Guidelines For UNDP Early Recovery Needs Assessments (1st Draft in English)

1
BCPR Latin
America and
the Caribbean

[English Draft]

PRACTICAL GUIDELINES
FOR EARLY RECOVERY NEEDS ASSESSMENTS

2

1. Introduction

3

The Guidelines are intended to assist practitioners in the
field who are partaking in the planning and
implementation of an early recovery needs assessment
during a post-disaster situation.

In particular it is intended for those who are undertaking
an assessment within the framework of the early recovery
cluster and network.

The Guidelines are intentionally practical in content and
presentation in order to meet as much as possible the
need for orientation, pragmatic suggestions and examples
of good practice that field workers often have while
working within limited timeframes, with multiple tasks
and in difficult environments.

With the above aim the Guidelines are divided into 10
brief modules covering the following key areas:

1. Introduction
2. Background on early recovery
3. The needs assessment process
4. Inter-institutional organization
5. Preparations for needs assessments
6. Situational analysis: secondary data
7. Capacity analysis
8. Module to assess in the field by cluster
9. Methodological considerations
10. Analysis and programming

While the Guidelines will be most effective when applied
in its entirety as a methodological package, the modular
approach also enables users to apply modules individually
or separately based on those that are of most relevance in
a given context.

For the purposes of the Guidelines the needs assessment
process is defined within the framework of 3 phases as
follows:

Damages and needs of the population
Capacities of the government, international
community, and affected communities
Opportunities for reducing risks

In this sense, the Guidelines address all of the above 3
phases providing suggestions and indicators for assessing
each.

Gender and disability are included and form part of the
Guidelines, but instead of presenting these cross-cutting
issues in a separate module these are integrated into all
relevant sections in keeping with the logic of
mainstreaming.

The environment is addressed as a stand-alone theme
rather than as a cross-cutting issue as it is itself a sector
deserving fuller coverage.

Finally the Guidelines conclude with a module devoted to
programming as this is the intended overall purpose of a
needs assessment. In particular it includes guidance on
the consolidation and analysis of assessment findings and
their integration into the recovery framework. In this way
the module facilitates the link between needs and
response.

The Guidelines do not include a detailed comprehensive
step by step guide to needs assessments, but rather
provide an orientation for users. It is expected that in
some cases and particularly for more detailed
programming efforts a more in-depth assessment may be
required in some sectors.

The Guidelines are also not intended to replace existing
methodologies developed by other international actors
but instead may be used as a complement where
considered relevant.

Introduction to the Guidelines
Purpose
The Modular Approach & Content
The Logic of the Guidelines
Cross-cutting Issues
Programming
Acknowledgements
Limitations

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2. BACKGROUND ON EARLY RECOVERY

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Early Recovery is defined as
1

a multidimensional process of recovery that begins in a
humanitarian setting. It is guided by development
principles that seek to build on humanitarian programmes
and catalyze sustainable development opportunities. It
aims to generate self sustaining, nationally owned,
resilient processes for post crisis recovery. It encompasses
the restoration of basic services, livelihoods, shelter,
governance, security and rule of law, environment and
social dimensions, including the reintegration of displaced
population.

The following are the guiding principles which should be
applied to all early recovery activities:
2

Promote National Ownership
Use and support national capacity
Community based approach
Conflict prevention and risk reduction
Promote gender equality
Transparency and responsibility

Early recovery has three broad aims:
3

1. Augment ongoing emergency assistance operations by
building on humanitarian programmes.

1
Guidance Note on Early Recovery, Cluster Working Group on
Early Recovery, 2008.
2
Ibid.
3
Ibid.
2. Support spontaneous recovery initiatives by affected communities.

3. Establish the foundations for longer-term recovery.

The following diagram summarizes the early recovery coordination mechanism:

The Early Recovery Cluster which integrates other early recovery activities not covered by other clusters, such as
livelihoods, governance and land & property.

The Early Recovery Network which seeks to mainstream early recovery into all relevant clusters.
Background: Definition, Principles and Aims of Early Recovery
Definition
Guiding Principles for Early Recovery

The Broad Aims of ER
Coordination Mechanism

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The following table presents a summary of possible activities that can be carries out by the Early Recovery Cluster. The purpose is to present this as a reference menu, taking into consideration
that specific activities and responses will always depend on the national setting and the specific disaster.

Menu of Early Recovery Activities
Key Results Objectives Menu of Possible Activities

Strengthened Post-
Crisis Governance
Support and reinforce national
policy and planning processes
National policy formulation
Capacity assessment and support
Information collection, processing and management
Financial resource mobilization
Aid coordination
Advocacy and public information

Local Level Early
Recovery
Support and reinforce local level
implementation capacity
Provision of Essential hardware and basic infrastructure
Augment critical human resources
Information collection & management
Planning for longer-term recovery Reinforce local administration
capacity for recovery management
Improve community security and
social cohesion
Security and community protection, access to justice
Empower informal community mechanisms for dispute resolution
Disarmament, demobilization and reintegration (DDR)
Restoration of critical basic infrastructure (road cleaning or repair, cash-for-work)
Reintegracion de desplazados
internos
Fortalecer la cpaacidad de local authorities para preparar zonas de retorno y reintegracion
Apoyar la participacion de los desplazados en la provision de services y en procesos locales y nacionales
Apoyar la construccion de paz y otros efuerzos de cohesion social
Stabilization of livelihoods Emergency temporary jobs (cash-for-work)
Targeted livelihood and self-employment start- up grants
Integrate relevant cross-cutting
issues
Risk reduction
Conflict prevention
Gender equality
Environmental protection
HIV-AIDS
Human Rights

Coordinated Early
Recovery Planning
Develop a coordinated approach to
early recovery
Joint rapid assessment
Analysis of early recovery opportunities
Coordination
Lay the groundwork for long-term
recovery
Information management
Strategic planning for recovery

Background: Sample Menu of Activities for the Early Recovery Cluster

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3. The Needs Assessment Process

8

Prior to the Humanitarian Reforms of the United Nations,
needs assessments were carried out in 2 main areas, as
shown in the following diagram:

Humanitarian: generally assessments conducted by
humanitarian UN agencies and international NGOs to
identify the most urgent and short-term needs with the
primary purpose of saving lives, typically through the
provision of water, food, health services, sanitation and
temporary shelter.

Macro-economy & Infrastructure: the Damage and Loss
Assessments typically carried out by the World Bank to
evaluate physical damages and economic losses.
More specifically it assesses damages on large
infrastructure, communications, energy and similar
sectors, and estimates the financial needs for longer-term
reconstruction.

As highlighted by the Humanitarian Reforms, needs
relating to early recovery represented a gap in the
response of the UN system.

The following diagram illustrates the place of early
recovery within the wider needs assessment and response
process, complementing other pre-existing approaches
and helping to complete the response of the United
Nations.

Under the Early Recovery Cluster, the assessment
evaluates needs in sectors generally not addressed by
other actors, namely governance, planning &
coordination, non-agricultural livelihoods, environment,
minor infrastructure, and land & property.

Through the Early Recovery Network, other needs are
identified through the other clusters which typically
operate within the humanitarian context, particularly in
the clusters/sectors that have direct relevance for early
recovery, including health, water & sanitation, agriculture,
and education.

Early Recovery within the Global Needs
Assessment Process
Early Recovery Within the Global Needs Assessment Process

Humanitarian
Early Recovery
Macro-economy & Infrastructure
food
security
sanitation
water
health
industry &
commerce
tourism
environment
governance
livelihoods minor
infrastructure
energy
balance
of
payments
cost of
reconstruccion
GDP
communication
roads, bridges
& other large
infrastructure
education
land & property
agriculture
& fisheries
Risk
Reduction
planning &
coordination
transport
employment

9

Within the framework of the Humanitarian Reforms, the
Early Recovery Framework is led by UNDP to facilitate
coordination. At the same time, UNDP acts as agency of
last resort to address early recovery gaps in the response
of the United Nations. Typically the sectors uncovered
include:

Governance
Coordination and planning
Livelihoods (non-agricultural)
Minor infrastructure
The environment
Risk reduction

For this reason it is necessary for the Early Recovery
Cluster to assess needs related to the above sectors or
gaps, under the leadership of UNDP and in close
coordination with the government and other UN agencies
and international actors present in the country.

At the same time, early recovery is necessary also within
the framework of other clusters, namely:

Health
Water and sanitation
Education

In this case, an Early Recovery Network is established in
coordination with the respective clusters to ensure the
integration and mainstreaming of early recovery in both
the needs assessment and in the response.

In the case of the agricultural cluster, FAO typically plays
the leading role in carrying out a needs assessment and in
designing a response in collaboration with the Ministry of
Agriculture.

CLUSTERS
Early Recovery Education Health Water &
Sanitation
Agriculture Protection Logistics Temporary
Shelter
Tele-
Communica-
tion
Camp
management

Governance

Planning &
coordination

Livelihoods

Land &
property

Minor
Infrastructure

Environment

Risk reduction

Humanitarian Needs Assessment
Early Recovery Needs
Assessment
(ER Network)

ER Assessments Within the Cluster
Framework
The Early Recovery Needs Assessment Process

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In the present Guidelines the assessment process is
divided into 2 stages made up of 6 steps.

1
st
Stage: Situational Analysis

The first stage in the assessment process refers to the
initial phase immediately after the onset of an emergency
when it is necessary to conduct a rapid situational analysis
within a limited timeframe to inform the initial response,
mobilize financial resources, and to determine the need
for further needs assessments.

1. Global Overview of Damages: to obtain a rapid global
overview of the emergency situation based on
available secondary data, including vulnerability data
on affected areas.

2. Consultative Process: consultations and exchange of
information with key government and international
actors about the emergency situation and response
plans to complement secondary data analysis.

2nd Stage: Needs Assessments

Following the Situational Analysis and having available
more time, resources and an assessment team, a more
thorough assessment of needs is undertaken in order to
develop an early recovery framework, a programme and
plan, and a funding proposal.

3. Capacity Analysis: assess and document the sectoral
responses and financial resources of the government
and the international community.

4. Needs Analysis: determine needs of the affected
population at the local level, through field visits and
interviews with key informants, communities and
local authorities.

5. Gap Analysis and Opportunities: determine actual early recovery requirements by factoring both the damages & needs
of the population and the national and international capacity for response. At the same time, identify opportunities for
integrating and mainstreaming risk reduction measures to reduce future risks.

