![An Assessmentisdesignedtoidentifyneedsrequiringexternal interventionandthe gapstobe filled.
It isa vital componentof the programme-planningprocess.Itprovidesthe informationonwhichkey
decisionsaffectingthe livesof the disastervictimswill be made.
It isworth emphasising thatpoorassessmentsoftenleadtopoorplanningdecisionsand inadequate
response,withlong-termnegativeimplications. Atthe veryleast,all researchshouldbe freely
shared. More ambitiously,attemptsshouldoftenbe made withinClustersandother foratoconduct
JointNeedsAssessmentswherepossible,ortostandardize the toolsusedforemergency
assessments. Local andnational authorities,civil societyandaffectedcommunitiesare encouraged
to participate inthisprocess,the outputof whichis a humanitarianneedsoverview (HNO)9
.‘A
coordinatedapproachtothe assessmentof anemergencyandtothe prioritisationof the needsof
affectedpeoplelaysthe foundationforacoherentandefficienthumanitarianresponse’10
.
For protractedcrises,the depthandvolume of informationneededforaneffective response
increasesasit evolves.Thisoftentranslatesintoarequirementforin-depthcluster/sector,thematic
or agency-specificassessmentstoinformplanningandoperations,whichinturnnecessitatesa
harmonizedassessmentapproachwithjointneedsanalysis. Needsassessmentprovidesthe
evidence base for[strategic] planning,aswell asthe baseline informationuponwhichsituationand
response monitoringsystemswillrely.Itshouldtherefore formacontinuousprocessthroughoutthe
humanitarianprogramme cycle.
NeedsAssessmentToolsinclude those of Rapid Rural Appraisal11
( RRA see also
http://www.fao.org/docrep/w3241e/w3241e09.htm)
Reviewof secondarysources,includingaerial photos,evenbrief aerialobservation
Directobservation,foottransects,familiarization,participationinactivities
Interviewswithkeyinformants,groupinterviews,workshops
Mapping,diagramming
Biographies,local histories,case studies
Rankingandscoring
Time lines
Short simple questionnaires,towardsendof process
Rapidreportwritinginthe field.
For a more detailedassessment(butnotnecessarilyalengthyone), ParticipatoryRural Appraisal:
Resource andSocial Maps
WealthRankingObjectives
Local Perceptionsof MalnutritionMappingObjectives:
Venn or ‘Chapatti’ Diagramon Institutions
Resource Cards
Clocks& Calendars(DailyActivityClocks mayelicitgender-specificrolesinworkand
workloads;Seasonal Calendarstounderstandagricultural contextsincludingAP
availability)
Income andExpenditure Matrix
DailyActivityClocks
9 http://www.humanitarianresponse.info/programme-cycle/space/page/assessments-overview)
10 Sphere handbook, p. 153
11 (Taken from: https://www.iisd.org/casl/CASLGuide/RapidRuralAppraisal.htm](https://image.slidesharecdn.com/b63db5bb-407f-4a3f-84cf-bb9e85041c9a-170128102724/85/AAP_Guidance_Notes_through_Project_Cycle_-DH-6-320.jpg)
AAP_Guidance_Notes_through_Project_Cycle_ DH
- 1. FAO GUIDANCE NOTES FOR ACCOUNTABILITY TO AFFECTED POPULATIONS (AAP) THROUGH THE PROJECT CYCLE A: PRE-PROJECT CYCLE/Pre-NeedsAssessment Above isa ‘classic’ProjectCycle diagram.ItsuggeststhatNeedsAssessment,atthe top,mightbe the firststepin response.The idealfirststepinanyemergencyresponse isindeedtoassessthe extentandimpactof the damage causedbythe disaster(the needs) andthe capacityof the affected populationtomeetitsimmediate survival needs(degreeof vulnerability). Experience hastaughtusthat a lesspromising –but realistic- firststepisoftenadonor approaching practitioners atshortnotice, to helpthe donorabsorbitsfunds quickly.The rapidtimescalesoften inhibitrealisticNeedsAssessment –or evenleadtoexistingbaselineandpreparednessplansbeing overlooked - aslargeractors rushto engage smalleractorsto actuallycarry outthe work. Failingtofindout – fromthem - what communitiesneedandwantoftenleadstopoorquality programmes,withthe effectsoftencontinuinglongafteranyemergencystage,andevenpreventing timelyrecovery.Sohowdowe ensure thatthisvital stage of NeedsAssessmentisdone adequately, whilsttakingopportunitiesprovidedbydonorstomeetneeds? Firstly,donorsare oftenthe majordriversbehindAccountabilitytoAffectedPopulations.We should be able to approach theirrepresentativestoensure thatmoneyandtime isspentwisely.Each contextisdifferent,anddonorpresence variesgreatly;irrespectiveof this: Can you open a dialogue with the donor to ensure time and money budgetingofNeeds Assessment?Isit possible to ensure that M&E is properlybudgetedthroughout the whole project cycle and beyond(ifa Tracking Study can be approved, impact can be assessedand lessons learnedmore than a year after projectclose).If donors and practitionersare alreadygearing up to delivergoods,what is the mechanismfor amendingthe projectif NeedsAssessmentshowsthat these goods are not optimal (or evenwanted)? If FAO doesnothave in-depthknowledge of acontext,apopulationora vulnerable group,itisgood practice to opendialogue withadonor,and agree when activitiesandtargetswill be firmedup.(For thisreason,one NGOprojectsubmittedtoa donorhad the acronym TOSCADAR,andthe unwieldy title ‘Technical andOperationalSkillsof CivilActorsforthe DisplacedandAtRisk’;the donorwished
