INFORMATION / DATA MANAGEMENT STRATEGY

4.1 Overview and Function

The information management strategy should be drafted and maintained by the Information Management Officer (IMO), preferably, or the Information Manager. The IMO is a specialised technical position within UNHCR. Staff filling IMO positions will need to be those with both the requisite training and the experience required to undertake information management activities, particularly the coordination, design and management of an information management strategy to support operational objectives and partners. Information management focal points may be other staff designated to cover specific information management needs within an operation.

An information/data management strategy is a plan that defines the purposes, outputs, time frames and responsibilities for all operational information systems in an emergency. An Information Management Strategy Template is included as Annex 4 in this section. The information/data management strategy will provide a broad overview of how information systems relate to one another and which organizations are stakeholders in which systems, allowing the Information Manager to better coordinate information. The strategy will also help identify whether there are information gaps or redundancies between systems.

From a consensus-building perspective, the strategy provides an opportunity for managers and operational staff to agree on reporting frequencies and data ownership. On a practical level, the strategy details how the information systems will operate. It is also a starting point for budgeting for information management costs, such as for implementing partner agreements, data-entry staff, mobile data-collection devices and laptops.

Explicitly defining and implementing an information management strategy will help make information management product delivery more predictable and more reliable. Doing so will also support the introduction of standard operating procedures (SOPs) for information/data management. The following guidance details the steps for defining and implementing an information and data management strategy during the first six weeks of a refugee emergency.

4.2 How-to Guide: Steps for Undertaking/Coordinating Information and Data Management Strategy

In order to develop an information/data management strategy, an Information Manager needs to answer the following questions:

• What are the information gaps?
• What types of analysis products are needed?
• Who are the focal points responsible for implementing each system?
• What methods should be used to obtain the data?
• What human resources are required to run the systems?
• What is the frequency of reporting from each system?
• When should each system be implemented?

4.2.1 Considerations for the Information Manager during planning

During planning, the Information Manager will need to consider some of the following factors, which will affect the design of the information management systems:

• The operation’s contingency plans: What is the most likely scenario for how the emergency will evolve? How might the information systems need to change in the future?
• The operation’s programming and intervention plans: Which sectors are the most active and/or are most likely to be? Are there some sectors with more information management needs?
• The displacement pattern: Is the population moving en masse or is there scattered population movement? Is there secondary displacement? Is the population stable or is there new movement? What is the scale of the displacement?
• Physical access to populations of concern: Is remote monitoring required? How will the logistics of data collection affect the types of information systems deployed and the frequency of availability of information products?
• Security issues, humanitarian space and the Government’s position with regards to IM: Are there particular types of data that are difficult to get from populations due to security? What are the limitations of the types of information that can be disseminated?
• The IM activities of other partners: Which data management activities should be undertaken by UNHCR? By its implementing partners, operational partners, by the Government – or jointly?
• The availability of Internet connectivity and other communications/computing technology: Are website and e-mail dissemination systems the best for the situation? Is there a need for sharing burned DVDs and hardcopies of information with partners who have no Internet access? How will data from deep field locations be transmitted to the operational hub?

4.3 Refugee Emergency: Weeks One–Two

4.3.1 Set IM objectives and reporting lines: Set up and produce initial IM products

Before drafting the information management strategy, the Information Manager will need to discuss IM objectives and products with the Representative and senior managers, and with programme, protection and sector leads. Discuss what type of information decision-makers in the office need to know, at what level of detail, and why the information is needed. It will also be important to set up a regular and clearly communicated weekly dissemination schedule, so colleagues and partners know what type of information products to expect and when to expect them.

The Information Manager, Representative and senior managers will establish a plan for preparing the following standard IM products, which may be produced during the first four weeks of a refugee emergency:

• IM strategy;
• Including IM in coordination meetings or establishing IM coordination meetings;
• Secondary data review of information already available from other sources and situational analysis;
• Initial rapid population estimates;
• Contact list of operational partners;
• An initial needs assessment report;
• Maps, including security, situation and 3W maps; and
• Web portal deployment.

The Representative and other senior managers, emergency team leader (if deployed), sector leads and the Information Manager will need to agree on clearance procedures and a dissemination schedule for the aforementioned IM products. The Information Manager should also assist as needed with the development of IM strategies for the production of sector-specific reports, a process that includes the dissemination of sector-specific information products.

