Field Assessment Manual
MANUAL FOR FIELD ASSESSMENT MISSIONS
SUMMARY OF THE MANUALField assessment missions are teams of experienced individuals who visit selected areas of the country in order to review the current situation. The regular monitoring system of the EWS, which relies on local (woreda) officials to generate and, to some extent, analyse information. In contrast to this grassroots system, outsiders, from the Zone, Region, and Federal level agencies staff Field Assessment Missions. It is a top-down approach.
The missions can be seasonal or once off, and may take anything from a few days to over a month. They are not necessarily rapid. Sometimes detailed local evaluations are undertaken, whereas other teams may conduct very rapid and impressionistic assessments. All missions, however, are characterised by a need to make sound, independent judgements in a short space of time.
This manual is intended to serve as a reference material for Federal, Regional and Zone EWS staff, providing details of the main procedures and techniques for field assessment. Good field assessment requires common sense and experience. It is not about following the rules. For this reason, the Manual should be seen as a source of guidance, not a strict code of practice.
Team leaders should make sure that they are familiar with the contents. The manual may be used as a supporting material for training staff in field assessment. At the time of writing, the EWS is also planning to release a short “Field Handbook for Assessment Teams” which is a pocket book team members.
Chapter 1: Planning Field Assessment Missions
Effective planning of field assessments is crucial. After an overview of the aims and role of FAMs, this chapter explains how to define the terms of reference so that the objectives of the assessment are focused. Logistics planning and scheduling are also discussed.
Teams should be well briefed on the available information on an area before they arrive and suggestions are provided on the possible contents of briefing kits.
Chapter 2: Tools for Field Assessment Missions
A large number of tools can be used in the context of field assessment. Teams should select the appropriate tools to reflect the Mission’s terms of reference, the time available, and the logistics possibilities for ground assessment.
This chapter describes the main tools for food security and eligibility assessment. It does not explain techniques for specialised health, sanitation, or infrastructure assessment. The tools are only pointers towards the appropriate methods. Good field assessment depends on the ability of the assessor to identify the best approaches according to the circumstances.
Chapter 3: Disaster Assessment
Disaster area assessments are characterised by very limited time and often mobility constraints. The chapter summarises some of the main issues in Disaster Area Assessment and explains how contingency plans should be made to enable teams to be launched quickly. All disaster assessments require specialist team members. There are several important documents on specialist disaster assessment techniques and the chapter provides an annotated bibliography.
TABLE OF CONTENTS
CHAPTER 1: PLANNING FIELD ASSESSMENT MISSIONS 4
UNIT 1: FIELD ASSESSMENT MISSIONS – AN OVERVIEW 4
UNIT 2: DEFINING THE SCOPE OF FAMS 6
UNIT 3: LOGISTICS PLANNING 13
UNIT 4: BRIEFING KITS AND BACKGROUND INFORMATION 17
UNIT 5: PLANNING AN ITINERARY 21
CHAPTER 2: TOOLS FOR FIELD ASSESSMENT 25
UNIT 1: BRIEFING AND DEBRIEFING 26
UNIT 2: HOW TO DO COMMUNITY LEVEL INTERVIEWS 32
UNIT 3: CHECKLIST FOR COMMUNITY INTERVIEWS 35
UNIT 4: HOUSEHOLD AND FARM LEVEL ASSESSMENT 47
UNIT 5: THE HOUSEHOLD INTERVIEW CHECKLIST 49
UNIT 6: WINDSCREEN SURVEYS 56
UNIT 7: RAPID AERIAL ASSESSMENT 58
UNIT 8: BASIC TECHNIQUES FOR MARKET INTERVIEWS 59
UNIT 9: CHECKLIST FOR MARKET INTERVIEWS 61
UNIT 10: PHYSICAL CROP AND LIVESTOCK INSPECTION 64
CHAPTER 3: DISASTER ASSESSMENT 69
UNIT 1: RAPID ASSESSMENT PROCEDURES 69
UNIT 2: FORCED MIGRATION AND RAPID ASSESSMENT 72
UNIT 3: BIBLIOGRAPHY OFASSESSMENT MANUALS 74
APPENDIX 1: ZONE LEVEL REPORT FORMAT 75
APPENDIX 2: WOREDA RELIEF ASSISTANCE APPLICATION FORM 81
APPENDIX 3: DECISION PROCESSES FOR ELIGIBILITY ASSESSMENT 82
APPENDIX 4: DECISION PROCESS FOR LOCAL PURCHASE CAPACITY 83
LIST OF ACRONYMS
AZ / ALTITUDE ZONEEWC / EARLY WARNING COMMITTEE
EWD / EARLY WARNING DEPARTMENT
EWS / EARLY WARNING SYSTEM
DA / DEVELOPMENT AGENT
DPPB / DISASTER PREVENTION AND PREPAREDNESS BUREAU