- 2. the trustedNGO to take on an entirelynew geographical area,new partnersand new objectives;the loose title suitedbothpartiesuntil NeedsAssessmentcould laterfirmupthe programme plan.) PartnershipAgreements:FAO,andmost UN agencies, workmostlythroughpartnershipagreements withNational (NNGOs) andinternational (INGOs) NGOs.These containvaryinglevelsof detail,and transparencybetweenpartners,andthe mainareasof substance (i) the desirabilityof pre-crisis country-level agreements(ii) timelinessandpredictabilityof fundingand(iii)the needforadequate indirectcostpercentagestoallowaprojectto succeed,withapositive ambitionbeingthatof capacity-buildingandinstitutional strengthening.Central AfricanRepublicisanexample where practical attemptshave beenmade toimprove FAO-NGOcontractsandrelationships1 . B: THE PROJECT CYCLE OF FAO AND OTHERS2 : Six stagesare identifiedinthe FAOprojectcycle (Figure 2): I Identification:generationof the initial projectideaandpreliminarydesign II Preparation:detaileddesignof the projectaddressingtechnical andoperationalaspects III Appraisal:analysisof the projectfrom technical,financial,economic, gender,social,institutional and environmental perspectives IV Proposal preparation,approvalandfinancing:writingthe projectproposal,securingapproval for implementationandarrangingsourcesof finance V Implementationandmonitoring:implementationof projectactivities, withon-goingcheckson progressandfeedback VI Evaluation:periodicreviewof projectwithfeedbackfornextprojectcycle. The cycle representsacontinuousprocessinwhicheachstage providesthe foundationforthe next. Figure 3, belowhastwomainAAP components:(i) the centralityof communityparticipationinall projectswhichaffecttheirlives asa rightat all stages(ii) M&E isnot an academicexercise:‘value for 1 Availablefromdhampson2001@yahoo.com 2 Taken from http://www.fao.org/docrep/012/ak211e/ak211e00.pdf Identification Preparation Appraisal Proposal, Approval and Financing Implementation and Monitoring Evaluation
- 3. money’requiresthatitbe used,shared,and,crucially,provoke positive changes/modificationsfor beneficiaries,underthe maxim‘Knowledge isnogoodunlessitisappliedusefully’3 . The simplicity of Figure 4(below) supportsthe AAPelementof transparencyandcommunication: 3 After Nigel Rushman AP Participation Plan Do Monitor (analyse, share, modify) Do Evaluate (analyse, share, modify) Do Plan DoMonitor Evaluate AP Participation
- 4. 1. NeedsAssessment A commonmistake istooverlooksecondarysources –government,FAO,universities,NGOs –who have alreadyconductedstudiesatcommunitylevel. Forexample,FAOCountryGenderAssessments may give useful dataandpointersonthe gender-baseddivisionof labourinfisheries,agriculture, livestock,forestryetc, anda picture of genderinequalitiesandfactorsof marginalisation.Both official reports suchasCountryEvaluations,Programme FrameworksandReviews, and‘grey literature’cangive apicture of needs,andthe PRT can designate feasibleresearchtaskstostaff and volunteerstoensure thatsummariesandkeypointsfeedintothe knowledge base. If impactistobe shownat the endof a project(andhopefullybeyond),then abaseline –oftenusinga‘beneficiary baseline form’ - mustbe establishedforpre- andpost-crisiscomparison. NeedsAssessments togatherprimarydata can take the followingforms4 : Rapid assessment: Immediatelyafteradisaster,rapidassessmentprovidesinformationon needs,possible coursesof actionandresource requirements.Itnormallytakesuptoa week. Detailedassessment:A more detailedassessmentiscarriedoutaftera rapid assessment,if the situationischangingandmore informationisneeded.Ittakesaboutone month, dependingonthe size of the areaand the complexityof the situation. Continual assessment:Disastersituationsevolverapidlyandinclude unexpectedknock-on effects,suchaspopulationmovements.Assessmentshouldtherefore be anon-going processthroughoutthe emergencyphase.Informationiscontinuallyupdatedsothatrelief and programmingcanbe adaptedtoevolvingneeds. Co-ordinationfora,suchas co-leadsinthe foodsecuritysector(emergency) andthe UNDAF (development) outcome1(economicempowerment,livelihoods,foodsecurityanddecentwork) shouldbe engagedatthisstage. There isno crisisto whichFAOshouldrespondwithoutsome (evenif minimal) needsassessmentat communitylevel.Atthe verymostextreme,aidagencies’fieldpractitionersgenerallymake reconnaissance missionsintocrisisareastocheckwhetherroadsare free fromfallentreesandother barriers,whetherpopulationsare in-situetc.Communitiesthemselves - eveninthe direstsituations – have usuallymade theirfirstrecovery stepsbeforeaidactorshave reachedthe stage of Concept Note.Asa basic rightsissue,aidprovisionshouldfitintothose stepsnotthe otherwayround. In practical terms– at the extreme – this might mean that you discuss withpractitioners (often NGOstaff) about theirability to get out of theirvehiclesand conduct Focus GroupDiscussions5 with whoeveris available and willingto talk. And if thisproves impossible,tohave a short list of (householdsurvey) questionstoask individualsabout their most urgentneedswith which FAO might assist. It is also essential tolisten – because the questionsmight fail to prompt communities’priorityfood/agricultural concerns6 ,and to gather key non-agricultural,non-food needssuch as water and sanitation,householditems,shelter,medical/psychosocial whichshould be passedon to other relevantaid actors. 4 From http://www.ifrc.org/Global/Publications/disasters/guidelines/guidelines-for-emergency-en.pdf 5 FAO has a two-day (includingonefield day) FGD trainingcoursein French, easily translated into English dhampson2001@yahoo.com 6 A recent FAO Focus Group discussion with women in Mali was conducted by mechanically followingguidance questions.At the very end, when the facilitator asked ‘Any questions?’women agreed ‘That’s fine, but we don’t work on those crops.What we want is flood dams to grow vegetables!’
