joint assessments. While these can be ad-hoc arrangements based around a broad look-see

objective, there are also examples where an effort is made to harmonise results. The IDP crisis in

Pakistan (2009) offers several good examples of interagency groups conducting CNAs jointly.16

The

response to the conflict in Darfur in 2002-3 which at the time was considered to be one of the most

insecure environments for humanitarian aid staff saw many ad-hoc interagency groups conduct CNA

as well as more formalised joint assessments.

While food security assessments often benefit from strong coordination they are difficult to classify

using the system of assessment phases

The nature of cyclical food insecurity in places such as the Horn of Africa have led to the

formalisation of surveillance mechanisms which include multi-stakeholder participation, regular

monitoring and an early warning system as a trigger for assessments. These are so well established

in countries like Kenya, Tanzania and Ethiopia that it is difficult to speak of distinct CNA as they form

part of the broader system.17

Even where such coordination mechanisms havent been established,

the nature of food insecurity which is often spread unevenly over huge areas also makes it difficult

to classify assessments by phase.18

Disasters are increasingly assessed jointly with common methodologies used by agencies

1524 out of 26 CNAs were in response to natural disasters for phase 1 and phase 2 responses.

16The Pakistan Humanitarian Forums assessment of Buner Province in 2009 is a good example of this. The

report is available from

http://oneresponse.info/Countries/Pakistan/Pages/Reports%20and%20Assessments.aspx17

The Ethiopia Joint Emergency Operational Plan for 2004/5/6/8/9 is the output of a broader food security

early warning system. For more detai ls, see Oman A, Completing the Jigsaw Puzzle: Joint Assessment Missions

(JAM) in Field Exchange, February 2011 Issue 40, Emergency Nutrition Network, pp.40, available from

www.ennonline.net/pool/files/fex/fieldexchange40.pdf18

The Nepal Winter Drought Assessment is a good example, available from

http://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2

Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7

Rn6KBX7nObU5WGxmsdg
http://oneresponse.info/Countries/Pakistan/Pages/Reports%20and%20Assessments.aspxhttp://oneresponse.info/Countries/Pakistan/Pages/Reports%20and%20Assessments.aspxhttp://www.ennonline.net/pool/files/fex/fieldexchange40.pdfhttp://www.ennonline.net/pool/files/fex/fieldexchange40.pdfhttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.google.co.uk/url?sa=t&source=web&cd=1&ved=0CB4QFjAA&url=http%3A%2F%2Freliefweb.int%2Fnode%2F311118&ei=qS8dTuTnBcWXhQflnOnZBw&usg=AFQjCNEIkxXkZDI0P1mgYHX5CwbeoNYfpg&sig2=qf7Rn6KBX7nObU5WGxmsdghttp://www.ennonline.net/pool/files/fex/fieldexchange40.pdfhttp://oneresponse.info/Countries/Pakistan/Pages/Reports%20and%20Assessments.aspx


14/33


It is noteworthy that 28 of the 48 CNAs reviewed as part of this research were undertaken in the last

3-years possibly indicating a growth in the practice of CNA, but likely also reflecting the growth in

online information management and storage in support of humanitarian response.19

While the lack

of rigour in how the sample was collected makes it difficult to draw too many conclusions the

document review shows an increase in the use of joint assessment tools such as the Multi-Cluster

Initial Rapid Assessment (MIRA) in Nepal, the Multi-Cluster Rapid Assessment Mission (McRAM) inPakistan, the Rapid Initial Needs Assessment (RINAH) in Haiti and the JNA framework for common

NGO assessments. A review of data from earlier CNAs suggests a predilection for harmonised needs

assessment which borrowed heavily from agencies own assessment tools albeit with efforts to

merge data sets into a single report. Evidence of the move towards the systematic use of common

assessment formats can be seen from 2004 in Vietnam (Joint Rapid Assessment), from 2006 in Nepal

(IRA), from 2004 in Bangladesh (RENA & RIR) and from 2006 in parts of India (Unified Response

Strategy).

