27 April 2018

WASH Needs Assessment

Author/Compiled by
Sarah Achermann (seecon international gmbh)
Entisar Almasri (cewas Middle East)

Executive Summary

In emergency situations, time pressure constitutes one of the most challenging factors for the design of an adequate response strategy. Within the first three days, an initial rapid assessment should be carried out in order to obtain a fast overview of the emergency situation, including its extent, the most pressing needs as well as the priorities for humanitarian intervention. A more comprehensive WASH assessment should be carried out within the first months, using the same principles, methodologies and indicators as the initial exercise, but in greater depth and over a longer period of time. The following factsheet explains the overall purpose of the WASH needs assessment, presents the most common frameworks used depending on the type of humanitarian crisis and provides details and practical recommendations to analyse the WASH situation.

Advantages
WASH needs assessments help to understand current levels of WASH coverage, including the infrastructure and services that exist, what condition they are in, and what needs to be done to meet the UNHCR guidelines.
WASH needs assessments support stakeholders in building a common understanding of the humanitarian situation and a shared vision of WASH needs and priorities.
WASH needs assessments serve as a foundation for WASH planning and strategy development.
Initial Rapid Assessments support early strategic response decisions that are in line with priority needs.
Disadvantages
Time pressure, lack of security and safe access, lack of skills of the interviewers and shortage in resources can cause WASH needs assessments to rely on incomplete, subjective reports only.
Precision of the collected data may be compromised due to time restrictions.
The presence of the assessment personnel in the field that does not provide direct assistance may raise expectations among the affected population and can create hostility against the working organisations if expectations are not met.
In urban areas, WASH Needs Assessments can be particularly challenging to conduct, as it may be difficult to demarcate the relevant geographic areas and the target populations. In urban areas, refugees are often mobile and tend to spread across different locations (UNHCR 2015b).
Possible challenges in rural settings relate to the dispersion of the refugee/IDP population across large areas and distances as well as to frequent inaccessibility of remote areas.

Introduction

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In the first hours of a humanitarian crisis, humanitarian actors face tremendous pressure to quickly respond to the emergency and to adequately allocate funds. This stress situation, combined with a general lack of timely and credible information, can cause ill-informed decision-making in humanitarian response (see graph below). For this reason, the The Sphere Project Standards Core Standard 3 requests humanitarian actors to carry out a systematic and coordinated assessment of the situation, the risks to life of the affected population as well as the available response capacities within the first one to three days after the onset of a humanitarian crisis (THE SPHERE PROJECT 2011).

The purpose of these initial rapid assessments is to collect and report essential data from each site visited by a humanitarian actor and to use this information to identify the priority needs of the affected population, to guide initial planning of the humanitarian intervention, to inform funding decisions and to reveal the needs for additional comprehensive assessments (IASC 2009).

The importance of data collection for building a proper response. Source: UNICEF (2012).

The importance of data collection for building a proper response. Source: UNICEF (2012).

In order to quickly obtain data of sufficient quality to inform initial decision-making, initial rapid assessments are usually conducted in a two-teared approach, in which available secondary data is first reviewed, and primary data then collected through key Semi-Structured Interviews, Focus Groups or observations (IASC 2009). It is imperative, that initial rapid assessments are carried out by qualified field staff that are equipped with the relevant general knowledge and applicable experience to conduct the assessment (IASC 2009). To ensure coherence in the implemented humanitarian response, initial rapid assessments are ideally shared between and carried out in close collaboration between different humanitarian actors.

