WASH Needs Assessment

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).

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.

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.

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

(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.

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

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.