Many of the timeliest CNAs were undertaken for mid-size emergencies

While the greatest number of CNAs have been made in response to large disasters, mid-size

emergencies is smaller countries have also provided examples of good practice. CNAs in countriessuch as Tajikistan (2010), the Maldives (2007), Gambia (2010) and Vietnam (2006, 2010) have

benefitted from better coordination between agencies. There are numerous reasons why this might

be the case, but having a smaller number of agencies which share a historical presence in the

country, and who have far stronger links with each other presents the best possible environment for

establishing close working relationships. It is in the large emergencies such as the Haiti Earthquake

(2010) and Pakistan Floods (2010) that have witnessed a significant increase in the number of

humanitarian agencies, where surge staff that are often unfamiliar with the context are deployed

and where coordination is much more complex that there has been a far greater challenge in

launching CNAs. In such contexts, that CNAs have been delivered at all is cause for optimism.

Recent large-scale CNA tend to deliver results several weeks after the crisisWhile it is difficult to compare different large-scale CNA as both their methodologies and intent are

often very different, one common criticism is that the results have not been timely. Such processes

have been criticised for attempting to collect far too much information for the phase of the crisis

which has led to information overload. There have been occasions when data has not been used or

has been redundant which is wasteful of resources. While Myanmars PONJA (2009) or Pakistans

PDNA (2010) were never intended to inform the early phase of the humanitarian response, the

RINAH in Haiti (2010) and the Pakistan Floods McRAM assessment (2010) could have potentially

delivered more timely information. That said, the 26-day period it took to plan, prepare collect and

process data20

was impressive and provides a platform for learning for similar exercises in the future.

2.2 Analysing NGO Practice: The 2010 Typhoon Response in the PhilippinesWhile a study of CNA practice over time can support some broad observations about the frequency

and nature of coordinated assessments, valuable information can also be gleaned from a meta-

analysis of evaluation practice in a single emergency response. The consolidation of assessment data

in OCHAs survey of surveys provides a very rich source ofinformation and the data compiled for the

response to the Ketsana and Parma Typhoons which made landfall in the Philippines in September

and October 2010 is particularly extensive.21

While the lack of a complete data set makes it

impossible to analyse the timeliness of the assessments, the information does allow some broad

19On this issue the results of the online survey are noteworthy; of all the CNAs that respondents have

participated in, the earliest is in the joint assessment following the 2007 Kyrgyzstan earthquake and 20 out of

the 22 were carried out between 2009 and 201120 For a detailed breakdown seehttp://www.acaps.org/img/documents/mcram-report-121010-mcram-

assessment-report.pdf21

The survey of surveys can be found at the following link;http://ph.one.un.org/response/assessments.php
http://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdfhttp://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdfhttp://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdfhttp://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdfhttp://ph.one.un.org/response/assessments.phphttp://ph.one.un.org/response/assessments.phphttp://ph.one.un.org/response/assessments.phphttp://ph.one.un.org/response/assessments.phphttp://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdfhttp://www.acaps.org/img/documents/mcram-report-121010-mcram-assessment-report.pdf


15/33


observations to be made which have been supplemented by interviews with agency staff and lessons

from the literature review.

Box 1: Assessment Practice during the 2010 Philippines typhoons

The important role played by the Red Cross Movement albeit with a focus on internal CNA

The Red Cross Movement performed extremely well in assessing post-typhoon needs with a focus

on internally coordinating their assessments. The first assessment conducted to the affected area on

the day Typhoon Ketsana made landfall was jointly undertaken by the International Federation of

the Red Cross, 3 National Societies and the Donor agency, ECHO. In the 28-days that followed,

different members of the movement conducted a total of 9 assessments. The IFRC also participated

in the joint participatory protection assessment. While the IFRC has highly developed tools and

Global resources for rapidly assessing and is committed to coordination with the broader

humanitarian community, the timeliness of the assessment takes precedence and participation in

CNA reflects this.

The lack of CNA in Philippines: Failure of culture, lack of coordination or competition?

Of the 29 assessments that were launched in the first two weeks of the typhoons, only 1 of them

was a joint assessment with the participation of ECHO, Philippines, Red Cross, IOM and WFP (none

of which are NGOs). Of the 10 assessments launched in phase 3, 2 of them were CNA and included

significant NGO participation. The first of these was a joint food security assessment was launched

on 30th

October and covered the areas affected by both cyclones; the second was a participatory

protection assessment and was launched on 01st

November, almost a month after the second of the

2 typhoons made landfall. The failure to initiate CNA was documented in the real time evaluation of

the response which reported;

With few exceptions, needs assessments were generally carried out to feed into individual

partners information needs, mostly driven by mandates and individual organisations

activities, and not according to a coordinated analysis and common approach through the

cluster system, reducing the level of efficiency*T+he many assessments meant that large

quantities of data were produced, but many interviews highlighted that data was not

consolidated for the purpose of providing an overall picture of needs and existing gaps.22