Context-Based Initial Rapid Assessment Frameworks

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Depending on the nature of the humanitarian crises (refugee vs. non-refugee emergency), different organisations are responsible for coordinating the response (see Humanitarian Aid Coordination for WASH factsheet). Accordingly, different frameworks for initial rapid assessments are applied by the various organisations:

Needs Assessment for Refugee Emergencies (NARE)

For rapidly assessing humanitarian crises where populations are forcefully displaced across borders or when new groups of refugees move into an existing operational area, the UNHCR applies the Needs Assessment for Refugee Emergencies (NARE) framework (UNHCR 2015b). The NARE promotes “the cross-analysis of information derived from multiple methodologies across multiple sectors to ensure a rapid, relatively complete picture of needs in a refugee emergency” (UNHCR 2015d). With the use of the NARE checklist, the assessment teams gather key information from pre- and post-crisis secondary data analyses. The NARE further provides guidance for primary data collection by the means of facility Transect Walk, observations, key informant Semi-Structured Interviews or Focus Groups. Being highly customisable, NARE allows the assessment teams to pick-and-choose from a wide range of methods and focus themes, depending on their situation and the available time and resources (UNHCR 2015d). For more information, refer to the NARE Checklist provided in the further readings section of this factsheet and consult the key considerations for application at the country level.

Multi-cluster / sector Initial Rapid Needs Assessment (MIRA)

In non-refugee crises, the inter-agency Multi-cluster/sector Initial Rapid Needs Assessment (MIRA) framework is applied under the management of the Office for Coordination of Humanitarian Affairs (OCHA). “A MIRA is an inter-agency needs assessment and analysis process, from which a joint strategic plan for emergency response is developed” (UNHCR 2015a). Although particularly effective in sudden-onset natural disasters, the MIRA approach can be adjusted to any emergency setting. During the first three days of the crisis, the approach generates a situational analysis followed by a MIRA report that is released within no more than 2 weeks after the beginning of the crisis.

 The MIRA tool is the first step of the Assessment and Monitoring Framework within 72 hours of the crisis. Source: Pakistan Shelter & NFI Working Group (2014).

The MIRA tool is the first step of the Assessment and Monitoring Framework within 72 hours of the crisis. Source: Pakistan Shelter & NFI Working Group (2014).

For more information and guidance on MIRA, refer to the further readings section of this factsheet.

Initial Rapid Assessment of WASH Needs

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(Adapted from UNHCR 2015a)

Water, sanitation and hygiene (WASH)-related needs are among the most pressing for the affected population. In order to accurately prioritise WASH in the site-selection and planning stage of humanitarian response, a more detailed assessment on the needs and the demand regarding WASH-related resources should be performed directly after the NARE or MIRA, estimating the number of people affected, quantify immediate needs, the availability of local resources, and the need for external resources.

The areas of interest for such immediate WASH assessments include the quantity and quality of available water resources and distribution systems as well as present soil conditions regarding soil types and infiltration rates. WASH assessments should be carried out by sectoral technical experts within the first three days of the emergency and should focus on estimating of the number of affected people, quantifying immediate needs, assessing the availability of local resources and identifying the requirements for external support.

The overall aim of WASH assessments is to allow humanitarian actors to distinguish between urgent lifesaving needs and needs that require a medium or long term approach. The specific objectives include:

  • Identification of water Water Balance Estimation (sources, yield, flow, seasonal variations, quality and contamination risks etc.).
  • Evaluation of factors that may affect the selection of technologies for water and sanitation provision (e.g. water table, soil type and conditions, environmental factors).
  • Assessment of hygiene practices and cultural habits among the affected population that might affect their hygiene/sanitation preferences.
  • Identification of vulnerable groups in order to adapt WASH services accordingly.
  • Appraisal of local and national capacities to lead or support the response.