6. Priorities and Programming: from the requirements identified in the previous step, determine priority responses for
programming taking into account the most urgent needs, comparative advantages, opportunities for greater impact, and
the financial resources available.

In general early recovery needs assessments integrate 3 fundamental considerations:

The needs of the affected population
The capacity of communities, the government and the international community
Opportunities to reduce future risks

In this sense, it is the result of the following equation:

Needs Capacities
Risk
reduction
Early
Recovery

Steps in the Assessment Process
The Logic of the Assessment

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The following diagram summarises the needs assessment process discussed above, its stages and steps:

Global
Overview of
Damages
Capacity
Analysis
Needs
Analysis
Gap Analysis and
Opportunities
Prioritization and
Programming
Emergency
situation and
global impact

Secondary data
on damages &
vulnerability of
affected areas
Local needs of
population
affected

Field visits
Interviews

Application

Early Recovery Framework
Early Recovery programme and plan
Funding proposals
Follow-up required
Damages &
needs minus
capacity for
response plus
opportunities to
reduce risks
The response
capacity of:

Government
International
community
Affected
communities
Application

Advocacy
Initial response
CERF, Flash Appeal, TRAC
Follow-up needed
Priority
requirements

Comparative
advantages

Financial
resources
Situational Analysis
-first emergency phase-

Needs Assessment
-second phase-
Consultative
Process
Consultations &
information
exchange with
government and
international
actors

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4. INTER-INSTITUTIONAL ORGANIZATION

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This module covers the key elements that need
consideration when organizing and coordinating an inter-
agency needs assessment, including arrangement options
for integrating early recovery.

The following basic principles must be considered during
the evaluation process to ensure success in the results.

National Ownership. The needs assessment must be
nationally owned and therefore be led by the
government. This may include representatives from the
Presidential Office, the Ministry of Economy and/or
Planning, Civil Defence, line ministries, governors,
senators, and mayors, among others.

Collective Inter-Institutional Ownership. The
participation of other agencies, the government, donors,
NGOs, civil society and other stakeholders in the
assessment process is necessary since early recovery is
multi-sectoral and cross-cutting, requiring an inter-
institutional effort. It is also essential because the
planning and implementation of a recovery program will
obtain better results and collaboration if the stakeholders
participated in the assessment process and are co-owners
of the results.

Political Leadership. Participation from the highest
political levels in the government and UN agencies is
essential. Participation can be directly in the assessment
and field visits or alternatively establishing a mechanism
for their participation during key moments, i.e., to decide
priority geographical zones, to agree on the methodology,
share results and prioritize key actions and responses.

In-country UN Capacity. It is important to identify and
build on the capacity already established in-country
within the UN and to take it into consideration in the
assessment. This includes inter-agency groups already
established, such as the UNETE group, information
centers, contingency plans, joint evaluation
methodologies and other similar instruments.

UNDP Country Office Capacity. UNDP leads the Early
Recovery Cluster and its Country Offices have sectoral and
technical expertise that can significantly contribute to the
evaluation process and the later implementation of the
early recovery program. The environment, poverty-
reduction and governance are common UNDP areas of
work and also key to early recovery.

The composition of the assessment team should include a
balanced representation of men and women, nationals
and internationals. Also it can have the following
combinations:

Generalists who have knowledge of disasters and
have a multi-sectoral perspective
Sector specialists, especially for sectors relevant to
the assessment and national context.
Multi-disciplinary team representing the main
sectors affected.
A combination of sector specialists and generalists.

Whenever possible the inter-institutional team must
include representatives from the following stakeholders:

The Ministry of the Economy & Planning or
equivalent
Line ministries
Civil Defence and National Red Cross
UN agencies
World Bank and other IFIs
Donors
International NGOs
IFRC
National NGOs and civil society organisations
Institutional Team Members
Inter-Institutional Organization
Basic Principles
Introduction
Considerations for Team Composition
Benefits of Joint Interagency Assessments:

Better inter-institutional and multi-
sectoral coordination
Less individual assessments, reducing
the fatigue of affected communities.
Facilitates information and data
exchange
Similar methodologies and/or
instruments are adopted producing
comparative results.
Greater credibility with the government
and donor community
Leads to and facilitates joint recovery
planning and implementation.
Effective use of resources (logistic,
financial and human)

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As shown in the following diagram the needs assessment should be comprehensive and as
such needs to integrate the vision and methodology associated with early recovery as well
as the macro-economic perspective. To this end it is necessary to have inter-institutional
participation and multi-sectoral coverage.

In this sense it is a tripartite effort that is led by the government and includes:

The Early Recovery Cluster led by UNDP and its partners
The Early Recovery Network with participation from relevant clusters
The World Bank

The Early Recovery Cluster participates in the needs assessment to address 2 primary needs
categories:

1. Prioritizing the primary role of the cluster which is to coordinate early recovery, as
well as to address related needs that remain outside the services provided by the
international community. As seen in the following figure, it includes governance,
coordination and planning, and risk management.

These sectors are instrumental for promoting planned and coordinated early recovery, and
for ensuring a developmental approach that integrates risk management. They are also
sectors where UNDP as lead agency has a comparative advantage because of its early
recovery mandate, its priorities and institutional experience.

These sectors share the same government counterpart, which is typically the Ministry of
Economy and/or Planning. Therefore, official communication and immediate coordination
with this Ministry is essential, as well as its leadership in the needs assessment.

Inter-institutional Organization
Interagency Organization

Government
Early Recovery
Cluster
-UNDP
Early Recovery
Network
-UN & NGOs
Macro-
economy &
Reconstruction
-World Bank
Governance
Planning &
Coordination
Large
Infrastructure
Minor
Infrastructure
Livelihoods
Energy
Industry
Tourism
Education
Agriculture WASH
Health
The Early Recovery Cluster

Governance
Planning Coordination
Ministry of the
Economy & Planning
Risk Reduction

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2. Acting as the agency of last resort UNDP prioritises the assessment of needs in
sectors not being covered by other UN agencies present in the country. As shown in
diagram below, it usually includes non-agricultural livelihoods, the environment, minor
infrastructure, and land & property.

In this case, coordination alliances are formed with relevant ministries in each sector
prioritized.

As a first step it will be necessary to establish the management structure of the assessment
process, which may include the formation of the following two mechanisms:

High Level Management Team: represented by a high level government representative, the
Humanitarian / Resident Coordinator of the United Nations, the in-country Director of the
World Bank, the Representative of the European Commission, as well as other
representatives of government and the international community as required. The primary
role of this team is to provide strategic guidance to the needs assessment, make key
decisions, ensure the necessary resources and the achievement of objectives.

The Coordination Team: represented by experienced technical staff from government, UN
agencies, World Bank, European Commission, international NGOs and other relevant
parties. The team is responsible for planning and implementing the needs assessment and
recovery framework.

With the endorsement of the High Level Management Team, the Coordination Team should
agree jointly on the following aspects of the needs assessment:

The objectives and expected results
The geographic areas to be assessed
The methodology applied and the data needed for each sector
The information gathering instruments to be used in the field
Organization of the team and sub-teams
Distribution of responsibilities, including the processing and analysis of data and the
preparation of the final report
Work plan
Logistic arrangements
Security measures

Minor
Infrastructure
Land &
Property
Livelihoods Environment
Ministry of Public
Works, Ministry of
Housing, UNICEF,
WHO, Habitat, IOM,
UNDP
Ministry of the
Environment,
UNEP, UNDP
ILO, FAO,
Banks, UNDP
Management Structure & Responsibilities
Inter-institutional Organization

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5. Preparations for Needs Assessment

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In this module there are suggestions for organizing and
preparing for a needs assessment internally within UNDP
as the cluster lead, especially the initial steps during a first
mission to facilitate a more efficient process and obtain
the desired results.

With the assistance of the office of the Humanitarian or
Resident Coordinator, or the UNDP Country Office as the
case may be, prepare a Briefing Kit containing the
following items:

Map of the country
Maps and satellite images of affected areas
The most recent Sitreps produced by the
government, UN agencies and INGOs
Data on damages and needs available from the
government (Civil Defence and line ministries)
Interagency Contingency Plan
The latest Human Development Report
UN organigram
UN Security guidelines

Also with the assistance of the office of the Humanitarian
or Resident Coordinator, or the UNDP office as the case
may be, organize a schedule of meetings with all key
actors, including:

Humanitarian Coordinator / Resident Coordinator
UNDP (Resident Representative & Focal Point)
UNCT / UNDMT
OCHA, UNICEF, WHO, FAO, WFP, UNFPA & ILO
Ministry of the Economy, Planning or equivalent
Line ministries
Donors (European Commission, ECHO, etc.)
International Financial Institutions (IFIs such as the
World Bank)
International and national NGOs

Ensure that the assessment mission counts on the
following logistical support:
Office space / desk
Computer connected to internal network
Email account
Cellular phones
Transportation (for field visits and meetings)
Dedicated administrative support

Usually, the number of people that forms part of the
UNDP team depends on the number of provinces and
municipalities that are included in the field visit, of the
size of the geographic area to be covered, time availability
and human and financial resources. In general, a team of
three to five people is desirable. The composition of the
UNDP team must include a combination of:

BCPR Early Recovery Advisors
Country Office personnel.

The following organigram presents an example of the
composition of the UNDP team, although this may vary
according to national context and other factors.

This composition is optimum because it combines the
expertise of Early Recovery Advisors with the technical
capacity available within UNDP, their knowledge of the
country, government contacts and technical knowledge of
important sectors, such as environment, poverty and
governance.

Considering that in most cases the members of the
assessment team are not necessarily specialists in needs
assessments, it is important to organize a brief training
session to share and establish the methodology to be
applied as well as the work plan. The session may include
the following topics:

Basic principles for field work
Team sub-division (by geographic area o sector)
Data to be gathered by sector
Instruments for information gathering to be used
Safety and security measures
Integration of gender perspective
Distribution of responsibilities and tasks
Leadership and coordination
Responsibilities to consolidate data and information
and report writing.
Logistics arrangements (transportation, lodging,
travel expenses, agenda for meetings)
Internal Organization and Preparation for Assessments
Briefing Kit
Agenda for Preparatory Meetings
Logistics & Equipment
UNDP Team Structure

BCPR ER Advisor
and/or
PDNA Advisor
Focal Point
Environmental
Officer
Poverty
Officer
Governance
Officer
Team Preparation
Introduction

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6. Situational Analysis: Secondary Data

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This module refers to two categories of secondary data
used for conducting a situational analysis during the first
phase of an emergency:

1. Baseline data: vulnerability analysis
2. Global data on damages and needs

With the objective of facilitating the analysis of
vulnerability in the areas affected by the disaster, the
baseline data can be developed with the following types
of information:

Demographic and socio-economic data
Historical data on the countrys disasters & risk maps
Contingency plans

Baseline data is critical for the following purposes:

Determine the level of vulnerability in the affected
areas, since those which have the highest poverty
levels or lowest human development index, among
other indicators, are likely to have less coping
capacity and a higher level of risk.

