Programme management guidelines / Assessment
Humanitarian emergency response
guidelines
Assessment
13
For help contact:
CARE Emergency Group (CEG)
Head of Emergency Operations
 Telephone: Email: emergencyoperations@careinternational.org
Contents
1.
Role of assessment in an emergency ............................................................................. 3
1.1
2.
CI roles and responsibilities for assessment ................................................................................... 3
Critical steps in assessment ........................................................................................... 4
3.
Standards for assessment .............................................................................................. 4
3.1
3.2
3.3
Sphere initial assessment standard................................................................................................. 5
OFDA FOG assessment process main points ................................................................................ 5
Accountability and assessment ....................................................................................................... 6
3.3.1 Accountability do’s and don’ts for assessments .......................................................................................... 6
4.
Activating the assessment process ................................................................................. 6
4.1
4.2
4.3
5.
Rapid-onset assessment process actions and decisions ................................................................ 7
Deciding on joint or independent assessments ............................................................................... 7
Providing relief assistance during assessments .............................................................................. 7
Assessment planning and preparation ............................................................................ 8
5.1
6.
Assessment planning quick checklist.............................................................................................. 8
Terms of reference ......................................................................................................... 9
6.1
7.
Typical objectives of a CARE assessment mission ......................................................................... 9
Area selection ................................................................................................................. 9
7.1
8.
Considerations regarding geographical focus ............................................................................... 10
Team selection ............................................................................................................. 10
8.1
8.2
9.
Attributes of assessment teams .................................................................................................... 10
Effective team management .......................................................................................................... 11
Logistics and support requirements .............................................................................. 11
9.1
10.
Assessment team logistics and administration support checklist .................................................. 11
Conducting the assessment .......................................................................................... 12
10.1 Briefing on CO capacity ................................................................................................................. 12
10.2 Basic information checklist ............................................................................................................ 13
10.3 How to involve disaster-affected people in the assessment (adapted from The good enough
guide, Tool 3) ......................................................................................................................................... 13
10.4 Information sources ....................................................................................................................... 14
10.5 Data collection methods ................................................................................................................ 14
10.5.1
Methods for information gathering ...................................................................................................... 15
10.6 Assessment tools........................................................................................................................... 15
10.6.1
11.
UN clusters Interagency Rapid Assessment tool ................................................................................ 15
Data analysis and recommendations ............................................................................ 16
11.1 Contextual analysis frameworks .................................................................................................... 16
11.2 Developing recommendations ....................................................................................................... 16
11.2.1
12.
Minimum requirement for recommendations ...................................................................................... 17
Communicating, reporting and other outputs ................................................................ 17
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12.1
12.2
12.3
12.4
Communicating preliminary findings.............................................................................................. 17
Final assessment report ................................................................................................................ 17
Indicative budget............................................................................................................................ 18
Other outputs ................................................................................................................................. 18
13.
Cost of assessment missions........................................................................................ 18
14.
Annexes ....................................................................................................................... 19
15.
Other resources ............................................................................................................ 19
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1.
Role of assessment in an emergency
The role of assessment in an emergency is a critical and ongoing step in determining
humanitarian needs and meeting obligations to humanitarian principles. Assessments help to
identify the most appropriate response options to an emergency and what added value CARE
can bring to an emergency response. Through assessments, humanitarian organisations gain
accurate data about the needs and operating context, and engage with local communities and
other humanitarian actors in the affected area. Assessment is a critical step in programme
planning (Sphere definition).
1.1
CI roles and responsibilities for assessment
Position
Key responsibilities
Assessment Team
Leader
Lead assessment team including planning, team management,