- 5. Participatoryanalysisof vulnerability7 :ThroughoutNeedsAssessment,meaningful participation - of differentgroupsof women andmenandappropriate local organisationsandinstitutions - isvital at all stagesof the assessment.Programmesshouldbuildonlocal knowledge,be basedonneedand tailoredtothe local context. Some of the featuresof the FAOneedsassessmentstage inresponsetoTyphoonHaiyaninthe Philippineswere: Damage assessmentreport bycommunity. Categorizationof level of damage (totally,partially…). Identificationof majorFAO-relatedaffectedgroup(farmers) Prioritizationbasedonvulnerability(contextually-based,including: economicstatus,gender, disabilitiesandvictimisation) andcapacities(context-specific;are we supportingpeople who create impact fromour support?Or fillinggaps incommunity-basedorgovernmentsupport?) Proportionate allocation of support. Liaisonwithvillage level Governmentfora bottom-upapproach. The impact will varyconsiderablyfromone disastertoanother, buttypical needs whicharise8 often include the following(and sometimesinasimilarorder): safe drinkingwater urgentmedical care includingvaccinations; food; sanitationandwaste disposal; shelter; essential items,suchasblankets,heaters,watercontainers; psychosocial support inputsforthe nextsowingseason(if applicable) FAOis therefore notatthe forefrontof the emergencyresponse,butneedstobe inter-actingwith emergencyagenciestounderstandpopulations’movements,the politicalandsecurityenvironment, emergingneedsandtrends.Itisparticularlyessential thatneedsassessmentsinvolvingagricultural inputscloselyimplicateaffectedpopulations(APs) because APsare oftenriskingthe mostvaluable assetstheyhave (landandlabour) onprojects(egharvests) whose outcome isuncertain.FAOhasan expandingexperience,toolkitandtrainingmethodologyonSeedSecurityAssessment(SSA),and mightexpect– andbe expected –totake the leadonagricultural inputs; initsSSA methodology, FAOwarns of knee-jerkdistributionsof seedwhere farmer own-sourcedseedisavailableand preferred. Questionstobe asked underFAO’sSeedSecurityConceptual Framework include:Isseed Available?(Includingown-sourced)?Dofarmershave Access? (Thisoftenrelatesto cost, and therefore to socio-economicvulnerability,butalsogender,disabilityandother vulnerable issues). Can a Varietyof seedbe offeredwhich isSuitable?(basedon agro-ecological zones,but also on farmer stated needand preference,whichoftendiffersfromthe advice of agronomists).Is the seedof sufficientQuality?(Thismust be determinedbyfarmers, not only by laboratories).Are we strengtheningResilience? (Thisshouldbe gauged from a community social perspective,aswell as technically.) 7 SPHERE Handbook, slightly amended – pg. 153 8 Re-ordered IFRC sources http://www.ifrc.org/Global/Publications/disasters/guidelines/guidelines-for- emergency-en.pdf and using – http://www.ifrc.org/en/what-we-do/disaster- management/responding/disaster-response-system/emergency-needs-assessment/
- 6. An Assessmentisdesignedtoidentifyneedsrequiringexternal interventionandthe gapstobe filled. It isa vital componentof the programme-planningprocess.Itprovidesthe informationonwhichkey decisionsaffectingthe livesof the disastervictimswill be made. It isworth emphasising thatpoorassessmentsoftenleadtopoorplanningdecisionsand inadequate response,withlong-termnegativeimplications. Atthe veryleast,all researchshouldbe freely shared. More ambitiously,attemptsshouldoftenbe made withinClustersandother foratoconduct JointNeedsAssessmentswherepossible,ortostandardize the toolsusedforemergency assessments. Local andnational authorities,civil societyandaffectedcommunitiesare encouraged to participate inthisprocess,the outputof whichis a humanitarianneedsoverview (HNO)9 .‘A coordinatedapproachtothe assessmentof anemergencyandtothe prioritisationof the needsof affectedpeoplelaysthe foundationforacoherentandefficienthumanitarianresponse’10 . For protractedcrises,the depthandvolume of informationneededforaneffective response increasesasit evolves.Thisoftentranslatesintoarequirementforin-depthcluster/sector,thematic or agency-specificassessmentstoinformplanningandoperations,whichinturnnecessitatesa harmonizedassessmentapproachwithjointneedsanalysis. Needsassessmentprovidesthe evidence base for[strategic] planning,aswell asthe baseline informationuponwhichsituationand response monitoringsystemswillrely.Itshouldtherefore formacontinuousprocessthroughoutthe humanitarianprogramme cycle. NeedsAssessmentToolsinclude those of Rapid Rural Appraisal11 ( RRA see also http://www.fao.org/docrep/w3241e/w3241e09.htm) Reviewof secondarysources,includingaerial photos,evenbrief aerialobservation Directobservation,foottransects,familiarization,participationinactivities Interviewswithkeyinformants,groupinterviews,workshops Mapping,diagramming Biographies,local histories,case studies Rankingandscoring Time lines Short simple questionnaires,towardsendof process Rapidreportwritinginthe field. For a more detailedassessment(butnotnecessarilyalengthyone), ParticipatoryRural Appraisal: Resource andSocial Maps WealthRankingObjectives Local Perceptionsof MalnutritionMappingObjectives: Venn or ‘Chapatti’ Diagramon Institutions Resource Cards Clocks& Calendars(DailyActivityClocks mayelicitgender-specificrolesinworkand workloads;Seasonal Calendarstounderstandagricultural contextsincludingAP availability) Income andExpenditure Matrix DailyActivityClocks 9 http://www.humanitarianresponse.info/programme-cycle/space/page/assessments-overview) 10 Sphere handbook, p. 153 11 (Taken from: https://www.iisd.org/casl/CASLGuide/RapidRuralAppraisal.htm
