Key indicators (to be read in conjunction with the guidance notes)

Assessment checklists for individual sectors can be found in the appendices at the end of each technical chapter.

Guidance notes

1. Initial assessments provide the basis for delivering any immediate assistance that may be needed and also identify the areas on which a more detailed assessment should focus. An initial assessment is not an end in itself, but should be seen as a first step in a continuous process of reviewing and updating as part of the monitoring process, particularly when the situation is evolving rapidly, or when there are critical developments such as large population movements or an outbreak of disease. Frequently it may not be possible to adequately address or consult all sectors or groups within the population. When this is the case, it should be clearly stated which groups have been omitted, and efforts should be made to return to them at the first opportunity.

2. Checklists: these are a useful way of ensuring that key areas have been examined, and examples of checklists are provided in appendices to each of the technical chapters of this handbook. Additional information can be found in Appendix 1: References.

3. Timeliness: an initial assessment should be carried out as soon as possible after the disaster occurs, while addressing any life-threatening or other critical needs. The report should normally be generated within days and its format and content should allow planners and analysts to easily identify priorities and provide sufficient information to rapidly design an appropriate programme. A more in-depth assessment will be needed later to identify gaps in assistance and to provide baseline information.

4. Assessment team: a gender-balanced team, composed of generalists and relevant technical specialists and with clear terms of reference, which seeks to actively involve the population in a culturally acceptable manner, will improve the quality of an assessment. Local knowledge and previous experience of disasters in the country or region are critical.

5. Collecting information: team members should be clear on the objectives and methodology of the assessment and on their own roles before field work begins, and a mix of quantitative and qualitative methods appropriate to the context should normally be used. Some individuals or groups may not be able to speak openly, and special arrangements may be considered to collect sensitive information. Information must be treated with the utmost care and confidentiality must be ensured. Following the individual's consent, consideration may be given to passing on this information to appropriate actors or institutions. Staff operating in conflict situations need to be aware that information collected may be sensitive, could be misused and could compromise the agency's own ability to operate.

6. Sources of information: information for the assessment report can be compiled from primary sources, including direct observation and discussions with key individuals, such as agency staff, local authorities, community leaders (of both sexes), elders, children, health staff, teachers, traders and other relevant actors, and from secondary sources, such as existing literature and reports (both published and unpublished), relevant historical material and pre-emergency data. National or regional disaster-preparedness plans also provide an important source of information. Comparing secondary information with direct observation and judgement is crucial in order to minimise potential biases. The methods used for collecting information and the limitations of the resulting data must be clearly communicated to portray a realistic picture of the situation. The assessment report should clearly indicate specific concerns and recommendations expressed by all groups, notably those who are particularly vulnerable.

7. Sectoral assessments: a multi-sectoral assessment may not always be possible in the initial phase of a disaster and may delay action to meet critical needs in specific sectors. When individual sectoral assessments are carried out, extra attention should be paid to linkages with other sectors and to broader contextual and protection issues, in consultation with other actors and agencies.

8. Relationship with host population: the provision of facilities and support for displaced populations can cause resentment amongst the host community, especially where existing resources are limited and have to be shared with new arrivals. In order to minimise tensions, host populations should be consulted and, where appropriate, the development of infrastructure and services for displaced populations should lead also to a sustainable improvement in the livelihoods of the host population.

9. Disaggregation of data is important for various reasons. It enables users of an assessment to check the accuracy of results and allows comparison with earlier studies on the same area. In addition to age, gender, vulnerability, etc., it is useful to include average family size and number of households as key disaggregated information, as this will help in planning a more appropriate response. In the early stages of a disaster, it may be difficult to disaggregate data by age and gender. However, mortality and morbidity for children under five years old should be documented from the outset, as this section of the population is usually at special risk. As time and conditions allow, more detailed disaggregation should be sought, to detect further differences according to age, sex and vulnerability.

10. Underlying context: the assessment and subsequent analysis should take account of underlying structural, political, security, economic, demographic and environmental issues. Likewise, any changes in living conditions and community structures of both host and displaced populations in relation to the pre-disaster phase should be considered.

11. Recovery: analysis and planning for the post-disaster recovery period should be part of the initial assessment, as external aid can slow recovery if not provided in a way that supports the local population's own survival mechanisms.