external and internal representation, liaison with CARE stakeholders,
overall responsibility for compiling and drafting assessment report and,
if directed, may be involved in communicating results.
Assessment team
members
Carry out assessment within area of expertise, provide all required
reporting inputs to the assessment team and contribute to overall
assessment objectives.
Administration and
logistics support
units
Provide all necessary support required by the assessment team
(funds, communications, logistics and administrative).
Assistant Country
Director/Programme
Provide updated situational analysis, partnership possibilities and staff
capacity information to the assessment team.
Country Director
Approve deployment of field assessment.
Ensure the CO provides all necessary support to the assessment
team, especially safety and security in the field.
Approve the assessment draft report before it is shared with
stakeholders and follow up recommendations.
CI Head of
Emergency
Operations
Coordinate CARE International Members support to the assessment
team.
Provide advice and assistance to the assessment team.
Crisis Coordination
Group
Make decisions on basis of assessment recommendations and
support their implementation.
Security Officer/CI
Safety and Security
Unit
Provide security clearance before deploying a team to the field.
The locally based security officer should always be involved in the
decision to deploy a team, and ideally accompany the team to the
field. In high-risk or non-presence situations, it the CI SSU Director will
accompany the team.
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1.2
Role of the assessment team
The role of the assessment team is to capture critical information to help understand the current
humanitarian situation, identify needs as perceived by the affected population (and other key
stakeholders) and recommend the most feasible response options.
The assessment team, led by the Team Leader, is responsible for all phases of the assessment,
including planning, fieldwork, analysis and reporting. They must be able to quickly identify,
assess and communicate the situation to CO senior management to determine whether and how
CARE should respond to an emergency.
See section 8 for guidance of team composition and Annex 13.1 Assessment Team Leader
TOR.
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2.
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3.
Critical steps in assessment
Begin preparing for assessment immediately after the emergency alert.
Develop a clear assessment plan and methodology.
Consider appropriate team composition (for example, gender balanced, multi-agency and
inclusion of disaster-affected population).
Ensure that the assessment team has agreed terms of reference and identify the
geographic focus of field assessment.
Confirm that adequate logistics and administrative planning has been done to ensure
safety and effectiveness of the team.
Plan and identify priority information needs, and data collection methods and tools.
Ensure participation of the affected communities in the assessment process.
Collect and analyse data from a range of sources.
Develop clear recommendations for how CARE should respond to the emergency.
Document and share assessment findings within CARE and with external stakeholders.
Standards for assessment
In an emergency context, assessment is a continuous process that may be repeated many times
with varying levels of depth and different focus areas. Ongoing assessments help to ensure that
responses remain appropriate and relevant as the situation changes.
Typically, an initial rapid assessment should be conducted as soon as possible after identifying
the emergency (within 24–72 hours of a rapid-onset emergency). A rapid, brief and general
assessment may lead to immediate implementation of response activities, followed by more
detailed or sector-specific assessment as time permits.
In the initial phase of an emergency, speed is usually more important than attention to detail. An
initial assessment should be well organised, but should not be slowed down or hindered by the
need to get everything right at first. Assessments should aim to take a ‘good-enough approach’
while addressing basic standards in 3.1 below.
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3.1
Sphere initial assessment standard
Assessments provide an understanding of the disaster situation and a clear analysis of
threats to life, dignity, health and livelihoods to determine—in consultation with the relevant
authorities—whether an external response is required and, if so, the nature of the response.
Indicators
 Information is gathered using standardised procedures and made available for transparent
decision-making.
 The assessment considers all technical sectors (water and sanitation, nutrition, food,
shelter, health) and the physical, social, economic and security environment.
 Through consultation, the assessment takes into account the responses of the local and
national authorities, and other actors and agencies.
 Whenever feasible, data is aggregated by sex and by age.
 Local capacities and strategies to cope with the disaster, both those of the affected
population and the surrounding population are identified.
 The assessment includes an analysis of the operating environment, including factors
affecting the personal safety and security of the affected population, and of humanitarian
staff.
 Estimates of population numbers are cross-checked and validated with as many sources
as possible, and the basis for the estimate is made known.
 Assessment findings are made available to other sectors, national and local authorities,
and representatives of the affected population. Recommendations are made on the need
for external assistance, and on appropriate responses that should be linked with exit or
transition strategies.
3.2
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OFDA FOG assessment process main points
An assessment is only a snapshot in time.
Information changes over time.
The significance of information changes over time.
If a disaster manager can identify the unfolding scenarios, monitoring will ultimately be
more important than assessment.
What you cannot see is often more important than what you can see.
It is vital to use the first assessment to establish an ongoing data collection and analysis
system.
Most reports should be iterative, not detailed.
The initial assessment should provide information that feeds directly into the programme
planning process.
Timing of the report is vital. Without a point of reference, most assessment data is of little
value.
Source: Office of US Foreign Disaster Assistance 2005. Field operations guide for disaster assessment
and response.
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3.3
Accountability and assessment
Assessments can place a burden on the disaster-affected communities and infrastructure, or
can even make them more vulnerable in conflict situations if they are poorly coordinated among
the many humanitarian agencies conducting assessments. The following do’s and don’ts can
help avoid negative impacts.
!