The lack of CNAs is intriguing particularly given the context of preparedness across the sector in the

Philippines. A review of the documentation and agency interviews in support of the research suggest

22Polastro R et al (2010) Inter-Agency Real Time Evaluation (IA-RTE) of the Humanitarian Response to

Typhoons Ketsana and Parma in the Philippines, April 2010, DARA, pp.18

Typhoon Ketsana & Parma:

Assessments Profile

UNDAC

UN agency

INGO

Gov

NNGO


16/33


several potential explanations for the failure of timely CNAs in Philippines and in emergencies more

broadly:

Knowledge: Some agencies simply have far too little information about CNA and hence their default

response is to launch independent assessments. Senior staff and field workers who were

interviewed spoke of the limited knowledge that exists about the potential benefits of CNA andsteps that have been taken to make it more effective and more inclusive. This speaks to a gap in

knowledge which could be addressed through greater communication and dissemination of good

practice. It also speaks to a broader need of developing a culture of CNA where agencies are aware

of its potential and are proactively looking for opportunities to engage in these.

Competition: The second explanation for the failure of NGOs to engage in CNAs is as a result of

competition within the sector. While CNA speaks to important principles that underpin humanitarian

action, these are not consistently prioritised above more basic requirements such as the need for

programmes to secure funding. Where there are finite resources and where humanitarian needs are

great there is a considerable (and understandable) motivation to act quickly and given the limited

success of rapid CNA to date agencies may be reticent to prioritise CNAs over their ownassessments.

De-prioritisation: Some agencies choose not to prioritise CNAs; many of the larger agencies

(including many of the ECB agencies) are keen to engage in CNA where these are launched in a

timely manner, through a transparent and inclusive process and use a methodology that is

considered fit for purpose. However, there are also agencies that wouldnt usually choose to engage

in CNA irrespective of the process. Three reasons are most often given; the needs for operational

independence, the lack of timeliness and perceptions about the limited utility of the methodologies

used.

The Lack of an Enabling Environment: The fourth reason speaks to the need for an enablingenvironment to support CNA. Where humanitarian coordination or leadership is weak interviews

suggest that agencies may be reticent to participate in CNA. Where there is a strong and respected

HC, an HCT that is playing a strategic humanitarian leadership role and where OCHA has been

successful in supporting an effective coordination structure which has the confidence of the

humanitarian community, then there is the greatest likelihood of agency participation in CNA.

The limited participation of government

The data indicates that the Department of Health and Department of Agriculture each undertook a

single assessment; the government of Philippines also took part in a rapid assessment within 48-

hours of the typhoon as part of an interagency UN assessment.23

While participation in the latter is

encouraging, it does raise an important issue which was reiterated often during the interviews andwas also highlighted in the real time evaluation of the 2010 Haiti response; that government is often

excluded or fails to engage in disaster response;

Immediately after the earthquake, national and local authorities were eager to coordinate

with international relief actors. However, this initial close cooperation with the national

authorities was not sustained over time. Many government agencies at the national and local

levels felt (and in most cases were) excluded from humanitarian coordination and decision

making. As a result, the relationship between humanitarian organisations and the

23This assessment does not appear in the Survey of Surveys but is reported in the IASC Inter-Agency RTE of

the typhoon response. See annex 4 for the relevant excerpt from the report


17/33


government has been strained and there is a risk that the humanitarian response will further

weaken the government.24

While the host government bears the primary responsibility for assisting disaster victims, to do this

effectively requires that disaster risk is proactively managed and that an effective disaster

management and coordination structure is in place and it is here that both UN agencies (particularlyOCHA) and NGOs can play an important capacity building role. In summarising the current situation,

Harvey (2010) is correct in concluding that both sides need to work at the relationship.25

The lack of National NGO participation

The lack of national NGO engagement in CNA (or as participants in any assessments) is puzzling,

particularly given the strength of civil society and the capacity of the sector in the Philippines. While

this could simply be an issue of under-reporting, its more likely indicative of a common problem

relating to partnership within the humanitarian sector which is often slow to incorporate national

NGO participation in coordination fora.26

Given the capacity that exists nationally and the significant

role that local capacity often plays in meeting humanitarian needs as first responder after a disaster

it is essential that efforts are made at country-level to encourage participation. In his paper on thePrinciples of Partnership, Mahmood provides a compelling case for forging partnerships at the

earliest opportunity after a crisis;

If International organisations and local organisations work together from the start which

means beginning with a needs assessment and situation analysis instead of starting from the

contract, the chances for a process of dialogue and mutual learning to emerge are much

higher27

In this, the ECB has developed good practice in partnering with a range of international and national

agencies in the use of the JNA approach but more needs to be done to build a stronger, more

inclusive foundation for CNA.