DPPC / DISASTER PREVENTION AND PREPAREDNESS COMMISSION
DPPD / DISASTER PREVENTION AND PREPAREDNESS DEPARTMENT
FA / FARMERS’ ASSOCIATION
FAM / FIELD ASSESSMENT MISSION
FAO / FOOD AND AGRICULTURE ORGANISATION OF THE UN
FSR / FOOD STRESS RESPONSE
MOA / MINISTRY OF AGRICULTURE
MOE / MINISTRY OF EDUCATION
MOH / MINISTRY OF HEALTH
NDVI / NORMALISED DIFFERENCE VEGETATION INDEX
NMSA / NATIONAL METEOROLOGICAL SERVICES AGENCY
RFE / RAINFALL ESTIMATE
TOR / TERMS OF REFERENCE
WFP / WORLD FOOD PROGRAMME
CHAPTER 1: PLANNING FIELD ASSESSMENT MISSIONS
UNIT 1: FIELD ASSESSMENT MISSIONS – AN OVERVIEW
1 Introduction
The main aim of field assessment is to improve the reliability of EWS information. Although regular monitoring and analysis of grass-roots field data are the main activities of the System, it is often necessary to dispatch teams or missions to corroborate this information, especially when relief needs are likely. Field assessment is not a “substitute” for the regular monitoring system, but should be seen as a backup, especially when the regular monitoring system is not working properly.
External review of local level information through direct field visits is a necessary part of the EWS. It allows the planners who use the information to be more confident about the quality of the data. Good field assessment can therefore increase the chances that the most appropriate responses will be implemented.
It is especially important to valid information in areas where relief needs have been identified. The more plausible the information, the more likely it is that the appropriate measures will be taken to procure and distribute the relief resources to the needy areas and populations.
This Manual is intended to provide guidelines for assessment in rural areas in Ethiopia in all types of local food economy ranging from pure crop dependent, through mixed farming, to pure pastoral and waged labour dependent systems. The main focus of the missions tends to be food security and relief assistance (eligibility), but teams will sometimes also be required to assess local purchase capacity.
2 What Makes a Good FAM?
For all FAMS the ingredients for success are:
Ø Independence: Field Assessment Missions (FAMS) are dispatched to collect existing information (if communications have broken down) and to conduct an independent evaluation of that information. Independent means that the local pressures that may lead to inaccuracies in the regular reporting do not influence the teams. All information must be checked and re-checked. Never accept information unless there is good supporting evidence.
Ø Efficient use of time: FAMS are characterised by very tight schedules. Much information must be collected and assessed in a short space of time. Reports will be released very shortly after the mission’s return. Effective planning is essential. This means planning routes in a rational and focused fashion.
Ø Focus: FAMs focus on pre-selected geographical areas and population groups. They are also focused on specific questions. The objectives of the FAM should be precisely spelled out so that the team gathers information only on what is strictly necessary. They are not random sample surveys. The methods used are not scientific. FAMs cannot provide statistically representative values for a particular population. It is generally based on a very small sample of interviews at the community and household level and not on a statistically representative sample frame.
Ø Transparency: The results of the FAM will often to be used to assist the mobilisation of resources. For this reason, the mission reports must be clearly structured, explaining exactly how the team has arrived at its conclusions. Representatives from other agencies are often included in field teams, to increase the transparency.
Ø Flexibility: At the field level, expect the unexpected. All planning of FAMs should allow for the fact that things can and often do go wrong. It is never possible to predict exactly how long travel will take. Breakdowns, ill-health of team members and unexpected discoveries mean that you should be flexible enough to revise plans during the assessment.
Ø Sound judgement and experience: Many of the required skills can only be developed through field experience and good assessment depends as much on the personal ability of the assessor as on “following the rules”. Indeed, the best assessors are those who can adjust their methods according to the particular circumstance in which they find themselves.