Practical Recommendations for WASH Assessments

  • WASH assessments should be supervised by experienced WASH officers with expertise in water engineering, sanitation, hygiene and environment.
  • It is recommended to carry out the assessment in coordination or collaboration with site planning.
  • Diverse, context-sensitive, quantitative and qualitative approaches for data collection (key informant Semi-Structured Interviews, Focus Groups, Transect Walk, assessments of existing WASH infrastructure and management arrangements) should be applied.
  • Assessment teams should, as far as possible, consist of a mix of women and men of different age groups. Teams should also include people who are familiar with the language(s) and place and can communicate with people in their own cultural manners (THE SPHERE PROJECT 2011).
  • Information should be collected from gender-, age- and diversity balanced sources and local Stakeholder Identification.
  • Different sources for secondary data, such as local authorities, global satellite image providers (UNITAR, UNOSAT), UNHCR databases and report, locally operating NGOs, knowledgeable refugees, IDPs and locals, should be consulted.
  • WASH assessment should be followed by a more comprehensive survey as soon as the situation allows as well as by annual Knowledge, Attitude and Practice (KAP) surveys.

Typical Checklist of Secondary Data to be Retrieved through Initial Rapid WASH Assessments

  • Local maps, aerial photos, satellite imagery etc. to understand the topography, geological context, hydrogeological features and water sources.
  • Regional details on land use (urban, industrial, agricultural, protected areas), climate, security, access roads, etc.
  • Information on main Stakeholder Identification and agencies functioning in the area and local authorities’ structures and policies.
  • Current typical water consumption and sanitation practices.
  • Logistical arrangements and possibilities for supply in the area.
  • Legal issues in the area.
  • Costs and Ensuring Appropriate Operations and Maintenance Services requirements in the area.

Comprehensive Assessment of WASH Needs

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The initial rapid assessment is considered a preliminary estimate that will guide the level and type of WASH intervention. However, a comprehensive WASH assessment should take place in the following weeks, no later than 3-6 months (UNHCR 2015a), to give a more detailed picture that shall help to adjust the WASH intervention strategy, if needed.

Comprehensive Assessments of WASH Needs are typically carried out with a similar methodology as the Initial Rapid Assessment, but in greater depth and over a longer period of time (UNHCR 2015e). As in the case of the initial assessment, the comprehensive assessment should also include activities such as key informant Semi-Structured Interviews, Focus Groups, Transect Walk, household surveys, but they should be applied to a larger number of samples (clusters or households).

In order to obtain a more complete picture of the WASH situation, not only the aspects considered during the Initial Rapid Assessment should be covered within the comprehensive assessment, but also the following factors (adapted from UNHCR 2015e):

  • WASH management arrangements: it refers to who owns, who pays and who does what, where, when and how in the process of managing, operating and maintaining each component of the WASH system (water supply, wastewater/excreta management, solid waste management, hygiene and vector control).
  • Existing WASH legislation: once the emergency has passed, it is important to understand the existing WASH legislation and check whether this has been respected.
  • Institutional capacity: refers to the capacity of water and waste (solid and liquid) service providers and local authorities to carry out their roles during a humanitarian crisis. Of particular interest are the most urgent support needs. Typical institutional support that can be provided as a result are: technical advice, additional staffing, training, provision of additional operational resources, provision of funds etc.

A comprehensive WASH assessment report should extend to a maximum of 30 pages (without annexes) and should follow the outline below (adapted from UNHCR 2015e):

  • Executive summary
  • Introduction: including overview of the current situation, background, objectives.
  • Methodology: who, when, how and with which methods and tools.
  • Limitations: description of problems faced during the assessment.
  • Findings: with the overall picture of the displaced population, context and key findings related to water supply, sanitation and hygiene.
  • Needs and gaps: identification of the gaps which are not being covered by the current WASH strategy.
  • Conclusions and recommendations.Recommended activities: including who, what, where, when and how of short and medium term activities that should be carried out to improve the WASH provision.
  • Annexes

Applicability

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Since initial rapid assessments should be applied within the first one to three days after the beginning of a sudden-onset humanitarian crisis, they apply to Camps, Rural Settings and Urban Settings. Initial Rapid Assessments can also be used in protracted crises, if the emergency situation suddenly becomes acute or when areas that were previously inaccessible due to insecurity, suddenly become accessible (IASC 2016). Depending on the nature of the humanitarian crises (refugee vs. non-refugee emergency), different analytical frameworks for initial rapid assessments are to be used.