Compare pre-crisis data with the post-disaster
situation, for example to determine the proportion
of minor infrastructure or housing that has been
damaged or destroyed in relation to the pre-crisis
situation.
Use and take advantage of the preparedness actions
and protocols already established in the interagency
contingency plan.

There are several sources that generate demographic and socio-economic data in a country, such as the government and its
various line ministries, and the UN agencies.

In addition to these, UNDPs Human Development Office is also an excellent source since it typically has large volumes of data
already consolidated into a database and includes data produced by government census and national surveys. With its
resources and capacity, the office can provide the assessment team with a synthesis of key indicators for the affected areas,
ideally disaggregated by province, municipality and gender in order to facilitate more specific analysis and decision-making.
The following table provides a breakdown of the types of information that can be useful for the assessment, its application
and the sources that can provide the data:

Type of Data

Aplication

Posible Sources

Demographic data of
affected areas

Determine the population structure of the affected
areas before the disaster
Determine the proportion of the toal population
that has been affected

Human Development Office
National or regiona census
National Statistical Institute
UNFPA

Socio-economic data
in affected areas

Deterine the socio-economic conditions of the
affected population before the disaster, including
principal economic activities
Identify areas with greater levels of socio-economic
vulnerability
Prioritize affected areas for fieldl visits
Compare pre-crisis conditions with the post-
disaster situation

Human Development Office
National Statistical Institute
Line Ministries
Socio-economic studies, surveys or
technical studies undertaken by
government, UN agencies, Universities,
etc
National or regional census

Contingency plans

Become familiar with the plan as agreed by all
agencies, the protocols, management
arrangements and preparedness actions developed
Activate the plan as necessary
Make use of the instruments, data, maps and other
outputs already compiled or developed for the plan

UNCT
UNETE
UNDP

Historical data on
countrys disasters,
and hazard/risk maps

Understand other similar disasters that have taken
place in the country, including any lessons learned
Compare the impact of previous events with the
current disaster
Make use of the data and maps already available to
facilitate the assessment and planning

EM/DAT Database
DesInventar Database
Government databases
National offices for risk reduction
Line Ministries

Baseline Data
Purpose
Type & Sources of Information Introduction
Secondary Data for Baseline & Vulnerability Analysis

20

The collection and analysis of secondary data on damages
and needs is the second step in the assessment. It is a key
part of the assessment process and especially for strategic
decision-making.

Typically, the secondary data available during this first
initial phase is incomplete and limited yet it is strategic for
deciding on future actions and priorities.

The analysis of secondary data on damages and needs is
necessary to achieve the following assessment objectives:

Determine the general impact of the disaster on the
country, including the scale of the emergency.
Identify the most affected sectors through multi-
sectoral analysis
Identify the most affected geographic areas
Identify the most urgent needs
Determine if and what type of initial response may
be needed
Identify the information gaps that will need to be
filled

The analysis of secondary data on damages and needs is
strategic for determining the following key programming
decisions:

The initial response: the data informs priority actions for
the first line of early recovery response, which is
integrated into the initial funding instruments.

Resource mobilization: including the first response actions
into the Flash Appeal, CERF, TRAC and other available
funding mechanisms.

Identify follow-up actions: having a global overview of
damages and needs and of the first response activities
enables the team to determine the follow-up actions that
are necessary in the recovery process, such as
government assistance, additional technical support,
follow-up missions, among others.

Needs assessment: the fist situational analysis will help to
determine if a full needs assessment required, its purpose
and characteristics, sectoral & geographic priorities, etc.

Generally the data generated by governments and the
international community in emergency situations is
related to humanitarian needs. These are collected by
national authorities and later processed by OCHA and its
UNDAC team, including the development of situation
maps. Similarly other UN agencies use government data
relevant to their sectoral mandates.

Only some of the available data relates to early recovery
and these need to be complemented by additional
quantitative data as well as qualitative information
resulting from field visits in order to obtain a more
complete picture of needs.

The following table summarises the types of information
(secondary data) that can be collected during the
assessment as well as the possible information sources.
Objectives
Data on Global Damages & Needs
The Programming Use of Secondary
Data
Types and Sources of Information
Secondary Data for the Global Analysis of Damages & Needs

21
.

Table on Types and Sources of information (secondary Data) for a Global Analysis of Needs

Types of
Information
Specific Data Information Sources
General emergency
situation
Geographic areas affected
Affected population
Displaced population
Population in shelters
Demographic characteristics of
affected population
Mortality and disappeared
General sectoral impact
Civil Defense
Government Centres of Operations
Media reports (AlertNet)
Line Ministries
Local authorities
UN agencies
UNDAC
OCHA RELIEFWEB
REDHUM (RED HUMANITARIA DE INFORMACION PARA
AMERICA LATINA Y EL CARIBE)
National and International Red Cross
National and international NGOs
Situation Maps Similar to previous section, depending
on availability of data
OCHA UNDAC (MapAction)
MAPS FROM REDHUM
MAP CENTER IN RELIEFWEB
MAPACTION
MAP CATALOGUE, ALERTNET
UNOSAT
RESPOND SERVICES RESPONDING TO HUMANITARIAN
RELIEF, DISASTER REDUCTION AND RECONSTRUCTION

Local economy and
non-agricultural
livelihoods
Large & medium sized companies
Micro-enterprises affected locally
(Note: generally an assessment of
livelihood needs depends primarily on
qualitative informaiton collected
during field visits)
Banks providing small loans to microenterprises
Other loan providers
ILO, CEPAL
Environment Impact on natural resources in
affected areas, forests, biodiversity,
etc.
Ministry of the Environment and/or Natural Resources
Ministry of Agriculture
UNEP
Minor Infrastructure
(minor access roads,
education, health,
water & sanitation)
Partial and total damage on local roads
and acess areas, education centres,
health services, water systems and
sources, and sanitation facilities
Ministry of Education
Ministry of Public Works
Ministry of Health, Clinics and hospitals
UNICEF, WHO, UNFPA, CEPAL, World Bank
Land and property Number of homes partially and totally
destroyed
Disaggregated by province and
municipality
Ministry of Housing
UN-HABITAT, IOM
Red Cross

Secondary Data for the Global Analysis of Damages & Needs

22

The collection and processing of quantitative secondary data facilitates multi-sectoral and inter-territorial analysis to determine the sectors and geographic areas most affected. The following
table below provides an example that identifies the 3 municipalities most affected by sector (red=most affected, orange=second most affected, yellow= third most affected).

Multi-sectoral Analysis: in the example it is possible to compare the various sectors to determine which has been most or least affected. In this case, water facilities have been the most affected
of all of all minor infrastructure, with 149 facilities affected, compared to 66 education centres, 80 health facilities and 46 sanitation services.

Inter-territorial Analysis: the processing of data allows comparisons to be made between geographic areas (provinces and municipalities). In this example, the impact on minor infrastructure was
greatest in province 1. However, the opposite is true in housing and micro-enterprises where province 2 was the most affected.

Priorities: although priorities are determined on the basis of a number of factors, including the analysis of capacity, it is possible to obtain some preliminary indication of priorities with secondary
data. From a global perspective, the example below allows the assessment to conclude that housing and livelihoods (micro-enterprises) have been significantly affected, especially in province 2.

Table: Example of Secondary Data Consolidated for the Global Analysis of Needs
Dao
total
Dao
parcial
Suma
total
Dao
total
Dao
parcial
Suma
total
Dao
total
Dao
parcial
Suma
total
Dao
total
Dao
parcial
Suma
total
Comercio Produccin Servicios Total acervo
Dao
total
Dao
parcial
Suma
total
1 a 5 5 10 6 2 8 16 7 23 2 0
2 457321 231464 122900 811,685
450 452
902
b 3 1 4 3 1 4 28 14 44 3 3
6 234456 98546 34253 367,255
218 102
320
c 7 5 12 13 5 18 9 3 12 4 6
10 310980 87324 28980 427,284
123 167
290
d 4 4 8 6 4 10 20 17 37 3 2
5 510776 195634 110230 816,640
698 645
1343
e 3 3 6 9 5 14 4 6 10 4 4
8 389565 179603 99300 668,468
440 1125
1565
f 0 2 2 1 0 1 17 4 21 0 4
4 254090 788400 309550 1,352,040
98 158
256
g 2 7 9 2 3 5 13 15 28 1 2
3 189980 47998 21500 259,478
544 446
990
subtotal 24 27 51 40 20 60 107 66 175 17 21 38 2347168 1628969 726713 4,702,850 2571 3095 5666
2 a 5 3 8 0 3 3 3 6 9 1 2 3 1800600 214602 98000 2,113,202 1768 676 2444
b 1 3 4 2 3 5 1 3 4 0 2 2 2342569 678980 134562 3,156,111 654 1426 2080
c 0 1 1 1 5 6 1 4 5 0 0
0 977560 455362 219899 1,652,821
1200 1789
2989
d 2 0 2 2 4 6 0 1 1 2 1
3 5780541 2896459 1778098 10,455,098
2780 2876
5656
subtotal 8 7 15 5 15 20 5 14 19 3 5 8 10901270 4245403 2230559 17,377,232 6402 6767 13169
TOTAL 32 34 66 45 35 80 112 80 194 20 26 46 13248438 5874372 2957272 22,080,082 8973 9862 18835
Impacto en las Microempresas (US$)
Medios de Vida Sector Infraestructura Menor (Educacion, Salud, Agua y Saneamiento) Zona Geografica
Impacto en la Vivienda
Vivienda
Provincia Municipio
Sub-sector Educativo Sub-sector Salud Sub-sector Agua Sub-sector Saneamiento

Consolidation & Analysis of Data
Secondary Data for the Global Analysis of Needs

23

7. CAPACITY ANALYSIS

24

This module covers the key elements required to assess the capacity for response of the
international community, the government and communities, all of which are necessary
considerations to determine early recovery needs and potential responses.