- 7. Focus groupdiscussion Constraints/ OpportunitiestoNutritionandHouseholdFoodSecurity Semi StructuredInterview:HouseholdCase Study CommunityWorkshop DailyEvaluationandPlanningMeeting12 Otherrelevanttoolsmightincludesocio-economic,foodsecurity,livelihoodassessment, communityfeedbackrecords,andrelevantvoluntaryguidelinesinthe contextof foodsecurity, possiblywithinthe MIRA emergencyframeworkif applicable. 2. Project Formulation Projectideasoften originatefromamix of institutional sources,suchasauthoritiesinnational governments(throughrequestsof varyingdegreesof formality);regional economicintegration organizationsandpartnerorganizations,FAOstaff invariouslocations.The doorshouldalsobe open to directrequestsfromcommunitiesforassistance throughFGDsor‘townhall’meetings andfitinot local resilience andcopinganaylsis .Afterthis,the projectshouldbe consideredinitscontext, aligningwithnational andlocal strategiesthroughthe Ministerof Agriculture, programme frameworkanddonorpriorities. Duringthe projectformulationphase,detailedproblemandstakeholderanalysesaswell asanalysis of objectivesandpossible strategiesagainstFAOcomparative advantagesare carriedout. Thisis fundamental forthe qualityof the formulationprocess.Inthisphase,all necessaryinputsare definedtoensure acomplete operational,administrativeandlegal frameworkforproject implementation.Basedonthe ConceptNote andthe furtherdetailedanalysis,afully-fledgedProject Document isdevelopedandsubmittedtoa resource partnerforsupport. Thisphase includesthe followingsteps: 1. Confirmationof full ProjectTaskForce (PTF) 2. Analysisandstakeholderconsultations 3. Identificationof projectimplementationmodality 4. Formulationof standardprojectdocumentation(projectdocumentandprojectagreement(s)13 Strategic Planningin the Humanitarian Programme Cycle Bestpractices of howAAPelementsof gender,transparency,governance etchave been incorporatedincountriesworldwide canbe foundat: http://www.humanitarianresponse.info/programme-cycle/space/strategic-planning-best-practice Have you consideredwho else mightcontribute? An elementoftenoverlookedbyexternal humanitarianactorsinstrategicplanningiscounterpartcommitmentsfromvariouspartners.Itis useful tolookat anyexistinglocal government legislationrelatingtothe project, eg. inthe Philippines14 ,local governmentunits(LGUs) are mandatedtoprotecttheirnatural resourcesas 12 Taken from http://www.fao.org/docrep/w3241e/w3241e09.html other useful links include http://sergiorosendo.pbworks.com/f/Chambers+on+the+challenges+and+potential+of+PRA.pdf http://www.fao.org/docrep/w3241e/w3241e09.htm 13 (FromFAO’sHandbook: http://intranet.fao.org/faohandbook/area/projects/phase_2_project_formulation/how_to/) 14 http://oneocean.org/download/db_files/mending_nets2nd_ed.pdf
- 8. prescribed bythe Philippine Constitutionandwill therefore already have institutionalised funding whichcan be usedto generate deeperaccountabilityandeffective implementation. Community counterpartshouldalsobe explored;notonlydoesthisreduce costsandincrease ownership,itis the embodimentof arightto be involvedinprojectswhichaffectlivesinthe community. Commonstepsinstrategicplanninginclude: 1. Identifyandcategorise projectstakeholders 2. Create a Probable CharacterProfile foreachStakeholderbyseekinganswersto pre-agreedlines of enquiry 3. Identifythe SWOC(strengths,weaknesses,opportunities,constraints) 4. Identifythe mainindividuals/groupsof Stakeholderswhoneedspecial attentionandpropose specificmeasures inasummarytable 5. Logical FrameworkAnalysis15 . Thisreceivesprominence inFAO’sapproachtoProjectCycle planning. Althoughitisoftengeneratedbydonordemand, andperceivedtobe a ‘topdown’ objective-oriented(asopposedtocommunity-generated)tool,the Logframe canbe strippedto the verybare essentialsand publicly presented (egonverylarge flipchartpaperstapedtogether) to community,whocancritique (classicallyusingstickynotes,uponwhichstrengthof assentcan be gatheredbyvotingegwithstonesor beans) An importantfactorinFAO’sexistingProjectCycle planningisclarityonwhetherFAOor Governmentisultimatelytechnicallyandfiduciaryaccountable forall expectedprojectoutcomes16 . 