Comprehensive WASH assessments can be carried out at any time during the course of the humanitarian emergency to monitor progress and to get a sense of the current impact of the WASH programme, and any remaining gaps in WASH service provision. 

Library References

The Sphere Handbook

This appendix of SPHERE handbook is a water supply and sanitation initial needs assessment checklist. This list of questions is primarily for use to assess needs, identify indigenous resources and describe local conditions. It does not include questions to determine external resources needed in addition to those immediately and locally available.

THE SPHERE PROJECT (2011): The Sphere Handbook. Rugby: Practical Action Publishing URL [Accessed: 19.10.2016]

Needs assessment for refugee emergencies (NARE)

The NARE highlights information that is derived from pre-crisis and post-crisis secondary data analysis before primary data collection begins. For primary data collection, the NARE suggests data elements that may be derived from facility visits, observations, key informants and focus group discussions. It promotes the cross-analysis of information derived from multiple methodologies across multiple sectors to ensure a rapid, relatively complete picture of needs in a refugee emergency. The NARE assessment is intended to be a one-off activity and not an ongoing monitoring system.

UNHCR (2015): Needs assessment for refugee emergencies (NARE). (= 4th Edition ). Geneva: United Nations High Commission for Refugees URL [Accessed: 19.12.2016]

Introduction to the Kenya Initial Rapid Assessment (KIRA)

The aim of the KIRA is for a coordinated approach to assessments to cover the humanitarian community in Kenya, so that NGOS, UN, government, and donors and have a joint platform to share information, plans, best practice on assessments, reduce duplication of effort, use human and financial resources better, and capitalize on each other’s’ strengths. The inter-sector working group (ISWG) identified a gap in multi-sector assessment from the Real Time Evaluation (RTE) of the 2011 Horn of Africa drought. Addressing the gap of multi sector assessments was an agreed area of follow up to the RTE. A project was launched to support the development of a coordinated, multi sector rapid assessment mechanism, and this is how the Kenya Initial Rapid Assessment (KIRA) was born in response to expected election violence in 2013.

UNICEF (2012): Introduction to the Kenya Initial Rapid Assessment (KIRA). Nairobi: UNICEF Kenya country office URL [Accessed: 17.01.2017]
Further Readings

Multi-Cluster/Sector Initial Rapid Assessment (MIRA)

The IASC has produced this manual in 20-pages long and comes with an additional five annexes providing supporting Information about the Multi-Cluster/Sector Initial Rapid Assessment (MIRA), carried out by key stakeholders during the first weeks following a sudden-onset disaster. It’s an operational guidance for coordinated assessments, outlining some of the key steps and requirements for undertaking coordinated assessments. They also have a defined approach specifically for rapid assessments, at which point in time it is strongly recommended that an assessment be multi-sector.

IASC (2012): Multi-Cluster/Sector Initial Rapid Assessment (MIRA). Geneva: Office for the Coordination of Humanitarian Affaires URL [Accessed: 13.01.2016]

The Sphere Handbook

This appendix of SPHERE handbook is a water supply and sanitation initial needs assessment checklist. This list of questions is primarily for use to assess needs, identify indigenous resources and describe local conditions. It does not include questions to determine external resources needed in addition to those immediately and locally available.

THE SPHERE PROJECT (2011): The Sphere Handbook. Rugby: Practical Action Publishing URL [Accessed: 19.10.2016]

Needs assessment for refugee emergencies (NARE)

The NARE highlights information that is derived from pre-crisis and post-crisis secondary data analysis before primary data collection begins. For primary data collection, the NARE suggests data elements that may be derived from facility visits, observations, key informants and focus group discussions. It promotes the cross-analysis of information derived from multiple methodologies across multiple sectors to ensure a rapid, relatively complete picture of needs in a refugee emergency. The NARE assessment is intended to be a one-off activity and not an ongoing monitoring system.