3.3.1
Accountability do’s and don’ts for assessments
Do:
 Take a good enough approach.
 Be prepared to introduce CARE as an organisation and describe our mandate and
objectives (refer to The good enough guide, Tool 1).
 Involve women and men affected by the disaster.
 Ensure assessment team is gender balanced as much as possible.
 Provide appropriate assistance at the same time as assessing wherever possible.
 Consider joint assessments when appropriate.
 Share assessment objectives, plans and results with the community, and clearly
communicate the organisation’s mandate.
 Coordinate assessments, and share plans and results, with other agencies and local
authorities wherever possible.
 Ensure the assessment adequately analyses gender, violence, discrimination, protection
and ‘do no harm’.
Don’t:
 Duplicate the work of other agencies and contribute to assessment overload.
 Put communities or staff at unnecessary risk.
 Continue assessing without providing assistance, if assistance is urgent and is able to be
provided.
 Be a humanitarian tourist (visiting and observing with no purpose or assistance)
 Make promises that cannot be kept.

4.
Activating the assessment process
The CARE International Board has determined that CARE will respond to emergencies as the
rule, not the exception. Therefore, a CO should always conduct an appropriate level of
assessment, no matter how brief, until there is a consensus that either a response should be
initiated or that no response is required.
The assessment process should begin with a preliminary rapid review of all available secondary
information, followed by a decision as to whether the deployment of a field assessment as for
the example of a rapid-onset emergency, such as an earthquake (section 4.1). In a slow-onset
emergency, there may be more time to analyse and monitor the situation.

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4.1 Rapid-onset assessment process actions and decisions
When
Actions and decision questions
Immediately  Determine other responses through contact with the governmental agency
responsible for emergency response, UN representatives and other NGOs,
and verify the emergency through available news, government, peer
agency and field office reports.
o Do initial reports suggest a significant humanitarian impact?
o Has there been a request for humanitarian assistance?
If no, continue to desk review for further verification.
If yes to either above, proceed to desk review and simultaneously
commence plans for deployment of assessment mission.
0–72 hours

Conduct a review of all available assessment data
o Is the scale of the emergency significant?
o Are there humanitarian needs that are not being met by authorities and
local agencies that are already in place?
If no, continue with monitoring until information is conclusive.
If yes to either of the above, proceed with immediate deployment of the field
assessment mission.
24–72
hours
4.2

Deploy field assessment mission
Use assessment mission findings to inform the decision to respond. Refer
to section 7 and Protocol C5 Response decision-making.
Deciding on joint or independent assessments
CARE should always consider conducting a field assessment in partnership with others. Joint
assessment missions have many advantages, including:
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reducing the ‘assessment burden’ on communities
promoting common methodologies and understanding of the situation
facilitating coordinated response planning
sharing resources.
Joint assessment missions are appropriate if the participating organisations share common
values, operational principles and assessment methodologies (IFRC 2005, see Annex 13.6).
Joint assessment missions should not be considered with organisations whose mandate, values
or perception in the community may compromise CARE’s impartiality. At a minimum, ensure
coordination and information sharing.
4.3
Providing relief assistance during assessments
In some emergencies, especially very large rapid-onset disasters, it is clear from the immediate
verification stage of the emergency that a response is necessary. In these cases, initial
response activities should be commenced at the same time as the assessment process, if it is
feasible.
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5.
Assessment planning and preparation
Rapid but adequate planning and preparation before deploying the field assessment team will
help to make the assessment more effective. The effectiveness of assessment will be reduced,
and assessment teams will lose time if prior planning is not carried out. The checklist in section
5.1 will help with planning.
5.1
Assessment planning quick checklist
Plan

Does the assessment team have a clear plan for how to carry out the
assessment?
Clear objectives