3. Mapping the Coordinated Needs Assessment Landscape

Interest in CNA has significantly increased in the last 5-years and this has been matched by a

corresponding increase in the number and diversity of initiatives, methodologies and tools that have

sought to harness agency interest, coral resources and strengthen collective practice. Rather than

trying to provide an exhaustive list (a task that was undertaken by OCHA in 200928

), this section

seeks to document practice that either is currently or has the potential in the future to contribute to

a step change in CNA practice.

3.1 Global Initiatives

The Inter-Agency Standing Committee (IASC) NATF

24Grunewald et al (2010) Inter-agency Real time Evaluation in Haiti: 3-months after the Earthquake , Urgence,

Rehabilitation & Developpement & Global Public Policy Institute, pp.4325

Harvey P (2011) The Role of National Governments in International Humanitarian Response, ALNAP Meeting

paper, 26th

Annual Meeting, 16-17 November 2010, pp.726

For further analysis and good practice associated with partnership in the humanitarian sector see NGOs &

Humanitarian Reform Project (2010) Humanitarian Reform: Basic Information Leaflet Series Principles of

Partnership27 Mahmood J (20xx) Cooperation and Collaboration for Effective Humanitarian Action, pp.2.28

OCHAs 2009 Assessment & Classification of Emergencies (ACE) Project is available from

http://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf
http://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf


18/33


The HRR and the Tsunami Evaluation Coalition (TEC) report were instrumental in creating a shared

commitment amongst IASC members to improving cross-sector needs assessment in a collaborative,

consultative and coordinated manner. It was this commitment that led to the creation of the NATF in

March 2009. With its focus on the first 2-weeks of humanitarian response (phase 1 and 2), the NATF

builds on already existing initiatives29

and lessons learned by various stakeholders at the country,

regional and global level and has 5 key objectives; (i) to strengthen cross-sector needs assessmentcoordination and leadership, (ii) to improve technical support to inter-cluster/sector needs

assessment initiatives, (iii) to increase advocacy, awareness raising and resource mobilisation in the

area of needs assessment, (iv) to augment needs assessment capacity building efforts, and (iv) to

enhance information management mechanisms.

ACAPS

ACAPS was established in December 2009 by a consortium of NGOs (HelpAge International, MERLIN

and Norwegian Refugee Council) with the objective of strengthening global, regional and in-country

needs assessment capacities with the ultimate goal of providing a strong evidence base for

emergency decision-making, leading to better response. With a focus on strengthening coordinated

assessment preparedness and practice, ACAPS (i) is developing innovative assessment tools andmethodologies with the vision of developing commonly accepted coordinated multi-sector

assessment methodology, (ii) provides training in coordination with NATF to build capacity in the

sector, and (iii) has a team of experts who can be deployed at short notice to support in-country

assessment processes before, during and crises.

With a strong operational learning component, ACAPS is making a significant contribution to

learning in the sector with a growing database of reference documents, lessons learnt and training

materials available online. It is also working collaboratively with existing initiatives, providing

operational support to both the NATF and working in partnership with the ECB.

OCHA Assessment and Classification of Emergencies Project (ACE)Requested by the IASC Working Group in June 2007, OCHA established the ACE Project to explore

opportunities to establish synergies between IASC members and to facilitate the development of an

over-arching approach to assessment and analysis. Starting with an initial mapping exercise of

assessment initiatives which was completed in 2009, ACE now leads the NATF and has been working

towards the harmonisation of needs assessments within clusters and the efficient coordination of

needs assessments across clusters through the development of a needs assessment toolbox,

preparedness measures and capacity development. It also provides direct field support to OCHA for

coordinated assessments. Two specific outputs of its work include the Humanitarian Dashboard30

and the Operational Guidance for Coordinated Assessments document31

both of which are now

overseen by the NATF.