UNHCR (2015): Needs assessment for refugee emergencies (NARE). (= 4th Edition ). Geneva: United Nations High Commission for Refugees URL [Accessed: 19.12.2016]

UNHCR WASH Rapid Assessment Forms

These rapid (emergency) assessment tools can be used to help assess water supply, excreta management, solid waste management, hygiene and disease vector control conditions in the following refugee settings. It also contains references to UNHCR's WASH indicators and recommendations for data collection. This can be used in camps or settlements, transit centres, schools, health centres und urban settlements.

UNHCR (2015): UNHCR WASH Rapid Assessment Forms. Geneva: United Nations High Commission for Refugees URL [Accessed: 27.02.2017]
Case Studies

WASH Assessment. Humanitarian Response to the Syrian Refugees. Bekaa Valley, Eastern Lebanon

This report shows the results of a WASH needs assessment carried out by ACF-Spain team in twelve communities in Eastern Lebanon (Bekaa Valley) during an activity carried out during three weeks in May-June 2012. It shows the methodology followed, the configuration of the team, indicators, source of information and the main findings.

ACF SPAIN (2012): WASH Assessment. Humanitarian Response to the Syrian Refugees. Bekaa Valley, Eastern Lebanon. New York: UNICEF URL [Accessed: 27.02.2017]

Introduction to the Kenya Initial Rapid Assessment (KIRA)

The aim of the KIRA is for a coordinated approach to assessments to cover the humanitarian community in Kenya, so that NGOS, UN, government, and donors and have a joint platform to share information, plans, best practice on assessments, reduce duplication of effort, use human and financial resources better, and capitalize on each other’s’ strengths. The inter-sector working group (ISWG) identified a gap in multi-sector assessment from the Real Time Evaluation (RTE) of the 2011 Horn of Africa drought. Addressing the gap of multi sector assessments was an agreed area of follow up to the RTE. A project was launched to support the development of a coordinated, multi sector rapid assessment mechanism, and this is how the Kenya Initial Rapid Assessment (KIRA) was born in response to expected election violence in 2013.

UNICEF (2012): Introduction to the Kenya Initial Rapid Assessment (KIRA). Nairobi: UNICEF Kenya country office URL [Accessed: 17.01.2017]

Doro Refugee Camp, Comprehensive Needs Assessment Report. South Sudan

REACH is a joint initiative of two international non-governmental organizations - ACTED and IMPACT Initiatives - and the UN Operational Satellite Applications Programme (UNOSAT). REACH carried out a comprehensive needs assessment of the Doro refugee camp, which is one of four refugee camps in Maban County in South Sudan’s Upper Nile State. The state houses an estimated 134,435 refugees who have fled primarily from Blue Nile State in neighbouring Sudan. The study consisted of a comprehensive census-style assessment at household-level, complemented by interviews with camp management and NGO staff working in the camp. The assessment was undertaken in close cooperation with UNHCR; Doro’s camp management, the Danish Refugee Council (DRC); and community leaders.

REACH (2015): Doro Refugee Camp, Comprehensive Needs Assessment Report. South Sudan. Geneva: Reach Initiative URL [Accessed: 27.02.2017]
Training Material

Emergency Training and Resources for Water, Sanitation and Hygiene

The 'Emergency Training and Resources for Water, Sanitation and Hygiene' materials have been produced on behalf of the Global Wash Cluster by RedR UK. The above mentioned link presents a number of training material related to needs assessment. Participants learn how to gather appropriate needs assessment data and turn it into meaningful information for use in project proposals. It also outlines methodologies for collecting such data in different WASH-related emergency situations.

GLOBAL WASH CLUSTER (2010): Emergency Training and Resources for Water, Sanitation and Hygiene. New York: UNICEF URL [Accessed: 27.02.2017]

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