This first section covers interagency capacity in relation to two main areas relevant to early
recovery:

Interagency Sectoral Capacity
Interagency Coordination Capacity

The first step is to identify the main stakeholders present in the country who are providing
humanitarian and early recovery assistance, including the government, United Nations
agencies, International Financial Institutions, donors, international and national NGOs. The
following table is an example to present results by cluster or sector, but can be modified as
required:

Governance Education Land &
Property
Health Water and
Sanitation

Planning and
Coordination
Infrastructure Livelihoods Agriculture and
Fishing
Environment

Once key stakeholders have been identified it is necessary to map their capacity in terms of
the sectoral programmes being implemented or those that are planned for future
implementation. It is advisable for this process to emphasize with the agencies the
continuum between humanitarian and early recovery actions.

The following table can be used as an example to document inter-agency capacities,
circulating a similar version to each agency for their completion.

Local Economy & Livelihoods
Humanitarian Aid Early Recovery
Agency Project
Type
Geographic
Zone
Funds No. of
Beneficiaries
Project
Type
Geographic
Zone
Funds No. of
Beneficiaries

Water and Sanitation
Humanitarian Aid Early Recovery
Agency Project
Type
Geographic
Zone
Funds No. of
Beneficiaries
Project
Type
Geographic
Zone
Funds No. of
Beneficiaries

Humanitarian
Aid
Early Recovery
Inter-Agency Sectoral Capacity
Stakeholder Analysis
Inter-Agency Capacity
Introduction

25
Later the information gathered can be geo-referenced to produce a capacity map, as in the
following example:

In addition to inter-agency capacities in sectoral terms, there are other important capacity
considerations that can contribute to the coordination of early recovery, mostly to form
strategic alliances or to further joint initiatives.
One of the primary responsibilities of the Early Recovery Cluster is to ensure coordination,
both with government and at the interagency level, and this process begins with the needs
assessment.
The following table indicates the main categories for assessing potential collaboration
opportunities:

Joint coordination
center or office
Interagency
information
management
system
Joint territorial and
sectoral prioritization
Interagency
monitoring
mechanism
Joint advocacy on
early recovery
Joint support to
government in
planning &
coordination
Harmonization of
programmes
Share resources
(human, technical,
equipment, offices)
Joint resource
mobilization

In relation to the above main categories of collaboration, the following checklist presents
some considerations to assess capacities that can determine potential inter-agency
coordination opportunities:
Comparative advantages of each agency
Strategic priorities that can be jointly shared
Opportunities to maximize impact with existing resources
Strong alliances that can be tapped between an agency and key counterparts
Ability to influence decision-making
Geographical presence in the field (offices, field offices, human resources, projects)
Technical expertise
Logistics capacity (transportation, warehousing)
Methodologies (sectoral assessment, etc.)
The collective strength of the UN in the country
Technical areas or sectors where agencies can strategically contribute
The resources that agencies can contribute (office, equipping, human resources and
technical assistance)
Lessons learned from other inter-agency collaboration processes

Inter-Agency Coordination Capacity
Inter-Agency Capacity

26

This section refers to government capacity, including
governance in relation to the preparation and
implementation of a national or local early recovery
framework or plan as well as to implement sectoral
programmes with other line ministries or secretariats.

The strengthening of governance is essential to maintain
and/or rebuild national institutions affected by disasters,
to increase and strengthen the governments response
capacity and to empower and ensure national ownership
of the recovery process.

Therefore, it is necessary to identify government
resources and needs nationally and locally, that is, to
determine its capacity to channel assistance in early
recovery and to effectively exercise its role. In the
process consensus is built as the basis for collaboration,
on the how, where and who does what in the countrys
recovery, and on the support that can be provided.

There are three types of government counterparts:

Ministry of Economy and/or Planning
Local authorities (governors, mayors)
Line ministries

At the national level it is necessary to identify a
government partner to lead recovery planning,
implementation and coordination (multi-sectoral and
inter-institutional). Typically this will be the Ministry of
the Economy and Planning although in some cases it may
be necessary to identify another government entity that
can play this role, for example the Office of the
Presidency.
At the local level (municipal, provincial o regional, as the
case may be), the assessment can identify the most
appropriate government body to prepare and implement
the local recovery plan. This may include mayors,
governors, local development associations or other
government entities present in the area.

To support sectoral early recovery, government
counterparts will include the relevant line ministry, both
at the national and local levels.

The objective is to provide assistance and support to
governments to strengthen their capacity to plan,
implement, manage and coordinate the countrys early
recovery.

In general, as shown below, there are 4 broad categories
of assistance relating to governance that can be used as a
reference to guide the needs assessment:

Sectoral early
recovery (livelihoods,
minor infrastructure,
etc)
Coordination,
planning &
implementation of
national & local early
recovery
National
management of
financial resources
for ER (receipt &
expenditures)
Public policies,
legislation, norms
and procedures on
ER

The following needs can be identified in order to define
the support required to strengthen governance and the
national response capacity:

Human
resources
Infrastructure
(repair or
establish
offices / sub-
offices)
Equipment
(computers,
furniture, etc.)
Capacity
building
training
Specialized
technical
assistance
Services
(electricity,
etc.)
Financial
resources
Systems &
procedures
(SOPs, guidelines,
etc)

Governance: Government Needs and Capacity
Introduction
Government Counterparts
Main Categories of Governance
Assistance
Basic Principles
Secure the highest level of political
commitment from the government and UN
agencies during the assessment phase.

Ensure national ownership in early recovery
to maximize success and sustainability.

The needs assessment and capacity analysis
must be a consultative and agreed process.

Identify opportunities to strengthen existing
capacities and mechanisms prior to creating
new structures.
Resource Needs to Support Governance

27

Below are some indicators and considerations to take into account when assessing the national or local capacity of the government and the needs to strengthen this capacity. These indicators are
organized into 4 categories, as shown in the table below.

General Impact of the Disaster
Extent of the damages caused by the disaster on the
government, its institutions, infrastructure,
equipment, human resources, projects, etc.

Challenges currently faced in responding to the
disaster and the needs of the population affected.

Political Scenario and Context
Determine the polical climate in the country
Identify key political events such as upcoming
elections that may influence early recovery
Determie the level of political commitment to early
recovery
Identify the level of participation at the highest
political levels
Assess the level of exchange and coordination at the
inter-ministerial level
Institutional Capacity
Existence of public policies, legislation and normative
guidelines on early recovery
Existing mechanisms for early recovery coordination
and planning
Mechanisms for mobilizing financial resources, for
budgeting and managing funds for early recovery
Decentralized mechanisms and institutional linkages
with local authorities and communities to plan and
implement early recovery services and projects.
Knowledge of the basic principles of early recovery
Knowledge of the basic principles and mechanisms for
integrating risk reduction into early recovery.

Organizational Capacity
Existence of systems for information management,
to monitor implementation or expenditures.
Additional human resource requirements in key
areas (management, coordination, technical)
Specialized technical assistance required.
Financial resources needed
Infrastructure (offices), equipment (furnishings,
computers, software, etc) and services (electricity,
pone, etc)
Manuals, guidelines, procedures, etc. on early
recovery

Capacity Indicators
Governance: Government Needs and Capacity

28

In addition to the identification of inter-agency and
government capacities, the assessment also determines
during field visits the capacity of communities affected.
Specifically it is about identifying the following capacities:

Local organizations present in the affected areas as
well as their mechanisms and activities to respond to
the crisis, with the purpose of identifying possible
partners and mechanisms for local participation.

The populations coping strategies, especially to
support and strengthen positive coping strategies.

The following are possible organizations that can be
identified. Consider community, municipal or
provincial/state level organizations.

Organization of community leaders
Women associations or other groups
Emergency committee
Red Cross Volunteers
Micro-enterprise cooperatives
Farmers cooperatives
Banks or other organizations that provide credit
Political organizations
Other organizations affiliated to national or
international NGOs

Coping strategies refer to the short-term responses of
people and communities to cope with the crisis, including
alternative activities to generate income and ensure
survival. These may be positive strategies that effectively
alleviate the situation and which can be strengthened by
early recovery projects. In some cases coping strategies
can have a negative impact, for example when they
contribute to the erosion of valuable assets or increase
levels of poverty.

The assessment can identify the coping mechanisms that
the population is using to satisfy their basic needs, that is,
their survival strategies to procure food, clothes, income,
etc. The following are some examples of coping strategies
that can be considered in the assessment, among others:

Migration of some family members to other
geographic (rural, urban, semi-urban)
Sale of livestock (pigs, cows, chickens and other
animals)
Sale of household belongings (furniture, clothes,
utensils etc.)
Consumption of commercial crops
Consumption of seeds normally used for
planting/cultivation
Reduction in food consumption
Living with relatives, friends or neighbours
Removal of children from school
Other temporary jobs or informal businesses
Buying food or other essential items on credit at local
stores
Loans/indebtedness (with relatives, neighbours,
friends, creditors or lenders)
Remittances
Prostitution (in severe cases)
Others

Community Capacity
Introduction
Local Organizations
Coping Strategies

29

8. MODULES TO ASSESS IN THE FIELD
BY CLUSTER

30

Families generally participate in diverse economic
activities and divide work among family members to
generate the necessary income to meet their basic needs.
It is necessary that the diverse livelihoods of the affected
population be assessed in order to obtain a global vision
of the impact of the disaster on the local economy.
This module includes a checklist of indicators that can be
used as a reference for assessing some of the more
common types of economic activities. The indicators
represent suggestions for the types of questions or issues
to take into account while conducting focus group
discussions or interviews relating to livelihoods.
Note: the module addresses non-agricultural livelihoods
since FAO will typically assess needs in this sector.

For assessing the local economy and livelihoods the
assessment can consult local shopkeepers, owners of
micro-enterprises or medium-sized businesses, banks
providing credit to small businesses, cooperatives and
other local associations, civil society organizations, local
authorities and the community in general.

As a first step it is necessary to identify the main
livelihoods and sources of income of the affected
population in the areas being assessed, including those of
women, men, young people, and the elderly.
Interview key informants, local authorities and the
population in general to identify the main economic
activities, using the following 4 broad categories of
economic activity: commerce, employment (wage labour),
fisheries and patio economy.