United Nations Disaster Assessment & Coordination (UNDAC)

The UNDAC is part of the UN systems sudden onset emergency response system. Created in 1993, it

is designed to help governments and humanitarian agencies conduct assessments, launch search

and rescue operations and coordinate their activities during the first phases of a sudden-onset

emergency. The UNDAC system comprises four components: experienced staff, pre-defined

29Identified by an OCHA study referred to in the footnote above

30The goal of the humanitarian dashboard is to support evidence-based humanitarian decision making for

more needs-based, effective, and timely action. The business world is well-accustomed to dashboards for

senior executives to provide a real-time overview of core data, alert potential problems, and keep operations

on track for desired results31

IASC (2011) Operational Guidance for Coordinated Assessments in Humanitarian Crises, February 01 2011.

Available fromhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf
http://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf


19/33


methods for establishing coordination structures and for facilitating assessments, systems to

mobilise and deploy UNDAC teams, and specialist equipment.

The UNDAC team focuses on initial rapid assessment as soon as possible after the impact of a

sudden onset disaster which is aimed at determining the extent of a disaster and its impact on the

population as well as needs for international assistance during the immediate relief or survivalphase. The methodology is outlined in the UNDAC handbook in a 9-page assessment checklist. Once

the Multi-Cluster Initial Rapid Assessment (MIRA) tool has been fully developed it is planned that

this will be adopted by UNDAC.

3.2 Country/Regional Initiatives

Sphere India Unified Response Strategy (URS)

Building on the knowledge of 25 Sphere32

member organisations, the URS is an inter-agency

methodology with the aim of shortening disaster response times, clarifying roles and responsibilities

and minimising the duplication of relief efforts. It was developed over a period of 8-months and was

initially trialled in 3 States (with 2 more participating in a limited capacity) in response to 5 floodsemergencies in 2007 where inter-agency groups were established and participated in common

needs assessments.

The methodology is based around a common assessment format designed for phase 1 response to

crisis and for which common monitoring and evaluation tools are under development. An active

Google Group platform has been established for information sharing and communication and an

advocacy platform has been established to highlight gaps and concerns in provision of assistance.

Efforts are now focused on establishing means to quickly activate and de-activate the URS and to

promote unified responses to follow from the assessments.

Vietnam Joint Disaster Rapid Needs Assessment (JDRNA)The initiative for the JDRNA was borne out of frustrations at the lack of clarity and comprehensive

data collection in emergencies. The Disaster Working Group, which contains UN agencies, bilateral

donors and NGOs, took initial steps to coordinate their activities which led to the creation of the

JDRNA, a coordinated programme planning mechanism for humanitarian assistance. While early

efforts were focused on joint needs assessment through the design and use of a common

assessment format, the long-term goal of the group has been to build the capacity of local

communities and authorities through encouraging their participation in the assessments.

The multi-sector tool is designed for use in the first 5-days after a disaster to inform immediate

response and provide an indication of early recovery needs. Based on Sphere standards and the

Humanitarian Charter, the JDRNA seeks to increase the speed of response and reduce the risk of

duplication. Outside of disaster response, the agencies involved in JDRNA meet twice annually, with

a coordinating agency maintaining oversight of logistical capacity and taking the lead on triggering

the mechanism and coordinating a joint call for donor assistance.

Bangladesh Rapid Initial Report (RIR) and Rapid Emergency Needs Assessment (RENA)

In 2004, the interagency Disaster and Emergency Response (DER) group in Bangladesh developed

two methodologies to facilitate common and timely assessment of the effect of disasters on

communities. The RIR form comprised a common report form to determine immediate life-saving

needs within the first 12-48-hours after a crisis. The purpose of the RENA was to identify the impact

32 Sphere India, is a National coalition of humanitarian agencies in India. The members include Government of

India, International and National non-government agencies, Ngo networks and UN agencies working in India.

Further information is available fromhttp://www.sphereindia.org.in/sphere_india.html
http://www.sphereindia.org.in/sphere_india.htmlhttp://www.sphereindia.org.in/sphere_india.htmlhttp://www.sphereindia.org.in/sphere_india.htmlhttp://www.sphereindia.org.in/sphere_india.html


20/33


of a disaster on a community, to prioritise the most urgent needs and methods of timely and

effective delivery. The methodology emphasizes the importance of government consultations, of

collecting qualitative and quantitative information, and prioritises focus group discussions rather

than individual household interviews. Despite this, feedback on the tools suggests that they place

greatest emphasis on quantitative data with too much focus on numbers rather than on people and

humanitarian needs.33

A 6-page set of assessment guidelines outlines set of multi-sector questionsand provides guidance on how to present responses and recommended information sources. There

is currently no data entry platform designed for these tools and these are designed on an ad hoc

basis for each assessment. The tools were reviewed and refined in 2008 and are available on the DER

website.