In order to do the above, the Information Manager should undertake each of the following upon arrival in the emergency:

• Ask to see the operation’s contingency plan, or, if one does not exist, ask management what the most likely scenarios are for the evolution of the emergency.
• Ask colleagues if any information management preparedness activities have been undertaken, such as planning a needs assessment.
• Find the standard geographic data being used by the humanitarian community and learn the process for updating this. (If no process is defined, the Information Manager will need to do this.)
• By discussing with the protection officer, become familiar with the operational context’s protection risks and constraints, in order to gain an understanding of which types of information are the most sensitive.
• Try to find pre-emergency baseline data, including data from the country’s annual statistical report, the UNHCR Global Focus website (the agency’s global reporting website for donors), the Government statistical office, development actors, etc.
• Identify UNHCR and partner staff who are capable of assisting with data collection and analysis, as the skill levels of colleagues will influence the complexity of information systems implemented. Design an information management strategy that is realistic and sustainable in terms of operational capacity.
• Determine SOPs for clearances and issuance of IM products.

4.3.2 Include IM in coordination meetings

With the agreement of the Representative, the Information Manager will need to ensure that IM is included as an agenda point at all inter-agency coordination meetings at the field and capital levels as a topic of discussion.

 The Information Manager should immediately begin attending inter-agency coordination meetings and begin reaching out to partners, using the opportunities to establish contact lists that will be circulated in meetings and posted on the UNHCR web portal. To such meetings, the Information Manager should always bring information products, population figures, maps and contact lists to share, in part to create linkages with partners to identify emergency information needs. 

4.3.3 Establish a contact list and weekly meeting schedule

The Information Manager should also immediately start work with a UNHCR admin colleague, as designated by the Representative, to create and track a contact list of all operational partners, which may be circulated to partners. The Information Manager will be the focal point for all changes on and custodian of the contact list, unless otherwise delegated. If available, it is good practice to keep a copy of the contact list on a shared drive, to allow access to all UNHCR staff. The Information Manager should always keep a backup copy of the master contact list, saved each day on his/her personal drive.

Specific contact lists may also be extracted from the master contact list and presented to partners in different ways. For example, the Water, Sanitation and Hygiene (WASH) sector contact list includes only staff members in that sector, and thus can serve dual functions as a sign-in sheet for coordination meetings. This not only allows colleagues to ensure that their contact information is correct, but also reduces data-entry time for the tracking of meeting attendance.

Another useful tool to produce and distribute to all partners is a contact list of technical experts – for example, a list of UNHCR protection and programme colleagues, in addition to sector leads for WASH, health and shelter. A sample template of a contact list is included in this section as Annex 4: IM Strategy Template; tab 2: E-mail Dissemination List. A contact list by sector may be produced by filtering the master contact list by activity.

4.3.4 Secondary data and situational analysis

Within the first two days of arrival in a refugee emergency, the Information Manager should meet with the protection officer and begin both to jointly analyze secondary data and to collaboratively produce a situational analysis.

 “The situation analysis is undertaken through a desk review of existing information, including data gathered about the population. It also involves identifying the different stakeholders to learn about their interests and priorities, and mapping their activities, resources and expertise, ” according to A Community Based Approach in UNHCR (First Edition, UNHCR Geneva, February 2007, pg. 27).

 When compiling the situational analysis, it will be important to identify what types of camp administration (if any) have been set up by the refugee community, while also noting refugee coping mechanisms at the camp level. The situational analysis will also need to detail the host Government’s involvement and response to the refugee situation, and track developments in terms of camp coordination and host Government assistance.

 According to the UNHCR Handbook for Emergencies (Third Edition, UNHCR Geneva, February 2007, pg. 28), the UNHCR Protection Gaps Framework of Analysis Tool may be adapted for emergency situation analysis. The Protection Gaps Framework of Analysis Tool is available online at www.unhcr.org/refworld/pdfid/430328-b04.pdf, and provides a format outlining key considerations when conducting a situation analysis.

4.3.5 Analyze emergency registration and population statistics

Another key step for the Information Manager in setting up an information and data management strategy is to begin working with the registration officer to compile and triangulate population figures. A Population Reporting Template should be completed and maintained for the triangulation/analysis of population figures, and is included in the Population Statistics section of this Toolkit.

• If the emergency registration has been conducted, the Information Manager will need to begin compiling cross-sectoral analysis based on population figures, including what is known in terms of operational coverage for specific locations based on information compiled in the 3W and survey of surveys.
• If the emergency registration has not been conducted, reference the Registration in Emergencies section (Section 2) of this Toolkit on the next steps for emergency registration and IM considerations.
• If emergency registration is not possible for all areas, use rapid population estimation techniques (refer to Section 3 of this Toolkit).