The following key questions may serve to obtain an
overview of the local economy prior to and after the
disaster, and to assess the comparative impact on the
various livelihood activities:

In normal times, what are the main economic
activities of the population in the zone
What has been the general impact of the disaster on
the local economy: consider all income generating
activities in the area and local markets.
Which are womens economic activities and what has
been the impact of the disaster on these
Impact on local industries or large companies
employing the local population
The effect on micro-enterprises
Impact on fishing and livestock or cattle farming
Others areas of the economy that have been affected
(local markets, transportation, warehouses, etc)
What population groups have been most affected (by
occupation, gender, socioeconomic status, age)
What are the main priorities for the recovery of the
local economy, especially in the short and medium
term.

Based on the results obtained on the main livelihood
activities, perform interviews with focus groups or key
informants to assess in more detail. Below are the
checklists of indicators that can be used as a reference to
guide the interviews and discussions per type of livelihood
or economic activity:

Document the main commercial activities during
normal times in the area, including formal and
informal micro-enterprises and medium-sized
businesses
Type of impact on the above businesses
Level of damage (low, medium, high, total
destruction) by type of commercial activity
Number & proportion of female-owned businesses
affected
Number & proportion of male-owned businesses
affected
Number & proportion of all businesses affected &
destroyed

Normal sources of employment for men
Normal sources of employment for women
Main employers (companies, industries, farms,
others)
Calculate average salary for men and women
Geographic location of employment
General impact on industries employing women and
men
Number & proportion of women and men that have
become unemployed by type of employment

Introduction
Global View of the Local Economy

Livelihood Checklist

Commerce (formal, informal, micro-enterprises and
medium-sized businesses)

Employment (wage labor)

Early Recovery Cluster: Local Economy & Livelihoods
Sources of Information

Fisheries
Commerce

Patio
Economy

Employment

Livelihoods

31

Main fishing activities in normal times
Type of fish or shellfish harvested
Number & proportion of population devoted to
fishing
Average fishermen income (daily, weekly or monthly)
in normal times
Type of impact on fishing activities (damage to
equipment, inventory, reserves, etc)
Level of damage (low, medium, high, total)
Number & proportion of the fishing population
affected by the disaster
What role do women play in the fishing industry and
how have they been affected

Types of animals raised in the patio during normal
times (chickens, ducks, roosters, pigs, etc.)
Main use (consumption, trade or sale)
Impact of the disaster on these (disease, death, etc)
Percentage loss of animals
Main garden crops cultivated in the patio in normal
times (vegetables, spices, fruits, nurseries, seed
banks, etc)
Type of impact on these garden crops
Percentage loss of garden crops
Average income (daily/weekly) derived from the
garden economy in normal times

In addition to assessing the above economic activities,
local markets can also be included in the assessment and
field observation to obtain complementary information
on the level of impact on basic needs and food security
resulting from income loss. Consult with local shop
owners, micro-businesswomen, farmers, transportation
companies, etc. to assess the following:

Basic food and essential household goods now
available and those not available in local markets.
Way in which the disaster has impacted local markets
and basic food supply (impact on shops,
transportation, access roads)
Identify changes in prices for basic staples before and
after the disaster

Field visits and interviews with key informants may also
serve to identify the key stakeholders who are providing
assistance at the local level in the livelihood sector, and to
establish potential collaboration and partnerships to
strengthen livelihood recovery. Below are some
considerations to keep in mind:

Other assessments conducted in the livelihood
sector, their analysis and results

Stakeholders in the area that work in the livelihood
sector (government, national and international
NGOs, etc.) and that could be potential
implementing partners.

Identify programs or projects that are being
implemented or planned in livelihood recovery.

The Field Card in the following page can be used to collect
information from interviews and focal group discussions
when assessing the livelihood sector.

Patio Economy

Markets
Fishing


Response Capacity

32
Field Card: Assessment of Livelihoods
General description of the disasters impact n the local economy and livelihoods:

Situation Before the Disaster Post Disaster Situation

Indicate Main Economic Activities and
Livelihoods During Normal Times

Average Income in
Normal Times
(Daily or Weekly)

Level of Impact

Population Affected
-Number-

Observations
Men Women Men Women Low
(5-20%)
Medium
(20-50%)
High
(50-80%)
Total
(80-
100%)
Men Women
Micro-enterprises

Type 1
Type 2
Type 3
Type 4
Medium-sized
enterprises

Type 1
Type 2
Type 3
Type 4
Employment (wage
labor)

Type 1
Type 2
Type 3
Patio economy
Crop 1
Crop 2
Crop 3
Animal 1
Animal 2
Animal 3
Fishing

Type 1
Type 2
Type 3
Type 4

33
Other

Local Capacity
Positive coping strategies
Negative coping strategies
Suggestions for local economic recovery:
Current and planned projects in livelihood
recovery (governmental and non-
governmental)
Organization Types of Projects Location of Projects No of Beneficiaries

Possible local partners to implement
livelihood recovery projects

34

The environment is a specialized sector that requires
diverse specialists to perform an effective assessment.
This module presents some general considerations that
may be taken into account to gain a general impression of
the possible impact of the disaster on the environment
and natural resources, as well as to identify additional
needs or priorities for a more in-depth future assessment
with specialists.

The Ministry of Environment or Natural Resources, UNEP,
local NGOs, civil society groups, and affected communities
may be considered as sources of information during the
assessment. Aerial photographs and satellite images may
also prove useful for assessing the impact of the disaster
on the environment from a sub-regional perspective.

Below are some indicators that may be useful for
obtaining a global view of the environmental impact of
the disaster:

Evidence of environmental degradation that may
have contributed to the disaster.
Geographic scope of the impact
Other threats, e.g. vulnerable industrial
infrastructure, chemicals or other similar facilities
Secondary risks that may be identified, e.g. more
landslides or erosion.

Natural disasters can have diverse effects on the
environment. The following are some examples that can
serve as a guide to assess the environmental impact:

Loss or damage on vegetation cover
Damage to the natural habitat of wildlife
Loss of biodiversity
Loss of forests and jungle
Loss of ecosystems
Loss of seed banks
Loss of nurseries
Soil erosion
Damage to river banks
Contamination of underground waters (mud, salt
water, waste water)
Contamination of agricultural soil (salt or sewage
water)
Sedimentation of streets, communities, agricultural
areas, forests, etc.
Accumulation of waste and debris
Damage to coral reefs and other natural coastal
defence mechanisms
Loss of coastal forests and plantations
Coastal erosion
Maritime pollution (debris, waste water, etc.)

In some cases, coping strategies, infrastructure repairs
and other reconstruction activities may have a negative
impact on the environment. Some considerations to be
taken into account include:

Excess demand for housing construction materials
Unsustainable use of energy sources
Unsustainable use of natural resources for
construction and fuel
Deforestation
Population coping activities or strategies that have a
negative impact on the environment, e.g. waste
disposal, sanitation practices
Positive coping mechanisms of the affected
population that may be strengthened to protect the
environment and natural resources.

Natural resources that will have a high demand in
early recovery, their sustainability, and available
alternatives.

serve to identify possible collaboration and partnerships
to strengthen environmental recovery. Below are some

Stakeholders in the area that work in the
environmental sector (government, NGOs, etc.)
Environmental impact assessments that have been
carried out or are being planned by government
authorities, UNEP or other institutions.
Identify programs or projects that will be
implemented to recover the environment and
promote sustainable practices.
Identify the needs of the Ministry of the Environment
to implement environmental recovery
Identify technical assistance that may be provided to
strengthen environmental recovery.

when assessing the environmental sector.


Checklist of Indicators

Introduction

Possible Damages Associated with
Reconstruction Activities
Response Capacity

Early Recovery Cluster: The Environment
Global Sectoral View

35
Field Card: Assessment of the Local Environment
Name of Assessment Team Member: Assessment Location (community, municipality,
province):
Date: Organization:
Damages and Needs
General disaster impact on the local environment:

Type of Impact
Level of Impact
Area/Zone

Observations Low Medium High Total
Sedimentation of streets and communities
Sedimentation of agricultural areas
Accumulation of debris and garbage
Contamination of underground water (mud, salinity, residual
water)

Contamination of agricultural land (salinity, residual water)
Maritime pollution (residual water, waste, etc.)
Soil erosion
Deforestation
Other
Damage to Natural Resources
Local forests
Vegetative cover
Seed banks
Nurseries
Biodiversity
Ecosystems
Coral reefs
Coastal plantations
Mangroves
Other
Collateral Damage from Reconstruction
Demand for forest products for construction
Unsustainable use of forest products for fuel
Coping strategies that negatively impact on the local environment
(sanitation practices, waste disposal, garbage disposal, etc)

Coping strategies that have a positive impact on the environment
Local Capacity
Current and planned environmental recovery projects
(governmental and non-governmental)
Organization Type of project Location of project

Possible local partners for implementing environmental projects
Identify the challenges & needs of the local office of the Ministry
of Environment

Early Recovery Cluster: The Environment

36

This module provides some guidance and indicators for
evaluating needs associated with land and property. Risk
reduction considerations are also included given its close
link with land & environmental damages and property
reconstruction.

Consult with the Ministry of Housing, Ministry of Public
Works, UN-Habitat, and IOM, temporary shelters, local
authorities, local NGOs, and affected communities. Also if
available consult aerial photographs or satellite images to
get a wider perspective of the damages on housing and
other infrastructure.

The first interviews and field observation should aim at
obtaining a global view of the disaster impact on land and
property, documenting some of the following
information:
Nature of disaster impact on land and property (river
bank erosion, flood waters, heavy sedimentation)
from a wider perspective.
Locations where land and property were completely
destroyed and the causes
Nature of the disaster impact on housing in
particular.
General level of impact on land and property (low,
medium, high, total)

Collect the following information through consultations,
interviews and observation, to determine damages and
needs for housing recovery. As much as possible the
information should be quantitative:

Number and proportion of population left homeless.
Number and proportion of houses that have been
damaged and their level of destruction (low,
medium, high, total).
Number of single mothers, widows, elderly and
disabled without housing.
Identify the average type of land and home
ownership in the area (landowner, owner, lessee,
illegal occupation, other)
Identify other damages related to the dwelling, such
as water, electricity, heating, and sanitation services.
Identify damage to or loss of furniture and other
essential household goods (kitchen utensils,
mattresses, clothes, blankets, cooking fuel, etc.)
Obstacles for the affected population to access their
dwellings and communities (distance, access to
roads, security, financial, others) and possible
solutions.
Number & proportion of the population living in
official shelters, and number & proportion living
under other circumstances (neighbours, family, etc)
Identify the main concerns of the homeless
population, possible disputes on access to land and
housing, relocation plans, politically sensitive issues,
etc.