Unicef Multi-Sector Indicator Block Mapping (MSiB) in Haiti

Developed by Unicef to meet the needs for a quick assessment of living conditions in the

spontaneous settlements which were created after the 2010 Haiti earthquake, the MSiB is a

qualitative assessment system to help guide an integrated response to needs. Each block

represents a set of qualitative indicators for each of 6 sectors which Unicef has a specialism in and a

traffic-light status system indicates a judgment of living conditions. The method acts as a hotpotfinder and supports both operational and strategic planning. Of note is that the methodology is

entirely qualitative, using the knowledge of local enumerators as experts at judging the living

conditions. The approach is systematic and includes calibration methods to provide a comparable

data set. The methodology was designed and trialled in Haiti. While it was applied to a pre-existing

emergency situation, its qualitative nature, its basis in local knowledge mean that it has potential

application in emergencies in internal displacement or refugee situations.

3.3 Inter-Agency Methodologies

ECB JNA

The ECB JNA tool in Indonesia focuses on the first phase after an emergency and allows thecommunity of NGOs along with UN and government actors to work together to gather data quickly

and effectively. Appropriate tools and formats have been developed in order to have a common, or

at least a coherent way of collecting, presenting and using data. The JNA tool consists of a single

data assessment form (the tool) and operational guidelines that cover how the organizations will

work together, how to enter data, and how to compile the related reports. This data is then

incorporated into a database which includes a web-based platform so the resulting compilation of

relevant data can be quickly and efficiently shared in a user-friendly way amongst relevant actors.

The tool, operational guidelines, database, and training make up the JNA system. The ECB JNA

approach acknowledges and seeks to adhere to the principle that initial assessment and response

activities are always conducted by local actors and aims to reinforce these capacities by developing

simple systems suited to the local context that collect and share essential data and support

coordinated approaches led by the government or the United Nations.34

Experience from the JNA in Indonesia has been documented in a number of research papers which

are now contributing to the development of the methodology in 2 further ECB pilot countries, Bolivia

and Bangladesh.

Emergency Market Mapping Analysis (EMMA)

33Emergency Capacity Building Project & Assessment Capacities Project (2011) DRAFT Scoping Study on

Coordinated Approaches to Needs Assessment in Bangladesh, March 201134Hardjoko M, Hockaday D & Hana Haller Crowe (20xx) The Emergency Capacity Building Project and the

development of a Joint Needs Assessment tool: The Indonesia experience, the Emergency Capacity Building

Project


21/33


EMMA is a rapid market analysis designed to be used in the short-term aftermath of a sudden-onset

crisis. Its rationale is that a better understanding of the most critical markets in an emergency

situation enables decision makers (donors, NGOs, government, other humanitarian actors) to

consider a broader range of responses. It is not intended to replace emergency needs assessments,

more thorough household economic analyses such as the Household Economy Analysis (HEA), or full

market assessments, but rather adds to the body of knowledge in the post-crisis period by providingtimely information about the structure and functioning of key markets in the short term so that

immediate programming can be based on market knowledge. The EMMA has been remarkably

successful in galvanising the support of a broad range of NGOs and UN agencies around a common

theme relatively soon after a disaster and has produced considerable shared knowledge on how

markets have been affected by crisis.

HEA and the Integrated Phase Classification (IPC)

HEA is an assessment method and is an analytical framework designed to predict livelihood

outcomes (food and non-food shortages) using a combination of baseline livelihoods information

and information about current or predicted hazards (such as drought, market failure, conflict, etc.)

HEA provides decision makers with an evidence-based analysis of how many people are affected andwhere, why there is a problem, how long the effects will last, and what kinds of response would be

most appropriate. The IPC is a classification scheme rather than a method of assessment and does

not generate estimates of beneficiary numbers or amounts of assistance. Instead it organizes

information on livelihood outcomes, health, and other humanitarian indicators into a classification

system and presents the results according to a colour-coded system on a map.