3 Who Does the FAM?
Staff at national and regional level may perform assessments. The missions usually comprise staff from one or more of these ministries:
Ø Ministry of Agriculture
Ø Ministry of Health
Ø Ministry of Water Resources (NMSA)
Ø Disaster Prevention and Preparedness Commission
Large-scale assessments, especially when needs estimation is included in the terms of reference, are often conducted in collaboration with the Government of Ethiopia’s food aid partners including NGOs, representatives from bilateral donor agencies, and the UN. (The Manual should also help non-government participants on missions to understand the methods that are employed.)
The Field Assessment process feeds into the regular reporting of the EWS. Often seasonal or once off reports will be dispatched by the regional or national EW secretariat in the form of synoptic reports on:
Ø The livestock and food security situation in pastoral areas
Ø The outcome of the main cropping seasons and impact on food security
Ø The impact of a particular disaster
When a Government sponsored appeal for relief assistance is announced, field assessments will often be used to support the appeal document. The assessment teams submit reports and the secretariat ensures that the reports are edited, computerised, and dispatched with the minimum of delays.
UNIT 2: DEFINING THE SCOPE OF FAMS
1 Introduction
FAMs are carried out by regional or federal level staff and collaborating agencies. There are four basic types of FAM in the Ethiopian EWS:
Ø Pre-Harvest Assessments: In crop growing areas pre-harvest assessments are conducted shortly before or sometimes during the harvest period. The EWS launches pre-harvest assessments during both the meher season and the belg season.
Ø Post-Harvest Assessments: In crop growing areas post-harvest assessments are launched at any time after the main harvest.
Ø Pastoral Area Assessments: In livestock dependent areas, including nomadic areas, pastoral area assessments are usually launched towards the end of the main and short rainy seasons. They may also be conducted during the off-season in response to an unusual outbreak of livestock disease or reports of animal mortality of unusual migration patterns.
Ø Disaster Area Assessments: In any area that has been affected by a major natural or man-made disaster, these assessments will be undertaken. They may be undertaken by road if there is road access. Otherwise aerial assessment is used.
For any type of FAM the scope of the assessment must be carefully defined in advance. There are a large number of questions that might be answered by a FAM. You must be very clear what questions you want to ask before you send a team.
In this Unit, we look at how to define the FAM Terms of Reference. The key considerations are explained in Section 2. Section 3 provides an example of a team Terms of Reference (TOR).
2 How to Define the Scope
Before the Mission departs, all members should be very clear of the mission’s scope of activities or terms of reference. The design of the terms of reference has to consider these questions:
? What do we need to know?
? How much detail do we need?
? What techniques should be used?
? What kind of data should be collected/reviewed?
? What are the reporting requirements?
2.1 What do we need to know?
Before planning a FAM you need to clarify the types of information which will be necessary.
Meteorological assessment is the evaluation of rainfall and temperatures throughout the season. This evaluation is useful for understanding crop and livestock conditions and availability of drinking water for human consumption. This can be useful in all types of assessment
All assessment in crop growing areas will have some element of crop assessment. Crop assessment can look at any of the following subjects:
Ø Planting conditions, whether there have been any changes in area planted, if so, why?
Ø Conditions of crops which are currently in the ground and main reasons for any falls in crop yields or planted area
Ø Needs for emergency crop protection measures
Ø Changes in crop income and food from crop production (this feeds into the general food security and eligibility assessment process)
Ø In surplus producing areas, to identify potential local purchase capacity
Ø Sometimes teams will also evaluate the plausibility of quantitative estimates of crop production for the recent season
Assessing livestock conditions will normally be a part of FAMs in any area where livestock is raised, including pastoral areas and mixed farming areas. Livestock assessment may include:
Ø Evaluation of pasture and drinking water conditions for livestock
Ø Analysis of the patterns of livestock movement in pastoral areas
Ø Identification of changes in the quality and/or numbers of animals and prospects in the near future
Ø To identify the main causes of declines in animal quality or numbers
Ø When applicable, to identify needs for emergency veterinary interventions, like vaccination programmes or resettlement programmes
Ø Identification of changes in income and food from livestock production and the impact of changes on the food security status of the population and relief needs.
All assessments will require some knowledge of market conditions. Market assessments are undertaken for the livestock, food and wage labour market with the following intentions:
Ø To identify major changes in market prices and supply and demand
Ø To assess the consequences of food price changes for income, food consumption
Ø To assess market structure and how this might influence the design of relief interventions, in particular the use of food rations for relief intervention and the possibility of local purchase