These are some important considerations that need to be
taken into account to identify risks, to determine the
sustainability of the current situation, and identify
recovery options in the housing sector:

The post-disaster condition of the land and
environment where homes were destroyed or
damaged
Identify the risks to rebuilding in the same areas, and
determine if the same area is adequate for
sustainable housing reconstruction.
Condition of the land and environment where the
current homeless population resides, identifying the
risks to determine if these new locations are
adequate for sustainable housing reconstruction.
Determine the need for relocating the homeless
population, and explore potential locations for
sustainable home reconstruction.

The team should also consider the following to assess the
response capacity in the housing sector, to determine
possible actions and partnerships.

Identify organizations that have actions or plans for
rebuilding homes.
Identify government actions or plans for relocating
the homeless and assess if these areas are
sustainable.
Identify potential partners for housing recovery.
when assessing the land and property sector.
Indicators Checklist


Risk Reduction

Response Capacity

Early Recovery Cluster: Land and Property
Introduction


37
Field Card: Assessment of Land and Property

Name of Assessment Team
Member:
Assessment Location (community, municipality, province): Organization: Date:
Damages and Needs
General disaster impact on land and property in the area:

Number of homes affected, by
level of damage
Low (5-20%) Medium (20-50%) High (50-80%) Total Destruction

Population affected, by category Homeless Affected by Partial Damage Officially in shelters Not in shelters

Vulnerable population groups
(homeless & partially affected)
Single mothers Widows Elderly Disabled

Average type of land tenure
(ownership, rental, lease, other)

Main concerns of the affected
population (land ownership,
land titles, relocation plans,
politically sensitive issues, etc)

Main priorities of the population
and suggestions for housing
recovery

Condition of land where homes
were previously located and
potential risks associated with
rebuilding in these same areas

Current sites identified by
government for relocation and
any potential risks or concerns
with the area

Local Capacity
Current and planned housing
recovery projects (governmental
and non-governmental)
Organization No of houses planned Location of projects No of beneficiaries

Possible partners for
implementing housing recovery

Early Recovery Cluster: Land and Property

38

The module provides some guidance and indicators to
help assess early recovery needs in the water and
sanitation cluster.

Consult with the Ministry of Health, Ministry of Public
Works, WHO, UNICEF, Oxfam, civil society groups, local
authorities and affected communities.

To assess early recovery needs in the water and sanitation
cluster it is necessary to consider 4 main components:
local water & sanitation infrastructure, equipment,
human resources, and estimate of population affected in
this sector.

With respect to the water sector, consider potable water
for consumption, for cooking, for domestic use, and for
personal hygiene. Also consider the quality and quantity
of water available.

Main sources of water supply before the disaster
(wells, municipal, natural springs, rainwater, etc)

Number & proportion of water sources by location
that have suffered damages to their physical
infrastructure and determine the level of damage
(low, medium, high, total).

Proportion of the population that has no access to
water

Identify especially vulnerable population groups
without access to potable water (single mothers,
widows, pregnant women, elderly), the causes and
possible solutions.

Identify alternate (current) water supply sources
(rivers, springs, rainwater collection, water purchase,
etc.)

Identify obstacles to the affected populations access
to water (distance, access to roads, security,
financial, others) and possible solutions.

Identify family members that currently collect and
transport water from the source to the household or
shelter, and determine the distance between the
current water source and the household (should not
be greater than 500m walking distance)

Identify and quantify the needs for materials to
collect, transport and store water.

Are the current water sources and extraction levels
sustainable? What damages may be caused by the
continuous use of the current sources?

Identify the main sanitation systems used before the
disaster (private or community latrines or
bathrooms, septic tanks, etc).

Number & proportion of sanitation services (by
location) that have suffered damages to their
physical infrastructure and determine the level of
damage (low, medium, high, total).

Number & proportion of the population without
access to sanitation services (include population in
shelters and in communities).

Identify especially vulnerable populations without
access to sanitation facilities (single mothers,
widows, pregnant women, elderly), the causes and
possible solutions.

Identify the current sanitation facilities or practices
being used by the affected population.

Determine if there are sufficient sanitation facilities
for the population (must not be more than 20
persons per latrine or toilet)

Identify obstacles faced by the affected population to
access sanitation facilities (distance, access to roads,
security, financial, others) and possible solutions.

Determine the distance between sanitation facilities
and households or shelters (should not be greater
than 50m walking distance).

Are the current sanitation practices sustainable?
What negative effect can these have on the
populations health, on the environment?

when assessing the WASH cluster.
Water and Sanitation Cluster
Introduction Checklist of Indicators: Water

Checklist of Indicators: Sanitation


Infrastructure

Equipment
Human
Resources
Population
Affected
Water & Sanitation

39
Field Card: Early Recovery Assessment of WASH Cluster
Name of Assessment Team Member:

Organization: Assessment Location: Date:
Damages and Needs
General disaster impact on water and sanitation facilities in the area:

Number and type of water sources used prior to the disaster Wells
(community
/household)
Municipal Superficial
(rivers, springs)
Purchased Other

Number of water sources with total damage, by type

Number of water sources with partial destruction (5-80% damage), by
type

Population without access to water, total and by vulnerable group Single mothers Widows Elderly Disabled Total

Current alternative water sources used by affected population
Members of the family responsible for water collection
Distance (meters) between water source and household
Number and type of sanitation infrastructure used prior to the
disaster
Latrines Septic tanks Household
bathrooms
Sewers Other

Number of sanitation systems completely damaged, by type
Number of sanitation systems with partial damage (5-80% damage) by
type

Population without access to sanitation services, total and by
vulnerable group
Single mothers Widows Elderly Disabled Total

Current alternate sanitation services used by affected population
Determine if there are enough sanitation facilities for the affected
population (should be 20 people per latrine or bathroom)

Are current sanitation practices sustainable? What impact can
current practices have on health and the local environment?

Local Capacity
Current and planned recovery projects in the watsan sector
Organization No of water and
sanitation facilities
planned
Location of projects No of
beneficiaries

Possible partners for implementing watsan recovery

Water and Sanitation Cluster

40

help assess early recovery needs in the health cluster

Consult with the Ministry of Health, Ministry of Public
Works, WHO, local doctors, nurses and other health
workers, civil society groups, local authorities and
affected communities.

To assess early recovery needs in the health cluster it is
necessary to consider 4 main components: local water &
sanitation infrastructure, equipment, human resources,
and estimate of population affected in this sector.

Identify health centers available before the disaster
(clinics, hospitals, mother-child health centers,
reproductive health centers, others).

Number & proportion of health centers (by location)
that have suffered damages to their physical
infrastructure and determine the level of damage
(low, medium, high, total).

Identify other damages related to health facilities,
such as loss in medical equipment and type, water
supply, electricity, heating and sanitation services.
Identify the impact on the human resources of health
facilities (nurses, doctors, technicians, etc).
Number and proportion of local population without
access to health services

Identify especially vulnerable population groups
without access to health services (ill people, disabled,
single mothers, widows, pregnant women, elderly),
the causes and possible solutions.

Identify obstacles to peoples access to health
services (distance, access to roads, security, financial,
others) and possible solutions.
Identify the most urgent health problems reported
by the population and the health centers.

assistance at the local level in the health sector, and to
strengthen health recovery. Below are some

Stakeholders in the area that work in the health

Other assessments conducted in the health sector

implemented to recover the health sector.

Identify the needs of the Ministry of Health to
implement health recovery & the technical
assistance that may be provided.

when assessing the health cluster.

Health Cluster
Introduction
Infrastructure

Equipment
Human
Resources
Population
Affected
Health
Response Capacity

41

Field Card: Early Recovery Assessment of Health Cluster

Damages and Needs
General disaster impact on health facilities in the area:

Number and type of health facilities used in normal times Hospitals Clinics Community
Centers
Centers for
Maternal-child
care
Other

Number of health centers with total destruction, by type
Number of health facilities with partial damage (5-80% damage) by
type

Identify additional health equipment that has been damaged or lost
(medical equipment, vehicles, etc), number and type

Identify the type of impact the disaster had on the human resources
of health facilities, and any associated needs

Number of people without access to health services, total and by
vulnerable group
Single mothers
and widows
Sick or disabled Elderly Pregnant women Total

Identify the most urgent health problems reported by the population
and by health personnel

Average distance (meters) from health centers to household
Local Capacity
Current and planned health recovery projects in the area
Organization Type of projects Location of
project
No of beneficiaries

Possible local partners in the area for implementing health recovery
projects

Health Cluster

42

help assess early recovery needs in the education cluster.

Consult with the Ministry of Education, Ministry of Public
Works, UNICEF, local teachers, civil society groups, local
authorities and affected communities.

To assess early recovery needs in the education cluster it
is necessary to consider 4 main components: local water
& sanitation infrastructure, equipment, human resources,
and estimate of population affected in this sector.

In the education sector, consider primary and secondary
schools, pre-school facilities and training centres.

Identify main education centers available before the
disaster.

Number and proportion of education centers (by
location) that have suffered damages to their
physical infrastructure and determine the level of
damage (low, medium, high, total).
Identify other damages related to the infrastructure
of educational centers, such as their water,
electricity, heating, sanitation services.
Identify and quantify other damages to school
equipment, such as furniture and educational
materials.
Identify how teachers and other school personnel
have been affected.
Identify alternate (current) education centers used
by the affected population.

Identify obstacles to students access to education
centres (distance, access to roads, security, financial,
others) and possible solutions.

Number and proportion of students (boys and girls)
that do not attend school due to the impact of the
disaster, the reasons and possible solutions

Identify education centres (number and location)
that are being used as temporary shelters.
Determine the sustainability of the continuous use of
the school centers as shelters. How long is it
estimated that the population will continue to be
sheltered in education centers? What impact will the
continuous use of these have on education?

assistance at the local level in the education sector, and to
strengthen health recovery. Below are some

Stakeholders in the area that work in the education

Other assessments conducted in the education
sector

implemented to recover the education sector.

Identify the needs of the Ministry of Education & the
technical assistance that may be provided.

when assessing the education cluster.