The Information Manager must also work with other information specialists within the operation, both those employed by UNHCR and those employed by other organizations, to ensure that all data collected, analyzed and released is as per UNHCR standard age and sex demographics.

 Age and sex breakdowns should be incorporated into all standard IM products, and demographic profiles of the refugee population should be shared with partners by the Information Manager on a daily or weekly basis (depending on the situation), via the UNHCR web portal and through other dissemination avenues.

4.3.6 Who’s Doing What, Where (3W)

The Information Manager will need to continuously engage sector leads and new organizations and partners on the ground. Throughout their assignment, the Information Manager should also establish and track evolving 3W information, using the 3W tool included in the 3W section of this Toolkit, in order to maintain an understanding of operational coverage and emergency needs.

4.4 Refugee Emergency: Weeks Three–Four

4.4.1 Conduct a survey of surveys

An important step in coordinating information management is to compile a survey of surveys and assessments that have already been carried out by UNHCR and partners. UNHCR management, programme and protection colleagues will be able to readily identify partners and contacts for the Information Manager to begin contacting for the compilation of the survey of surveys. Required for completing the survey of surveys template (included as annex in this section) will be information on the organization involved in the assessment, assessment type and name, location of assessment, fieldwork collection start and end dates, and type of population assessed.

 Official UNHCR population types are as follows: refugee, persons in refugee-like situations, returned refugees, asylum-seekers, internally displaced persons, persons in IDP-like situations, returned IDPs, stateless persons and others of concern. For a complete definition of these population types, see the UNHCR 2012 Annual Statistical Reporting Guidelines (pg. 37), available online at: http://www.unhcr.org/4fd6f87f9.html.

As soon as all major partners have been contacted and an inventory of surveys and assessments has been compiled, the Information Manager will need to begin an initial analysis to identify information/knowledge gaps. These may concern population groups not assessed, locations with difficult access or sectors not covered in some locations. In addition to identifying information gaps, the Information Manager will also need to report whether particular geographical or sectoral areas are being over-assessed by multiple organizations. This process is done in coordination with partners (NGOs, UN agencies, Government offices and so on) so that the resulting outcome is shared and owned by all partners.

Should an emergency needs assessment (ENA) be recommended by the Information Manager based on analysis of the survey of surveys, this topic should be discussed in plenary at the next coordination meeting with partners. For guidance on undertaking and leading an ENA, reference the Emergency Needs Assessment section (Section 6) of this Toolkit.

4.4.2 Refugee Information Management Working Group (RIM WG)

The RIM WG is one element of the IM services that UNHCR provides its partners in refugee operations. With the participation of IM focal points outside of UNHCR, the Information Manager will set up and lead the RIM WG. Although many partner organizations will not have a staff member responsible specifically for information management, each partner organization should be asked to provide at least one focal point to participate in the RIM WG. The RIM WG terms of reference (TORs) are included as an annex in this section.

The RIM WG will coordinate IM activities at the inter-agency level between partners in refugee operations. This coordination is important to ensure the cross-analysis and harmonization of data between organizations, to prevent duplicate or competing data systems from being developed, to enable the sharing of information and to make the best use of humanitarian information management resources. The Information Manager should conduct a mapping of available resources at the operational hub and capital levels, including information on which organizations have datasets and monitoring systems in place already, and which organizations have in-house data collectors, database administrators, translators and data analysts who can assist with IM projects.

The Information Manager will need to lead the RIM WG to do the following:

• Map and harmonize datasets among all operational partners. The Information Manager should track the names of locations, coordinates, Pcodes, common operational datasets (CODs) and fundamental operational datasets (FODs), which may be found at http://cod.humanitarianresponse.info/terms-use in an Excel database. Contact the local OCHA office for area-specific Pcodes. The Information Manager will need to share the Excel database of Pcodes, CODs and FODs with all operational partners, to ensure that emergency partners are using the same units of assessment for data analysis.
• Liaise with implementing and operational partners on data quality issues and data standards; participate in and/or organize inter-agency data groups at the field level; and, if necessary, advise partners on methodological issues and promote timely reporting of data, according to agreed standards, for which they are responsible.
• Ensure consensus surrounding initial population figures, and regularly update partners on registration activities and changing population demographics.
• Distribute information products, CODs and baseline data that should be used by all partners.