Are the objectives of the mission clear, included in the terms of
reference, and understood and agreed by all team members and key
stakeholders?
Appropriate team
composition
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Logistical support

Information
requirements

Involving disaster
affected people in
the assessment
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Information
sources
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Who is the team going to talk to?
What are the available sources of information?
Data collection
methods
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What mix of data collection methods will the team use? What skills or
tools are required to use these methods?
Guidelines and
tools

What guidelines and tools will the team use in the field to help with
information gathering and analysis?
Analysis
frameworks
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Has the Assessment Team Leader been identified?
Has the team got the right mix of technical and functional skills to
achieve the objectives of the assessment?
 Does the team include women and men, and people with local
language and cultural skills?
 Are other agencies and/or the affected community represented on
the assessment team?
Has adequate logistics and administrative planning been done to
ensure the team can get the job done effectively and safely?
Has the team planned and identified the priority information needs to
focus on during the assessment?
 What information is required to meet the objectives and to conduct
the analysis required?
 What information is needed to ensure that cross-cutting issues can
be understood? (for example, gender, protection)
How will the team involve disaster-affected women and men in the
assessment process?
 Has the community been informed of the planned visit?
How will the data be analysed?
What contextual analysis is necessary to make appropriate
recommendations?
 What information and tools can help with the analysis?
Recommendations  What types of recommendations are expected of the team?
 Who are the recommendations for?
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Reporting
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When will the team deliver a preliminary report? Final report?
What format will the team use for the report?
Will an internal version and a public version of the report be
released?
Proposals and
other outputs
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What other outputs will the team prepare?
What is the expectation for proposals, operational plans and
communications outputs?
Annex 13.2 Sample assessment plan

6.
Terms of reference
All key stakeholders should agree on the terms of reference of assessment before deployment.
Written terms of reference for the assessment mission should outline objectives, suggested
methodology, timings and expected outputs, with reference to individual team member
responsibilities. A generic terms of reference (TOR) for an assessment mission is attached for
adaptation and use (see Annex 13.3 Generic assessment terms of reference, and Annex 13.4
Sample detailed terms of reference).
Objectives of the assessment mission should be documented clearly within the terms of
reference (refer to section 6.1) and understood by all members of the assessment team and the
CO, as well as interested stakeholders such as ERWG. The assessment team should also be
able to communicate the objectives of the mission to stakeholders they meet in the field (see
The good enough guide).
Based on the TOR, the team should develop a clear plan of what information is required, what
tools and methods will be used in data gathering, who will be consulted, and how the data will be
analysed to determine recommendations.
6.1
Typical objectives of a CARE assessment mission
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Understand the humanitarian needs and provide analysis of the humanitarian situation.
Establish the feasibility of, and make recommendations regarding, an operational
response by CARE.
 Recommend an appropriate programme strategy for a response.
 Highlight any special issues of concern in the situation affecting the programme strategy
and operational approach.

7.
Area selection
CARE will need to make strategic decisions about geographical focus early in the response.
Selecting priority areas for the assessment mission should be made on the basis of available
secondary information and in close coordination with other agencies undertaking assessments.
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7.1
Considerations regarding geographical focus
The humanitarian imperative comes first: where is the greatest need?
 What areas have been reported as the worst affected or to have the greatest need?
 What areas are normally the most vulnerable?
CARE’s capacity: where can CARE have the greatest impact?
 Where does CARE already have capacity, including pre-established presence, partners,
infrastructure and capacity at a global level?
 Where can CARE feasibly launch new operations?
 Where is there an obligation to the community for CARE to assist?
Coordination: where is there a lack of assistance?
 Where are other agencies assessing or responding?
 What areas are being neglected?