Education Cluster
Response Capacity

Introduction

Infrastructure

Equipment
Human
Resources
Population
Affected
Education

43
Field Card: Early Recovery Assessment of Education Cluster

Damages and Needs
General disaster impact on education facilities in the area:

Number and type of school infrastructure in the area prior to the
disaster
Primary schools Secondary
schools
Pre-school centers Higher and
Vocational
schools
Other

Number of education centers with total damage, by type
Number of education centers with partial destruction, by type
Number of students without access to education as a result of the
disaster, total and by vulnerable group
Pre-school
boys/girls
Children of
single mothers
Disabled
boys/girls
Other Total

Identify other damages related to education centers, such as school
equipment and didactic materials

Identify the effect of the disaster on the human resources of schools
(teachers, etc) and the associated needs

Number and location of education centers used as temporary
shelters

Number and type of alternate education facilities currently used by
student population

Determine the sustainability of the continued use of education
centers as shelters: the estimated time they will operate as shelters,
additional damage to these shelters, etc.

Local Capacity
Current and planned recovery projects in the education sector
Organization No & type of
projects
Location of projects No of beneficiaries

Possible local partners for implementing recovery in the education
sector

Education Cluster

44

Risk Reduction

45

9. METHODOLOGICAL CONSIDERATIONS

46

This module addresses the methodological considerations
required during the field assessment, specifically in
relation to 2 areas:

The geographic selection of areas to assess
The methods for gathering information in the field

Usually it is not possible to assess all the geographic areas
affected due to time constraints and limited human,
financial, and logistical resources. It will likely be
necessary to prioritize the geographic areas for
conducting field visits and for every geographic level such
as provinces, municipalities and communities.

Selection must follow a methodological procedure to
ensure impartiality and be able to make generalizations
that are representative of the situation in all areas
affected. Prior to defining the methodology, the
following considerations could be taken into account
when selecting geographic areas.

Find a balance between focusing on the most
affected areas and on obtaining a global perspective
of all geographic areas affected.

Consider rural, urban and semi-urban areas.

Selection of areas which can be representative of all
affected areas.

Consider the most affected areas in terms of the
sectors of greatest concern. Some areas may have
suffered from a greater impact in the agricultural
sector but less so in minor infrastructure or housing.

Make use of secondary data and interviews in the
capital to feed the decision.

Consider the socio-economic conditions during
normal times to establish priorities. In affected
areas, those with higher levels of poverty are likely to
be the most vulnerable.

The following are two simple methods that can be applied
in selecting areas for the assessment (municipalities,
communities, households):

Random Sampling: it is particularly useful when the zones
are relatively homogeneous, for example,
socioeconomically, and there are no significant
differences amongst the same.

Identify all areas & population affected by the
disaster, that is, define the sample framework.

Make a list of the sites (i.e. municipalities) that are
affected and number these. For example there are a
total of 32 municipalities affected.

Decide on the number of sites (i.e. municipalities)
that can be visited according to the time and
resources available. For example, 8 sites can be
visited for the assessment.

Divide the total number of sites or municipalities by
the number of sites that can be visited. For example,
32 / 8 = 4.

Use the result as an interval to select sites to be
included in the assessment field visits. That is, select
every 4 sites or municipalities from the list.

At the community level, a random sample of households
can also be selected for interviews if the community is
considered relatively homogeneous without significant
differences in population groups, socio-economic or
livelihood activities.

Select the number of households that can be visited
according to the time and the resources available,
generally allowing 30 minutes per interview. For
example, 9 households can be interviewed.

Select a number from 1 to 10, for example 7.
From the center of the community walk in 2, 3 or 4
directions (according to the number of team
members) and select the seventh house in that
direction for the first interview.

Continue to the next seventh house until completing
the nine interviews.

Stratified Sampling: this method is applied when the
affected areas are heterogeneous or significantly
different, such as ethnically or rural and urban areas, etc.).
In this case it becomes necessary to select a sample of
each group in order to ensure that all are represented in
the assessment. This method is applied to make sure that
the diversity of the conditions present in affected areas
are captured in the sample and/or to distinguish different
groups in the population to collect information on them
separately. Generally, for highly heterogeneous zones the
sample needs to be larger than in other cases. Therefore,
with this method it is better to visit and assess more sites
and interview less people, than vice-versa.

In the event that the sample size has to be reduced
because of time constraints and limited resources, it is
important to be careful when drawing conclusions, to
explain the sample selection and criteria used and to state
this in the final report, indicating that the sample is not
representative of the entire population.

At the national, regional, provincial or municipal level, a
stratified sample may be selected using the following two
criteria:

Livelihood groups that are homogeneous because
they share similar economic activities (groups of
farmers, micro-entrepreneurs, etc).

Agro-ecological zones defined by their climate /
micro-climate, land use, or environmental condition
Geographic areas
Selection of Geographic Areas for the Assessment
Considerations for the Selection of
Geographic Areas to Assess
Methods for the Selection of
Geographic Areas
Introduction

47

There are different methods to gather information in the
field during an assessment, each has advantages and
limitations depending on the context and the objectives.
In general, the application of various methods is optimal
to verify and triangulate information. Methods for
information collection includes:

Focus group discussions
Interviews with livelihood groups
Household visits and interviews
Interviews with key informants
Participative observation in the field
Interviews with local authorities

This is an interactive group discussion on a specific issue.
The method is applied to facilitate analysis and
understanding on the issue of interest.

Purpose

Discussions with focus groups can be applied for different
purposes, including:

1. With a heterogeneous group to obtain different
points of view on one issue, for example, on education,
housing and other sectors.
2. With a group that is representative of the
population or community (women, men, youth, the
elderly, etc.) to gather general information on the
situation of their community or municipality.
3. With a homogeneous group that shares certain
common characteristics (gender, socio economic status,
livelihoods) for an in-depth analysis of the issue.

Selection of Participants

The selection of participants in the focus group can be
made in different ways, including:

Selection by community leaders. It works in some
cases but it may generate preferences in participants
and biased results.

Ad hoc. Begin a discussion with some people while
others join spontaneously or voluntarily. It may work
best when time is limited.

Purposive selection by the assessment team, for
example to form a heterogeneous group and acquire
information on the situation in general, or to assure
the representation of the local population.

Selection of key informants, such as teachers,
religious leaders, health workers, etc.

Formation and Facilitation of Focus Groups:

Below are some suggestions for forming focus groups and
facilitating discussions:

Form groups of 5 - 10 people. Each session should
last approximately 1 hour.
Include two facilitators by focus group, one male and
one female.
Organize the discussion in a safe and comfortable
area, preferably forming a circle.
Ensure a balanced representation of women, men,
youth and elderly.
Consider the formation of a focus group formed only
by women to focus the discussion on their specific
situation and needs.
Ensure the representation of families with fewer
resources and of ethnic groups.
Structure the discussion around key questions,
preferably from a previously prepared checklist
Consider various focus groups for different topics of
interest (housing, micro-businesses)
Establish basic rules to respect different points of
view, to have one person speak at a time without
interruptions, mutual respect, etc.

Also consult in this Guide the section on interviews

Methods
Focus Group Discussions
Methods for Information Gathering
Basic principles for information
collection
Direct consultations with the population
affected by the disaster
Consultation with local authorities, to get
official data and a more global vision of the
situation in the zone.
Consider the reliability of the information,
differentiating between facts, opinion
and rumors.
Consider the importance of impartiality,
since each person has a subjective
perspective, it will always be necessary to
reconfirm or verify with others.
Consider a gender perspective, making sure
women are consulted and that their needs
are also reflected in the information
collected.
Ensure that information collected is
representative, by making sure that marginal
and ethnic groups are consulted.

48

Livelihood groups may be formed with participants that
share similar economic or income generating activities,
such as groups of farmers, micro-entrepreneurs, salaried
workers, etc.

It is advisable to form groups for all significant livelihood
activities to ensure a complete analysis of the local
economy and the impact of the disaster on these. The
economy is a strategically important concern for the
assessment, since the lack or reduction of income affects
food safety, health and the general wellbeing of the
families affected.

When the time or the resources are limited, the
assessment team can organize one group that is
representative of all the main economic activities.

Consultations with key informants or discussions with
focus groups can be a useful way of determining the
principal livelihood activities in a given area. When
available, secondary data can also provide information on
the main economic activities.

It is essential to interview key informants and local
authorities to obtain official information on the situation,
complement interviews with the population affected and
cross-reference with others to have an objective analysis
and a global vision of the situation.

This method of information collection can be useful when
there are constraints on time and resources and it is not
possible to organize several focus groups.

Purpose

Interviews with local authorities, mostly representatives
from the different ministries are necessary to obtain the
following information:

Understand the global situation in every sector
Obtain technical information on a given sector
Gather official data on damages
Verify information that is not clear or has been
controversial
Cross-reference information obtained from other
interviews or focus groups.
Understand the impact of the disaster on the
ministry or institution
Collect information on the ministrys humanitarian
and recovery efforts.
Explore possible collaboration with the ministry for
recovery projects.
Obtain suggestions on other potential key informants
or on participants to form focus groups

Types of Key Informants

Key informants are people that have specific knowledge
on a specific issue, they are professionals or local
authorities. The following key informers may be
considered, among others:

Representatives from the different ministries (the
environment, housing, agriculture, water and
sanitation, education, health, infrastructure, etc.)
Governors and mayors
Religious figures
Emergency Committees
Civil Defence
Red Cross
Civil Society Organizations
International NGOs
Teachers
Representatives of women associations
Community leaders
Physicians, nurses, midwives and other healthcare
personnel.

Considerations for Interviews
Whenever possible, interview key informants for
each sector
If time is limited, prioritize interviews relating to key
sectors.
Organize individual interviews or form a group of key
informants if there are time limitations.
Estimate at least 30 minutes per interview
Ensure that key informants include men and women
Structure the discussion around key questions
prepared prior to the interview
Focus the discussion on the sector or area of
specialization of the informant, although he/she may
also be knowledgeable of other general issues.

Visits to households in the affected zones are essential in
an assessment. They provide the opportunity to speak to
family members and also to observe the impact of the
disaster on living conditions.

Considerations

Identify households through random or stratified
sampling, and take into account the following
considerations:

Show respect and courtesy. A home is a personal
and private place.
Accept gestures of hospitality (water, coffee, tea), as
it helps to establish trust.
Observe the household, its condition, what it has and
what is missing. Specifically, observe and talk about
the following:

The condition of the house itself and any plan
for repairs or reconstruction
Access to basic services (water, electricity,
heating)
Access to sanitation services (location, distance,
and cost).
Livelihoods Group
Key Informants and
Local Authorities
Household Visits

49
Kitchen: utensils available for cooking and
serving food, fuel for cooking.
Diet: What they are cooking, consuming or
storing.
Health: health condition of family members,
access to healthcare, distance, cost.
Responsibilities of women, increases in their
workload and its implications.