3. Targeting ‘As foodsecurityandnutritionstandardsandkeyactionsare implemented,avulnerabilityand capacityanalysishelpstoensure thatdisasterresponseeffortsupportsthose whoneeditmost, ina non-discriminatorymanner.Thisrequiresathoroughunderstandingof the local contextandof how a particularcrisisimpactson particulargroupsof people indifferentwaysdue totheir pre-existing vulnerabilities(e.g.beingverypoorordiscriminatedagainst),theirexposure tovariousprotection threats(e.g.gender-basedviolence includingsexual exploitation),diseaseincidence orprevalence (e.g.HIV or tuberculosis)andpossibilitiesof epidemics(e.g.measlesorcholera).Disasterscanmake pre-existinginequalitiesworse.However,supportforpeople’scopingstrategies,resilience and recoverycapacitiesisessential.Theirknowledge,skillsandstrategiesneedtobe supportedandtheir access to social,legal,financialandpsychosocial supportadvocatedfor.The variousphysical, cultural,economicandsocial barrierstheymayface inaccessingthese servicesinanequitable manneralsoneedtobe addressed. The followinghighlightsome of the keyareasthatwill ensure thatthe rightsandcapacitiesof all vulnerable people are considered: Optimise people’sparticipation,ensuringthatall representative groupsare included, especiallythose whoare lessvisible(e.g.individualswhohave communicationdifficulties, mobilitydifficulties,those livingininstitutions,stigmatisedyouthandotherunder- or unrepresentedgroups). Disaggregate databy sex,economicstatus andage (0–80+ years) duringassessment –thisis an importantelementinensuringthatthe foodsecurityandnutritionsectoradequately considersthe diversityof populations. 1. 15 (Taken from http://www.ecode.es/marco_logico/pdf/16.pdf 16 http://www.fao.org/docrep/016/ap105e/ap105e.pdf
- 9. Ensure that the right toinformationonentitlementsiscommunicatedinawaythat is inclusive andaccessible toall membersof the community’17 • Contextisall-importantinvulnerabilityandcapacityanalysis.A groupwhichwithlow vulnerabilityandhighcapacityinone environment(egyoungmenpre-crisisinSyria) maybe inexactlythe opposite categoryinanother(eghavingcrossedinto Iraqtotry and send moneybackto familiesbutfindingonlyconscriptionintoarmedforcesanddeepsuspicion fromfellowSyrianrefugeesoncampsbecause of theirstatusof beingyoung,alone and male).Itisnot enoughtosimplysay‘Womenandchildren are the mostvulnerable’ (althoughtheymightwell be);itisnecessarytolookatmultiple definingcharacteristicsin the particularcontextandwork out vulnerabilityandcapacitystatusinwhatmightbe a shiftingenvironment.Withinsub-sectorsof groups,the statusof the followinggroups might be particularlyworthinvestigationof bothvulnerabilityandcapacities: • Women:pregnancy,mothers,single mothers,widows,unmarriedadultwomen • Men: ex-combatants,unable tocare forfamilies,riskof detention/violence • Children0-17,alone,recruited,introuble,under-nourished,under-stimulated • People whoare: – Elderly,withoutfamilycare-givers – Extremelypoor – Refugees,IDPs,migrants(egtraffickedwomen,childrenwithoutI.D.papers) – exposedtovery stressful events/trauma(survivors,witnesses) – withpre-existing,physical ormental disabilities/disorders,ininstitutions – subjecttosocial stigma(e.g.untouchables/dalit,sex workers,withdisorders) – specificriskof humanrightsviolations(activists,minorities) Try to developthe reflexofthinking‘Diversity& Context’and assessingPower & Privilege inthat context. Try to rememberthat ‘At risk’ doesnot mean ‘passive victim’.And – as at all stages – involve communityin your assessments. If you approach APs and ask ‘Whois vulnerable?’youare likelyto get the answer ‘All of us!’. Ifyou explainyourtargeting criteria, with itsrationale, and you engage community in vulnerabilitymapping – which shouldbe both repeatedand cross- referencedforbiases- you are likelyto get a more sophisticatedpicture of where your project shouldbe targeted. As an absolute minimum,in the most acute of emergencies,APsmustreceive notice of projects withcontact details(perhapsa hotline or call centre),and presentthe structure with which the outside body will co-operate (egvillage council,farmer or women’sassociation etc),and through whom individualswill applyfor project activities. Ideally,thisprocess will be multi-partnerand may involve thirdparty cross-checking;verificationvisitsmay be used to finalise final beneficiarylists. 4. Delivery(including procurementand distributions) Ideally,some testingof communityneedsandwants (oftenthroughfocusgroupdiscussion) should precede procurement.Inemergency crisissituations,this isunlikelytobe scientificallyvalidoreven representative of the entire communities’needs,butitcandeliverdramaticresults.Forexample, the importof CatholicRelief Service sanitarytowelsforwomenatthe depthof the Darfur Crisiswas haltedtoallowtime forconsultationwithwomen,organisedthroughfemale Sudaneseacademics. Darfurianwomen’sresponsessavedtime,logisticsandmoney;theirrequestforbrowncottoncloths of a particularsize waseasilymet.Procurementitself shouldbe conductedthrough Lettersof Agreementusingthe anti-corruptionstepsenumeratedinthe FAOhandbook. 17 SPHERE Handbook – pg. 149