8.
Team selection
Getting the right mix of skills on the team is very important. The right mix depends on both
technical and functional positions and skills, as well as the personal qualities that team members
bring to the team, especially gender and diversity.
Assessment teams should be as small as possible (for example, three-person) as they are much
easier to manage. However, a larger assessment team may be more appropriate when it is
already known that a start-up team is also required immediately.
8.1
Attributes of assessment teams
Technical skills often required*
Other qualities required
Generalist programming skills—ability to analyse overall
humanitarian situation, develop programme strategy and
project concepts, and write proposals
Local context—someone who can facilitate contacts for the
assessment team, and help contextualise the analysis and
recommendations
Technical sector specialist expertise in key sectors—Water
and sanitation, food security, health, shelter and logistics
Cross-cutting analysis skills—Gender, environment, conflict,
protection and do no harm
Communications management—Media and information
management
Operational skills—Security, logistics, administration and
interpreting capacity
Team leadership
CARE Emergency Toolkit, May 2009
Representational skills
Gender balance
Language skills
Cultural experience
Knowledge and experience in
geographic area
Access to local networks
Sufficient start-up and
operational capacity
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8.2
Effective team management
The assessment team leader is responsible for ensuring that the team functions effectively. This
requires the following:

Ensure all team members are fully briefed on the mission objectives, their own role in
meeting the terms of reference, security issues, standard operating procedures and their
reporting requirements.
 Facilitate team work including planning, analysis and review of findings and information
sharing. This includes daily team meetings, phone calls and end-of-day debriefings.
 Manage the performance of team members and address any disciplinary issues.
 Coordinate reporting inputs to ensure all members deliver required outputs.

9.
Logistics and support requirements
An assessment team requires appropriate logistics, and administrative planning and support, to
complete their job properly and safely. Be clear who is responsible for providing support.
Administration/logistics from the CO should usually provide this support to the assessment team.
Some support may also be provided by the administration/logistics team member(s)—however,
not exclusively, because they also have a key technical part in the actual assessment.
Encourage each individual to take personal responsibility. Use the checklist in section 9.1 to
make sure adequate planning and support are provided.
9.1
Assessment team logistics and administration support checklist
Transport
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Are transport arrangements confirmed for the entire assessment?
What back-up transport options are available in case of emergency?
Do transport options have necessary safety equipment, including
CARE marking if appropriate? Refer to Chapter 30 Safety and Security
Communications  Has a communications schedule been agreed between the head office
equipment
and the assessment team?
 Do all team members have adequate communications equipment and
training?
 Are back-up communications systems available?
 Are all assessment team members briefed on the process and have
phone numbers to call in a crisis?
Accommodation
and meals
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Has accommodation been confirmed for team members?
Has the team been provided with sleeping equipment?
Have gender-sensitive considerations been made for accommodation?
Will meals be available for the team in the disaster area? If potentially
no, then has the team been given meal provisions?
Cash and
administration
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
Have team members been provided with an appropriate level of cash?
Who will manage team expenses and cash handling?
Have adequate safety considerations been taken into account to
ensure that cash handling does not put the team at risk? (Refer to
Chapter 24 Finance, section 4 Cash and cash equivalents control
procedures.)
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
Visas and
travel
permissions