There are obvious links between outcome as measured by HEA and phase. HEA takes into account

the many and varied economic operations of individual households, generating information on

important key reference outcomes included in the IPC (e.g. food access, coping strategies, dietary

diversity, destitution/displacement, etc.). HEA can complement the IPC by (i) estimating numbers of

people in need, types of assistance required, amounts of assistance required and the timeframe fordelivering the assistance, and; (ii) predicting future phases.35

The Multi-Cluster Rapid Initial Assessment

Born out of the IASC Real Time Evaluation (RTE) of the response to the 2007 Pakistan floods, the

McRAM was developed in 2008 for use in a range of potential emergency situations. Benefitting

from broad participation across the humanitarian sector (including from UN agencies, NGOs and the

International Committee of the Red Cross), it was designed as a standardised data collection and

reporting tool to address the problems of multiple assessments. Using innovative mobile technology

the use of personal data assistants (PDAs) for data collection in the field allows for immediate data

transfer to a central processing hub. Questionnaires have been developed by the clusters and

revised following each assessment based on lessons learned and the McRAM has set the target of

making available preliminary assessment reports within 24-48-hours.

The McRAM was activated 4-times in 3 different Provinces in 2008 alone and uptake has been

widespread and has included the Pakistan Humanitarian Forum (PHF). It was most recently used

across 4 flood affected Provinces between 24-29 August (one-month after the floods) in 2010. The

aim of the assessment was to reach a purposive sample of the most affected districts and

communities and produce a detailed summary of findings in line with the information needs defined

by the clusters in Pakistan under the auspices of the Inter-cluster Assessment Working Group with a

view to incorporating the results into the revision of the Pakistan Initial Floods Emergency Response

Plan (PIFERP).

35The Food Economy Group (2007), Household Economy Analysis and the Integrated Phase Classification ,

January 2007


22/33


Multi-Cluster Initial/Rapid Assessment (MIRA)

The Multi-cluster Initial Rapid Assessment36

was originally developed by the IASC in 2006. Developed

as an action-oriented tool for joint rapid assessment, the MIRA was the outcome of a consultative

process which included IASC agencies and government personnel. It is used in the initial phases after

a disaster and provides basic information for decisions to be made on initial life-saving and life-sustaining responses across all critical sectors. The tool can provide the basis for expanded multi-

cluster assessments in subsequent phases providing a comparable data set for analysis.

In 2010 the MIRA was adopted as part of a package of tools and guidance being developed by the

NATF. It now consists of a methodology for defining the Preliminary Scenario Definition, and for

organizing a multi-cluster rapid assessment in the first 72-hours after a disaster. The MIRA also

includes a technological platform which comprises a web-based application being developed by

Voozanoo. One of the uses of this is to host the Humanitarian Dashboard (see below) that can be

used to quickly build a multi-sectoral questionnaire, to serve as a repository for data collected

through it, and to populate the indicators as defined in the NATF Operational Guidance

document.

37

The Humanitarian Dashboard

The goal of the humanitarian dashboard is to support evidence-based humanitarian decision making

for more needs-based, effective, and timely action. The dashboard is supported by narrative text on

the overall situation as well as sector specific details and references. From a needs assessment

perspective the added value of the dashboard is that it (i) consolidates core and common

information for humanitarian decision-makers in a structured, real time and easily accessible format,

(ii) it provides a common platform for organising data and identifying trends in the needs landscape,

and (iii) it allows agencies to better understand what is happening in other sectors through an inter-

operable format for presenting needs and coverage which potentially serves as a framework for

cluster leads to consolidate needs assessment information within their clusters. While it offers thepotential to present the results of CNA, in the absence of consensus on a single tool for needs

assessment, it can add value through the presentation of findings from a series of uncoordinated

assessments together on a single platform. It also provides a platform for the compilation and

presentation of secondary data such as that collected by the ACAPS Secondary Data Review (SDR).

ACAPS SDR

A secondary data review is a means to obtain information during a needs assessment and plays an

important role in complementing primary data and in providing a baseline. Furthermore, evidence

suggests that time can be wasted in CNAs collecting data that already exists and can be collated as

part of a SDR. If undertaken in a timely manner secondary data can provide an important source of

information to support phase 1 and 2 emergency assessment activities. SDR can either be

undertaken in the field or remotely and key to the success of the methodology is having sufficient

resources to exploit a range of different sources of information which will include personal networks

in addition to written and web-based material. While the success of SDR is dependent on the

breadth of data collected, timeliness is key if the information is to be useful in the initial stages after

a disaster.38

36MIRA was known as IRA till 2008 at which time it was changed in line with IASC guidance.