- 10. The risk of exclusionandinclusionerrorsduringdeliveryanddistributionmethodsshould be reducedbythe above targeting. Thisincludesthe riskthatfood,cashor otherassistance is misappropriatedbycombatants. Underthe ‘DoNoHarm’ imperative18 , itisimportantthatfood securityinterventionsare notdivertedtoworsenconflicts. Conditionsonthe grounddetermine the bestrecipienttoselect,andchangingconditions may change the recipient.The risksinherentindistributionsviarepresentativesorleaders shouldbe carefullyassessed.The selectionof the recipientsshouldconsiderthe impacton workloadsandpossible risksof violence,includingdomesticabuse. The frequencyof distributionsshouldconsiderthe weightof the foodrationandthe beneficiaries’meanstocarryit home.Specificactionmaybe necessarytoensure that older people andpersonswithdisabilitiescancollecttheirentitlements. Attemptstotargetvulnerable peopleshouldnotaddtoany stigmathat theyalready experience. Distributionpointsshouldbe establishedwhere theyare safe andmostconvenientfor the recipients,notbasedonlogisticconvenienceforthe agency. The frequencyof distributionsandthe numberof distributionpointsshouldtake into account the time ittakesrecipientstotravel todistributionpointsandthe practicalitiesand costs of transportingcommodities19 . 5. Monitoring Response monitoringisacontinuousprocessthattracks the humanitarianassistance deliveredto affectedpopulationscomparedtotargetssetoutinthe strategicresponse plan(SRP). Monitoringtracksthe inputs,andthe outputsresultingfrominterventionstoaffectedpopulations, charts the outcomesof clusteractivities,andmeasuresprogresstowardsthe strategicobjectivesof the SRP, while consideringthe diversityof the affectedpopulationandtheirperspectivesof the response. Itisa keystepinthe programme cycle asit seekstodetermine if the humanitarian communityisdoingwhatithas committedtodoinginthe SRP. Response monitoringseekstoachieve twomaingoals: 1. to identifyshortcomingsinthe deliveryof humanitarianaidasplannedinthe SRP,and 2. to improve accountabilitytoaffectedpopulationsandotherstakeholders. It isimportantto understand,howeverthatresponse monitoringexplicitlydoesnotaimto: followchangesinthe contextorhumanitarianneeds,whichisneedsassessment track operational aspectsof the response,whichispartof coordination,exceptinthe initial weeksof a sudden-onsetemergency examine the performance of the coordinationsystems,whichisprocessmonitoringandis addressedthroughclusterperformance monitoringandoperational peerreview gauge the qualityandimpact of the response delivered,whichisevaluation. 18 After Mary Anderson, see http://www.conflictsensitivity.org/node/103 19 Taken from SPHERE Handbook – Pg. 194-196,175
- 11. (http://www.humanitarianresponse.info/programme-cycle/space/page/monitoring-overview) Monitoringandevaluationshouldbe carriedoutatall levelsof the supplychainandtothe pointof consumption.Atdistributionpoints,checkthatarrangementsfordistributionsare inplace before theytake place (e.g.forregistration,security,disseminationof information).Randomweighing shouldbe carriedouton rationscollectedbyhouseholdstomeasure the accuracyand equityof distributionmanagement,withrecipientsinterviewed. Seedqualityshouldbe assessedby transparentcommunityconsultation ondistribution,andfollowedupbyassessmentthroughoutthe projectcycle. Randomvisitstohouseholdscanhelpascertainthe acceptabilityandusefulnessof goods,and alsoidentifypeople whomeetthe selectioncriteriabut have notbeenrecipients. Such visitscanalso discoverown-seed-source,orwhetherothergoods are beingreceived,theirorigins, use and targeting.Suchinvestigationmayexpose corruptprocessessuchas commandeering, recruitmentorexploitation,sexual orotherwise.Monitoringshould alsoprovide data(possiblyusing a Post DistributionorPost ActivityMonitoringSheet) onvisibility,gender,satisfactionandsafety criteria,analyse any impactonbeneficiaries. Questionstoaskmightinclude: AmI opento re-settingorcalibrating project directionifdata suggestsit is necessary?How much data do I needto collect?How much can I process?How do I expectto use data? How will I feedresultsback to communities? Monitoring– like evaluation - hasa cost instaff time,salary and resources.Itshouldalsotherefore have a benefit.If there is nopossibilityof changed,andhopefullyimproved,action,the participation isfake or token20 . See againFigure 3, and the ‘modify’and‘do’stagesbetweenmonitoringto evaluation,andevaluationtoplanning. UsuallyinFAO,monitoringwillneedtoreceiveattentionfromboththe Civil SocietyOrganisation carryingout the work,and FAOwho issupervisingit.One simple projectproposal for implementation-stage learningworkshopsisproposedinUNDPs‘A ToolkitforStrengthening