Insurance

Interpreters

Team and
personal
equipment

Security and
safety
information for
the team before
their arrival

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
Do all team members have visas required to enter the country? Are
support letters and other forms required?
 Does the team have all necessary travel permissions and
documentation to travel to the disaster-affected areas and any
restricted areas along the way?
 Do the travel permissions cover any vehicles the team will be using?
Are all team members—including both national and international
staff—covered by insurance before entering the emergency zone?
 Does notice have to be given the insurance company before
deployment to activate the insurance?
Is adequate interpreting capacity available to support assessment
team members with interviews and data collection?
 Does the team have access to female interpreters to assist with
interviewing women?
 Have interpreters been trained and tested?
Has the team been provided with appropriate:
o safety equipment including first aid kits, fire extinguishers, maps,
telecommunications equipment, identification flags, etc.?
o office equipment including laptops, portable printer, business
cards, cashbox, paper, etc.?
o personal equipment and supplies?
o CARE identification cards, insurance details and important contact
details?
 Refer also to Annex 13.20 Assessment team equipment list.
Share the security manual with the team.
Give a brief of the security situation on the country and disaster.
Present a brief on security-related standard operations procedures
(SOPs) for the assessment mission.
10.
Conducting the assessment
10.1
Briefing on CO capacity
The assessment team should get a briefing on the CO’s capacity, including information on the
programmatic focus of the CO (for example, Strategic Plan summary) and a summary of the
EPP. This will help the team to understand the capacity of the CO and make realistic
recommendations including the partnership with other actors.
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
10.2
Basic information checklist
At a minimum, the assessment team should gather and analyse basic information outlined
below. See also section 10.6 for more information on assessment checklists.
General humanitarian situation
 Location and conditions of disaster area
 Affected population—size, demographics, location (disaggregated by gender and age)
 Impact of disaster—physical, social, economic, political, security, environmental
 Capacities and vulnerabilities of disaster-affected population
 Priority needs of women, men, boys and girls—food, water and sanitation, shelter, health
 Contextual information—gender roles and relations, cultural issues, conflict and power
dynamics, violence, discrimination and protection issues, civil–military relations
Response to date
 Organisation and response of disaster-affected community, with perspectives from both
women and men
 Response of responsible authorities
 Local NGOs
 International NGOs
 UN agencies
 Donors
 Other actors—for example, military
Operating conditions
 Security analysis
 Availability of (or damage to) logistics infrastructure—ports, roads, airports, warehousing
 Market conditions and availability of relief items locally
 Availability of support infrastructure—office, accommodation, telecommunications
infrastructure, transportation
 Relevant government regulations and requirements for operations
 Cost estimates for budget development
 Availability of skilled personnel
10.3 How to involve disaster-affected people in the assessment (adapted from The
good enough guide, Tool 3)
Disaster-affected men and women should be actively involved in every part of the response,
including the assessment phase.
Before assessment
 Determine and clearly state the objectives of the assessment.
 If you can, inform the local community and local authorities well before the assessment
takes place.
 Include both women and men in the project team.
 Make a list of vulnerable groups to be identified during the assessment.
 Check what other NGOs have done in that community and get a copy of their reports.
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During assessment
 Introduce team members and their roles.
 Explain the time frame for assessment.
 Invite representatives of local people to participate.
 Create space for individuals or groups to speak openly.
 Hold separate discussions and interviews with different groups—for example, local
officials, community groups, men, women and local staff.
 Ask these groups for their opinions on needs and priorities.
 Inform them about any decisions taken.
Note: If it is not possible to consult all groups within the community at one time, state clearly
which groups have been omitted on this occasion and return to meet them as
soon as possible. Write up your findings and describe your methodology and its limitations.
Use the analysis for future decision-making.
10.4
Information sources
Make use of as many available information sources as possible. By seeking information from
many different sources, the assessment team can cross-reference different responses to
determine the best single estimate or conclusion and avoid bias. This is called ‘triangulation’ of
data.
Key sources of information include:
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disaster-affected communities
o Leaders, vulnerable groups, women, health workers, school teachers, institutions,
community based organisations, youth, etc.
local government representatives and offices
local and international NGOs and coordinating bodies
UN agencies
Humanitarian Information Centres
donor agencies
local and international news media
suppliers and commercial organisations.
10.5
Data collection methods
Select the most appropriate data collection methods to gather the required information. It is
advisable to use a wide range of data collection methods, and for the team to be well prepared
and skilled in the use of the chosen methods.
The assessment will yield clearer results if the methodology is well planned beforehand. Key
informant interviews and directed observations are methods used regularly, although are often
poorly planned. Predetermine who to interview, what questions to ask (test the questions before,
if possible) and how to ask them, and decide what needs to be observed, what things you will be
looking for, and how to record that data. In addition to key informant interviews and direct
observation, there are many other methodologies that can provide important information, as
outlined in section 10.5.1.
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10.5.1
Methods for information gathering
Available methods
Tools and ‘how to’ guides
Key informant
interviews
Annex 13.6 IFRC 2005. Guidelines for
emergency assessment, Chapter 7
Annex 13.4 The good enough guide, Tool 5
Focus groups
Annex 13.6 IFRC 2005. Guidelines for
emergency assessment, Chapter 7
Annex 13.4 The good enough guide, Tool 6
Direct observation
Annex 13.4 The good enough guide, Tool 9
Surveys
Annex 13.4 The good enough guide, Tool 7
Participatory rural appraisal methods—for
example, mapping, seasonal calendars,
timelines and proportional piling
Annex 13.7 ALNAP Participation Handbook
10.6
Assessment tools
Tools such as checklists and forms are useful guides for assessment teams.
Checklists help to provide a reminder of what information the assessment team should collect.
Checklists can be general or sector-specific. The assessment team should choose checklists
that are appropriate to the objectives of the assessment mission. The following are good
checklists to use.