At each locality begin the assessment by walking through
the community, as a team, separately or accompanied by
locals.

Use observation to verify or cross-reference information
received through other means (interviews, focus groups)

Consider that the observation is only related to the
activities and conditions during the time of the day of the
visit and that at other times these conditions may be
different.

Continue observing during the remainder of the visit and
assessment. Observe and take note of the conditions in
the community, what there is and what is missing, the
environment, access roads, housing, etc.

Areas for Observation

There are specific areas in communities that can provide
useful information and different views on the situation
during an assessment, including the following:

Stores and other local businesses
Markets (conditions, prices, types of food sold and
those not available)
Water collection points
Schools
Public bathrooms or sanitation facilities
Clinics or other healthcare centers
Parks, recreational or Sports areas

Below are some important considerations to take into
account when organizing and conducting interviews:

Create a relaxed, informal and comfortable
environment for the person being interviewed.
Begin the discussion by presenting the facilitators
and explaining the purpose.
Invite participants to introduce themselves.
First talk about general issues before asking
questions.
In the case of groups, establish basic rules, to respect
different points of view, allow a person to speak at a
time without interruptions, etc.
Structure the discussion around key questions,
preferably from a checklist already prepared
Facilitate and ensure everyones participation,
including women and marginal groups
Ask simple, open questions and ask them in different
ways, without requesting individual responses.
In the case of groups, address everybody without
focusing on one specific person
Exclude personal or sensitive questions in a group
context.
Do not focus on problems and needs because it
creates expectations
Do not express opinions on what the participants
share.
Disagreements among participants may be healthy
and shows the diversity of needs or problems
Close the discussion by thanking them for their
participation and time
It is advisable to leave a business card to strengthen
trust and transparency.

It is advisable that the team meet in the field at the end of
each day as well as at the end of each field visit to
consolidate the results of the assessment. Hereinafter are
some suggestions for the agenda for the meetings:

Appoint a focal point to take notes of the meeting
and the discussion.
Share the results obtained by each team member
during the day.
Clarify doubts, triangle information and share
concerns on the quality, consistency or reliability of
the information.
Consolidate results in each sector regarding recovery
needs identified.
Agree conclusions and prioritize needs by sector
Identify possible UNDP actions in each sector to
respond to the needs identified as priority.
Identified information or data requiring verification
or that are mission and must be obtained later.
Identify the necessary changes or adjustments in the
methodology, instruments, geographic areas,
logistics and other relevant considerations.
Methodology to select provinces, municipalities,
homes and informers
The selection of priority geographical areas to carry
out the assessment
Field Observation

Tips for Conducting Interviews
Daily Team Meetings in the Field

50

10. ANALYSIS & PROGRAMMING

51

This module includes some guidance to facilitate the
consolidation and analysis of assessment results, as well
as to apply these to the development of a recovery
framework.

The assessment results need to be consolidated and
presented with their 3 main dimensions to facilitate
analysis and programming:

Damages and needs
Capacities (response and assistance)
Gaps

The difference between damages/needs and the capacity
for response of the government and international
community constitutes the actual requirements on the
ground, or the gaps, and these define the recovery
framework, the plan of action, and the mobilization of
financial resources.

The assessment results for each cluster or sector should
be consolidated following the same logic in order to
facilitate comparative analysis.

The following 2 tables represent examples of how results
can be consolidated, in this case for the housing sector
and the education cluster.

Geographic
Location
Province Type
Units (total
damage)
Units (partial
damage)
Units (total)
Total Cost
(USD)
Units Institution Units Cost (USD)
1 School infrastructure
primary schools
secondary schools
pre-schools
other
Equipment
desks
didactic materials
Human resources
teachers
training
Education Cluster
Damages and Needs Capacity / Response Gaps

Province Municipality
Total
destruction
Partial damage
# # # $ # Organizacin # % $
1 a
b
c
d
e
subtotal
2 a
b
c
d
subtotal
3 a
b
c
subtotal
TOTAL
Early Recovery Cluster: Land & Property
Geographic Location Damages and Needs Capacity/Response Gaps
Total Housing recovery projects Gaps in housing

Needs, Capacities and Gaps
Introduction

Needs, Capacity and Gaps

52
To enable the necessary analysis that facilitates strategic programming and decision-making it is necessary to present assessment results by geographic location, that is, adopting a territorial
focus. This requires that all data collected be presented by municipality and province as well as the national totals. Only with this level of disaggregation is it possible to obtain a comprehensive
view of the disaster situation in a given geographic area, and therefore to plan a global response. Below is an example of recovery needs by cluster/sector for a specific province.

Agriculture
Damages: 768,341hectares
Capacity/Assistance: 392,011 ha
Gaps: 376,330
Cost: USD$9,888,212
Tools & other equip: USD$1,022,355
Total Cost: USD$10,910,567
Industry
Damages: USD $1,232,555
Losses: USD $2,444,090
Total: USD $3,676,645
Livelihoods
Damages micro-enterprises: 1992
Capacity/Assistance: 0
Gaps: 1992
Cost: USD$996,000
Damages medium-enterprises: 204
Gaps: 204
Cost: USD$306,000
Total cost: USD$1,302,000
Education
Infrastructure damages: 814 units
Capacity/Assistance: 124 units
Gaps:
Cost: USD$ 1,242, 878
Equipment & materials: USD$ 434,556
Land & Property
Damages: 2169 homes
Gaps: 1577
Transport &
Communication
Damages: USD $1,998,331
Losses: USD $ 776,545
Total: USD$2,774,876
Water
Infrastructure damages: 2767
Gaps: 1668
Cost: USD$2,545,009

The Territorial Focus

53

Once the needs assessment is completed, the results
should offer a good understanding of the damages and
needs, the capacity for response and gaps, covering all
relevant sectors and disaggregated by geographic area. In
this sense it should contain all the essential elements that
feed directly into a Recovery Framework.

The Recovery Framework (RF) establishes a wide vision for
recovery and contains the map for general actions for
each sector and territory. It is an instrument for
organizing recovery, providing direction towards expected
results, and defining the timeframe and the cost for
implementing it. The RF is developed by the government
with the collaboration of UN agencies, the World Bank,
donors and NGOs.

As indicated in the following diagram, the RF will be built
from a bottoms-up approach in keeping with the same
logic with which assessment results are gathered.

The RF serves as a tool for accomplishing the following
key objectives:

Mobilizes all stakeholders towards a common
purpose.
Promotes national ownership of the recovery
process.
Facilitates inter-institutional coordination
Establishes the parameters for joint action planning.
Serves as a tool for resource mobilization with
donors
Identifies priorities based on the assessment results
Establishes a calendar of recovery actions
Establishes the guiding principles of good practice
Contains the fundamentals for reducing risks
Provides the basis for a Recovery Action Plan (RAP),
which contains the details of implementation
(specific objectives, sectoral projects, the partners,
etc).

The RF also serves as the basis for monitoring implementation and the achievement of expected results. The disaster situation
should be updated periodically as well as the projects implemented in each sector and geographic area, thereby monitoring
the evolution of the emergency and of the recovery process. The RF should include specific indicators which are observable
and measurable to verify progress, alert of possible risks or problems, identify trends, changes, new needs, gaps, and other
factors that need to be taken into account. The monitoring process needs to be interactive and include feedback to update
the RF itself and make the necessary adjustments to guarantee the achievement of its objectives and results.

The Recovery Framework

Agriculture
Agriculture
Livelihoods
Livelihoods
Health
Education
Property
Property
Minor
Infrastructure
Agriculture Livelihoods Property Education Minor
Infrastructure
Health
Province 1
Province 2
Province 3
National Early Recovery Framework
Governance: Planning, Coordination & Implementation of Early Recovery
Risk Reduction Mainstreamed
Minor
Infrastructure
Health
Introduction

Purpose & Use of the ER Framework
Monitoring

54
Below are the main references that have been used for the development of the present Guidelines. It includes all the main methodologies and guidelines developed & used by other UN
humanitarian agencies, IFRC and other NGOs, as well as the more recent guidelines developed in response to the Humanitarian Reform and cluster approach.

These references can also be consulted for further sectoral information or for conducting more in-depth assessments in specific sectors.
UNDP, ECLAC, IRP, PDNA Methodologies and Toolkit
UNDP Defining the Rapid Assessment Process with Sector Members
FAO OAT, Livelihood Assessment Toolkit
IASC WASH Cluster, IRA Assessment Tool
IASC Needs Analysis Framework
OCHA Methodology Rapid Assessment for Humanitarian Assistance
IFRC (2005). Guidelines for Emergency Assessment. Geneva.
UNICEF (2006). Cross-sectoral Rapid Assessment-- rapid onset emergencies, the first 72 hours.
CWGER REF 2.6.6: KEY MANAGEMENT TASKS IN THE RAPID ASSESSMENT PROCESS
CWGER Ethics Protection in Assessments
IDRC, Guidelines for Emergency Assessments 2005
OFDA Field Ops Guide for Disaster Assessment and Response
Oxfam, Food Security Assessments in emergencies, a livelihoods approach
UNDG Capacity Assessment Methodology User Guide
UNDMT Damage and Needs Assessment Checklist
UNDMT Rapid Assessment Format
UNDG WB Joint Guidance Note on Recovery Planning
UNDP Capacity Assessment Methodology Users Guide
UNEP Environmental Needs Assessment Guide
UNHCR Tool for Participatory Assessment
UNICEF Education Rapid Assessment Module
WFP EFSA Handbook
IASC Tips on information management for cluster leads
OCHA Guidelines for field information management
BCPR CWGER, Post-Crisis Needs Assessment for Recovery: A Gender Guide
IASC Gender Handbook
IASC Gender Equality Programming for Disasters
Oxfam A Little Gender Handbook for Emergencies
ECLAC Gender Analysis in Assessments
UNDP Toward a Local Governance and Development Agenda
UNDP Mind Map Synthesis Towards a Local Governance Agenda
Haiti PDNA
Myanmar PDNA
CWGER Guidance Note on ER
UNDP Policy on Early Recovery
UNDP SURGE SOPs for Crisis Response
UNDP Reducing Disaster Risk: a Challenge for Development
Others that are still missing..

Bibliographical References

Guidelines For UNDP Early Recovery Needs Assessments (1st Draft in English)

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