Partnerships’21 A detailedguidetomonitoringwithagenderlens,fromthe Multi Cluster/SectorInitial Rapid Assessment(MIRA 1) to LivelihoodRecoveryAssessmentisprovidedbyFAO’sGenderinplanned needsassessmentsmatrix22 6. Evaluation The FAO Handbook covers the organisation’s evaluationframework comprehensively. Itstates that Evaluationconcernsthe systematicandobjective assessmentof anongoingorcompleted project,programme orpolicy,itsdesign,implementationandresults.Anevaluationshouldprovide informationthatiscredible anduseful,enablingthe incorporationof lessonslearnedintothe decisionmakingprocessforall stakeholders. FAOconductsthree typesof evaluations:1) thematic/strategicevaluationsthatare presentedtothe GoverningBodies;2) countryevaluations; and 3) projectevaluations. 20 Or, after Sherry Arnstein 1969,‘non-participation’and ‘manipulation’scroll down to Ladder of Participation at http://lithgow-schmidt.dk/sherry-arnstein/ladder-of-citizen-participation.html 21 http://www.undp.org/content/dam/aplaws/publication/en/publications/democratic-governance/oslo- governance-center/civic-engagement/undp-and-civil-society-organizations-a-toolkit-for-strengthening- partnerships/UNDP%20and%20Civil%20Society%20Organizations%20a%20Toolkit%20for%20Strengthening%2 0Partnerships.pdf p.66 . This document is also useful for assessingpotential partners,scopeof different partnerships and civil society advisory committees 22 from Alexandra.Guyetsky@fao.org
- 12. Thematic/strategic evaluations60 aim,throughenhancedaccountabilityandlearning,toimprovethe relevance,effectiveness,efficiency,sustainabilityandimpactof FAO’sworkinspecifictechnical areas or inthe implementationof corporate strategies,themesandpolicies.Theytake into considerationthe explicitandimplicitgoalsof the Organization;itsfunctions,andthe global context. Country evaluationsaimto improve the relevance,effectiveness,efficiency,sustainabilityand impactof FAOservicestothe countryin question.Lessonslearnedfromthe evaluationmayalsobe applicable toothercountriesfacingsimilardevelopmentchallenges.The evaluations take into consideration acountry’scontext, policiesandstrategies, the role playedbyotheractors, how FAO workswithinthe UN CountryTeam and othercoordinationmechanismssuchasthe FoodSecurity Cluster.Countryevaluationsusuallycoverafive to six-yeartime span,soasto capture progressin differentstreamsof work.All initiativesthatare operational duringthe time-spanof the evaluation shouldbe includedinthe scope,irrespective of theirfundingsourcesandlocationof technical and managerial responsibility. Evaluations of individual programmesand projects fundedby resource partners are triggeredby programme/projectsize orspecificresource partnerrequirements.Evaluationresultsare intended to be usedby stakeholders,includingmanagers,fundersandothersdirectlyconcerned,usuallyat the country level. Mid-Termand Final Evaluations:A mid-termevaluationistypicallyheldaroundthe half-waypoint inthe programme/projectlife.Suchevaluationsgenerallyfocusonimplementationissuesandare designedtofacilitatemid-course corrective action. AnAAPapproach,whose purposeisimproved accountabilitytoandservice forcommunities,will naturallyadvocate forenhancedimportance and resourcingof Mid-TermEvaluations,whenFAOisconfidentthatlessonslearnedcanimprove practice in the remainingtimescale of the projectorprogramme. Mid-termand final reviewsmay be carriedout for Programme Framework,UNDAFandthe agricultural sectorstrategy. A final evaluationisheldatornear the endof a programme/project.Final evaluationsare undertakenforbothaccountabilityandlearningpurposesandare oftenrelevanttodecisionsabout extendingthe programme/project. They shouldbe heldsix tonine monthsbeforethe scheduled conclusiondate,toallowtimelyconsiderationof the evaluationresultsandfuture fundingdecisions, and to maximise the possibilityof positive,concrete outcomesforbeneficiaries,withwhomlessons- learnedexercisesmightnormallybe shared. For programme/projectevaluations,the BudgetHolder,withthe assistance of the programme/projecttask force of the initiative,isresponsible forinitiatingthe evaluationprocess (includingafirstdraftof the Terms of Reference).GoodAAPpractice demandsopenandproperly- plannedrecruitmentbasedoncandidates’relativemerits. Impact evaluationsand beneficiaryassessments are becomingmore prominentatFAO,andprovide an excellentopportunitytolookatcost-benefit,withafocuson the lastingandsignificantchangesin the livelihoodsandstatusof people,institutionsandecosystems.Thesehave mostlybeen carried out inFAOcountry evaluations,andtopicscoveredhave included:farmers’fieldschools;provision of veterinaryservices;livestockemergencyguidelines;policiesandsupportforinstitutional developmentandcommunitymanagementinthe areasof forestryandfisheries;nutritionand householdfoodsecurity;private-sectormarketlinkages;cashtransferand emergencyinput distribution.