37IASC (2011) Operational Guidance for Coordinated Assessments in Humanitarian Crises, February 01 2011.

Available fromhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf38 A summary of the methodology can be found on the ACAPS website at;

http://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---

summary.pdf
http://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdfhttp://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---summary.pdfhttp://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---summary.pdfhttp://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---summary.pdfhttp://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---summary.pdfhttp://www.acaps.org/img/documents/secondary-data-review---summary-secondary-data-review---summary.pdfhttp://www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=4927&type=pdf


23/33


ACAPS have successfully used the methodology in recent crises, providing secondary data reviews

for Pakistan (Aug 2010), Ivory Coast (Dec 2010), Libya (March 2011), South Sudan (June 2011),

Yemen (June 2011). Posted on the ACAPS website and made available to field assessment teams,

these provide a rich source of data and analysis.39

Methodology for Rapid Humanitarian Assessment (REDLAC)The Work Group for Risk, Emergencies and Disasters for the Latin America/Caribbean regions

Interagency Standing Committee (REDLAC)40

was formed with the aim of creating a platform for the

exchange of information, reflection and actions that optimize preparedness and response actions for

preventing and mitigating suffering of populations vulnerable to natural disasters in the region. The

group focuses its interventions during the response and preparedness stages and coordinates tasks

of prevention and mitigation with other actors.

Coordination is the key to the strategy which has a distinct methodology and set of tools for rapid

assessment. Together, these facilitate joint and integrated disaster response projects and provide a

platform for interagency needs analysis. The methodology was based on an analysis of 12 agencies

tools and in the final stages of design was tested through a simulation exercise.

European Commission Humanitarian Office (ECHO) Initial Needs Assessment Checklist (INAC)

The INAC is a phase 1 multi-sector tool designed to contribute to the overall effort of immediate

assessment and response to a humanitarian disaster. It has been designed as a common tool which

can be used in a range of humanitarian contexts. As a phase 1 tool it is designed to provide only a

basic indication of the crisis and the priority actions to be undertaken in the first days and weeks of

the response. As soon as possible it should be supplemented by expanded rapid needs assessments

to guide the design of emergency interventions.

Cluster Assessment Methodologies

Local Estimate of Needs for Shelter & Settlement Toolkit (LENSS): LENSS is a methodology developed

and endorsed by the IASC Emergency Shelter Cluster with the objective of getting reliable

assessments of housing and settlements needs after a crisis. The approach prioritises the

participation of those affected by the disaster and emphasises the importance of a coordinated

strategic approach to needs assessment.

Health Resources Availability Mapping System (HeRAMS): Endorsed by the Global Health Cluster

HeRAMS is the standard cluster tool for use throughout the different phases of an emergency

response. Through the use of the tool the Global Health Cluster aims at promoting and supporting

good practice in mapping health resources and services availability in emergencies so as to

strengthen informed based decision making.

Global Health Cluster Rapid Health Assessment Guidelines (RHA): Developed in 2007 the RHA is

considered an integral part of the initial multi-cluster assessment in acute emergencies and was

designed as a standardised cluster tool for multi-agency assessments. The document includes a team

leader checklist, reporting format, field and health facility questionnaire and a secondary data

template which can be contextualised to increase their relevance to different emergencies.

Environmental Needs Assessment in Post-Disaster Situations: Jointly prepared in 2008 by United

Nations Environment Programme (UNEP) in partnership with the Cluster Working Group on Early

39 For more information on SDR, seehttp://www.acaps.org/en/pages/resources40

The group includes UN agencies (OCHA, UNDP, Unicef, UNFPA, WHO, UNHCR), INGOs (World Vision, Care,

Oxfam, Plan, NNGOs and regional organisations (EIRD, CATHALAC) and the IFRC
http://www.acaps.org/en/pages/resourceshttp://www.acaps.org/en/pages/resourceshttp://www.acaps.org/en/pages/resourceshttp://www.acaps.org/en/pages/resources


24/33


Recovery, the guide is intended as first step towards elaborating a systematic approach to

addressing and assessing environmental impacts and concerns following natural disasters

especially those issues which might have a negative impact on the safety and welfare of people. The

guide has been primarily designed to inform and influence the early recovery process. It is intended

as a pilot tool and will be revised further as field tests are carried out.

The Short Gui

Date post:	05-Apr-2018
Category:	Documents
Upload:	andyfeatherstone
View:	219 times
Download:	0 times