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OFDA FOG Assessment Checklist (Annex 13.8)
IFRC 2005. Guidelines for emergency assessment, sector checklists, pp. 60–72 (Annex
13.6)
UNDAC (Annex 13.9)
Sphere (Annex 13.10).
Assessment checklists for sectors and cross-cutting issues are also provided at Chapter 8
Sector guidelines, and Chapter 9 Cross-cutting issues.
Interagency assessment forms are sometimes used in large emergencies. There is no standard
global form, as formats are tailored to each specific emergency. They promote common
methodologies and facilitate sharing of assessment data. It is always good practice to share
assessment data and results with government and peer agencies. For samples see Annex 13.11
Sample interagency forms, and Annex 13.2 ECB forms.
10.6.1 UN clusters Interagency Rapid Assessment tool
UN clusters have recently developed an interagency rapid assessment tool. This should be used
by CARE. See Annex 13.21 Interagency Rapid Assessment tool.
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11.
Data analysis and recommendations
Data is only useful if it is analysed. The assessment team must analyse the data to inform the
development of recommendations. The team should work together to ensure the information
obtained by different team members can be cross-referenced with others before reaching
conclusions.
11.1 Contextual analysis frameworks
Analysis frameworks
Suggestions, tools and ‘how to’ guides
Humanitarian situation
Damage assessment
Ensure that quantitative and qualitative data
collected through surveys is compiled, triangulated
and analysed
Prioritisation of needs (analysis of key
sectors—for example, water and
sanitation, shelter, health, food and
psychosocial)
Annex 13.10 Sphere Minimum Standards, and
tools in CET Chapter 8 Sector guidelines
Profile of affected community
Annex 13.4 The good enough guide, Tool 4
Response gap analysis
Annex 13.3 Gap analysis matrix
Geographic priorities
Make best use of available mapping capabilities to
overlay assessment data with geographic analysis
Cross-cutting and contextual analysis
Gender
Refer to tools in Chapter 9.1 Gender
Conflict
Refer to tools in Chapter 9.2 Conflict sensitivity
Benefit–harms/do no harm
Annex 13.14 Benefits-Harms Tool
Child protection
Annex 13.4 The good enough guide, Tool 8
Environment
Refer to tools in Chapter 9.7 Environment and
disasters
Operating context
Security analysis
Chapter 30 Safety and security—Security
Management Plan security analysis
Logistics feasibility
Annex 13.15 Logistics Assessment Checklist
CARE capacity assessment
Protocol C3 Capacity assessment
Annex 13.16 CORA Tool
11.2
Developing recommendations
The assessment team must make clear strategic recommendations to CARE’s decision-makers
about the most appropriate response to the emergency. The recommendations must reflect: the
priority humanitarian needs; gaps in existing response capacity on the ground; CARE’s expertise
and capacity; and the operational feasibility of a response, including availability of resources. At
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a minimum, the assessment team must answer and provide recommendations to the critical
questions in section 11.2.1.
11.2.1


Should CARE respond? Why/why not? What is CARE’s ‘value added’?
What should CARE’s response strategy be? What specific programme interventions
should CARE pursue, and why?
What special considerations does CARE need to take into account in its programming
strategy regarding cross-cutting issues?
What are the operational requirements for CARE to implement the recommended
programme?

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
Minimum requirement for recommendations
12.
Communicating, reporting and other outputs
Checklist




Communicate preliminary findings throughout the assessment process.
Ensure a completed assessment report is finalised and circulated to key stakeholders.
Include an indicative budget in the assessment report.
Prepare necessary outputs to accompany the assessment report.
12.1
Communicating preliminary findings
Preliminary updates on the humanitarian situation and initial assessment observations should be
shared with key stakeholders as quickly and regularly as possible, considering the following:





Provide basic updates to the head office of the CO (or CEG in non-presence situations) on a
daily basis during an initial emergency assessment. The CO should include this information
in sitreps to share with the broader CARE membership (refer to Chapter 21 Information
management).
Updates can be either brief written communications or verbal phone briefings.
In some cases, such as non-presence situations, the assessment team may be requested to
prepare sitreps directly.
Preliminary assessment reports and summary recommendations may be requested at any
point in the assessment process.
The assessment team may be requested to provide updates to CCG or ERWG conference
calls.
For safety and security purposes, the assessment team must keep regular contact with the head
office, and the whereabouts of assessment team members must be known at all times. A
communications schedule should be agreed with the head office before deployment (refer to
Chapter 29 Telecommunications and IT, and Chapter 30 Safety and security) for more details.
12.2
Final assessment report
The assessment team should prepare and finalise a formal assessment report detailing the
findings and recommendations.
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The assessment report should be approved by the Country Director (or ERD in non-presence
countries) then shared with the Crisis Distribution List (refer to Chapter 21 Information
management) and other key stakeholders such as peer NGOs, donors and other partners.
In sensitive situations, it may be necessary to prepare two versions of the assessment report:
the complete assessment report for internal use only; and a second report to share with external
stakeholders. The external version would usually exclude sections relating to the set-up of
operations or other internal considerations. The reports must be approved for public use by the
Country Director (or ERD in non-presence countries) before sharing with others.
Annex 13.17 Assessment report format
Annex 13.18 Sample assessment report
12.3
Indicative budget
The assessment report should include an indicative budget showing the programme and
operational costs of the recommendations put forward by the assessment team.
A simple budget format for inclusion with assessment reports is available at Annex 13.19 Budget
format.
12.4
Other outputs
The terms of reference may also request a number of other outputs to be produced by the
assessment team. Other outputs common for an assessment team to produce include:


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
13.
initial programme documents, including
o proposed programme strategy document
o brief project descriptions
o concept papers
o project proposals
operational plans, including
o proposed security management plans
o logistic system plans
o telecommunications plan
o proposed staffing structure for initial operations
o schedule of required staffing
o initial procurement schedule of immediate supply requirements
materials for media and communications, including
o press releases
o key messages and talking points
o human interest stories
o photos.
Cost of assessment missions
The CO is expected to cover the costs of the assessment process. Wherever possible, the CO
should include assessment costs in emergency project budgets to recover costs. Country
Offices may also request assistance for assessment costs through the CARE ERF, recognising
that this also should be repaid through programme recoveries whenever possible. For more
details, refer to Chapter 14 Funds mobilisation.
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

14.
Annexes
Annex 13.1
Assessment Team Leader TOR
Annex 13.2
Sample assessment plan
Annex 13.3
Generic assessment terms of reference
Annex 13.4
Sample detailed terms of reference
Annex 13.5
The good enough guide
Annex 13.6
IFRC 2005. Guidelines for emergency assessment.
Annex 13.7
ALNAP Participation Handbook
Annex 13.8
OFDA FOG Assessment Checklist
Annex 13.9
UNDAC Assessment Handbook
Annex 13.10
Sphere Minimum Standards for Disaster Relief
Annex 13.11
Sample interagency forms
Annex 13.12
ECB assessment forms
Annex 13.13
Gap analysis matrix
Annex 13.14
Benefits-Harms tool
Annex 13.15
Logistics Assessment Checklist
Annex 13.16
CORA Tool
Annex 13.17
Assessment report format
Annex 13.18
Sample assessment report
Annex 13.19
Budget format
Annex 13.20
Assessment team equipment list
Annex 13.21
Interagency Rapid Assessment tool
15.
Other resources
Humanitarian Accountability Partnership (HAP-International)
www.hapinternational.org
IFRC 2005. Guidelines for emergency assessment.
www.proventionconsortium.org/themes/default/pdfs/71600-Guidelines-for-emergency-en.pdf
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Office of US Foreign Disaster Assistance 2005. Field operations guide for disaster assessment
and response.
www.usaid.gov/our_work/humanitarian_assistance/disaster_assistance/resources/pdf/fog_v4.pd
f
ReliefWeb
www.reliefweb.int
World Vision International, Emergency Capacity Building Project 2007. Impact measurement
and accountability in emergencies: The good enough guide.
www.globalpolicy.org/ngos/aid/2007/0209goodenough.pdf
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