- 13. Central AfricanRepublicisanexample where FAObuiltonan OCHA evaluationof multi-agency performance23 byfurtherdevelopinga‘Smiley’tool forwithtraining,guidance notesandaides- mémoirestoassistfieldstaff approachingcommunitiesfortheirqualitative andquantitative assessmentof aid-actorperformance24 . FAOmay alsoparticipate in interagencyevaluations – meetingFAO’scorporate accountability commitment25 toworkinginpartnership - suchas Real Time Evaluations formajor emergency responsesandothermultiagencyexercises.Real Time Evaluationsare usedtofacilitate in-course correctionsinemergencyandrehabilitationassistance andimmediate lessons-learnedwitha numberof missionsduringthe course of a programme’simplementationanduponitscompletion; theyare thushighlycompatiblewithAAPcommitments. The widereffectsof distributionsshouldalsobe evaluated,suchasimplicationsof the agricultural cycle,agricultural activities,marketconditionsandavailabilityof agricultural inputs.Seed distributionsshouldbe conductedwithaparticularlycritical eye; howwere choicesabout type, variety, quantityetc made? How much distributedseedwas actually planted (and where not, why not?) and how much was stored, soldor eaten? FAOhas a specificKeyInformantquestionnairefor use withorganisationswhose interventionhasreceivedadverse communitycomment26 .Ithasalso developedaHumanitarianAccountabilityPartnership/OCHA tool featuring‘Smileys’withwhich communitiescanfeedbacktheirlevel of satisfactionwithaidagencyperformance27 . FAO’sevaluationpolicyis enshrinedinthe Charterforthe FAOOffice of Evaluation (OED),which reportsjointlytothe Director-Generalandtothe Council.The OED Quality Assurance Framework for Evaluation ensuresthatFAOevaluationsmeetbasicqualitystandardsestablishedbythe Office. FAO’sEvaluationCommittee,establishedby DGB2010/20, servesas an internal forumof advice on policymattersand promotesfeedbackfromevaluationtoensure thatstrategicplanningandRBM policiesof OEDcomplywiththe UnitedNationsEvaluationGroup(UNEG) NormsandStandards. 7. Official ProjectClosure28 The principal aimof projectclosure isto mark achievementof animportantstage inthe projectcycle and to informall parties,includingthe AffectedPopulation, recipientcountry,fundingsource(s) and concernedunits(s) withinFAO. APsshouldgetaclearpicture of any possible future involvement fromFAO or others. Projectclosure triggersthe windingupof technical,operationaladministrative, accountingand managementinformationsystems’ actionsbythe not-to-exceed(NTE) date Thisstage may use post-distributionmonitoringsheets,usingdirectobservationandhousehold interviews,whichmightnormallygatherevidence againstimpactandsustainabilitycriteria. 23 http://hapinternational.org/pool/files/Accountability%20- %20Bossangoa%20Mission%20Report%20Apr%202014.pdf 24 From dhampson2001@yahoo.com 25 FAO’s commitment to the five accountability principles of the Inter Agency Standing Committee, 2011.FAO added two commitments of its own, name prevention of sexual exploitation and abuse,and a commitment to work in partnership. 26 SPHERE Handbook – Pg.196 27 Contact dhampson2001@yahoo.com 28 TakenfromFAOHandbook
- 14. Before Operational andFinancial Closure,FAOstaff involvedinaprojectshouldconsider –withthe BudgetHolderandpossible inter-agencygroupssuchasany GenderTask Force – the possibilitiesfor reporting,sharingandlearningwithcommunities(andnotonlywithdonors). Itisnatural inmany communitiesworldwidetomarkofficial closure inanofficial andacelebratoryway;thisalso provides the opportunityforlesson-learningatcommunitylevel (see p.53of ‘The Good Enough Guide) FAOshouldseekwhere possible toconductTrackingStudieswhichshow the impactof projectsand programmesoncommunitiesafterOfficialProjectClosure.Inreality,thisusuallydependson discussionsheldwithdonorsatthe Pre-NeedsAssessmentphase,andresultsideallyfeedintoboth projectcontinuationsandglobal advocacyandpolicy;bringingusbackto the beginningof the ProjectCycle. If there is one key pointtotake away about AAPinthe projectcycle,itis inFigures3 and 4; keep AffectedPopulationsatthe centre of the FAO ProjectCycle,regularlytakingthe time tounderstand, listen,informanddevelopwiththem, andwithPartners,the workwhich aimstoimprove theirlives. Writtenby David Hampson and Ava Sharon Batay-an, informationsourced by Bruna Bambini