4.4.3 Set up web portal and information kiosk

The Information Manager will need to do the following:

• Following approval from the Representative/senior managers, initiate an emergency web portal by contacting web portal administrators. Reference the Web Portal section (Section 17) for instructions on how to initiate a web portal. Working with senior managers, define the frequency of IM products to be updated on the web portal, and begin drafting clearance SOPs for the updating and maintenance of web portal content.
• Begin populating the web portal with the information management products. Meet with the Representative and the external relations officer and discuss web portal needs, such as news highlights, uploading requirements and dissemination schedules.
• Set up and maintain an information kiosk in the UNHCR office, and ensure that hardcopies of information products are available as developed and cleared.
• Use various dissemination channels to share information products and analysis (e-mail lists, SMS, meetings), both within the office and with partners.

Refugee Emergency: Weeks Five–Six

4.5.1 Gather data from sector specialists and understand sector information needs

By the beginning of the fifth or sixth week (or sooner), the Information Manager should meet with programme and all sector specialists to understand what sector-specific information systems are in place and what sector-specific information needs exist. The Information Manager will need to assist all sector specialists with cross-analysis and building or adjusting sectoral data management or tracking tools. For protection and sector-specific IM considerations and tools (where available), refer to the Minimum Sectoral Data sections (Sections 9-14) of this Toolkit.

In this capacity, the Information Manager will need to do the following:

• Hold discussions with the programme officer to understand whether a shelter and core relief item (CRI) distribution monitoring system is functional, and what current needs have been identified. If there is no monitoring and distribution tracking system in place, the Information Manager may establish one. For advice on how to set up a monitoring and distribution tracking system, refer to the Minimum Sectoral Data: C. Core Relief Items section (Section 11) included in this Toolkit.
• The Information Manager should work with the protection officer to gather protection monitoring or needs assessment reports (on security, coping strategies, population movement patterns, etc.), which may impact on the protection situations of persons of concern.
• The Information Manager should gather health, food security, WASH and mortality reports/analyses from respective sector specialists.
• If a vulnerable person case tracking system has been established, the Information Manager should factor this information, as available, into the cross-sectoral analysis. For additional information on registration-related considerations, refer to the Registration in Emergencies section (Section 2) of this Toolkit.
• During the cross-sectoral analysis, if the Information Manager finds conflicting or inconsistent information between sectors, the sectoral leads involved will need to be notified in order to resolve the discrepancies.

Once these steps have been completed, the Information Manager should incorporate sector-specific cross-analysis into existing information products, as agreed with the Representative.

For camp situations, camp profiles should be produced in order to coordinate humanitarian activities across camps and to disseminate multi-sectoral information about particular camps. Refer to Section 8 of this Toolkit for more information on camp profiling.

4.5.2 Identification of IM needs, production of information products and contingency planning

Continue to monitor minimum sector data reports from the sector leads and identify other emergency IM needs as they arise, and include this information and analysis in ongoing standard emergency IM products. The Information Manager may present the most compelling pieces of sectoral information visually, as an info-graphic; see the Info-graphics section of this Toolkit for additional Information.

It may be necessary to transition some of the emergency initial information systems to other systems that can either be sustained over a longer period of time or go into more detail. For example, rapid population estimations could be replaced by an emergency registration.

WHO'S DOING WHAT, WHERE

5.1 Overview and Function

The Who’s Doing What, Where (3W) tool is a practical component of information management for coordination purposes and activity gap analysis. In many cases, other Ws are added such as When, Why and for Whom which expands the tool to 6Ws. At the emergency stage the 3W should be kept simple and potentially expanded as the situation evolves. The raw data from a 3W can also contribute to emergency programme monitoring and is a key component in overall gap analysis representing capacity, which is then compared to needs

Creating, maintaining and sharing a 3W with external partners highlights the coordination and communication role of UNHCR in information management throughout an emergency.

5.2 How-to Guide

5.2.1 Responsibility and reporting

The Information Manager will need to create the format for and maintain a continuously updated 3W format, as well as oversee the dissemination of related information both internally and externally to partners.

Setting up a regular and predictable clearance and dissemination plan for the 3W is important, as partners need to know what to expect and when to expect it. The Representative should be regularly briefed on the 3W, and should agree to a frequent 3W dissemination schedule, externally and internally, of at least two to three times a month.

Once cleared by the UNHCR Representative, and as illustrated in the Mapping section of this Toolkit, the 3W may also be mapped and uploaded on the web portal. Where possible, incorporate creative dissemination techniques – using mass SMS and e-mail lists – and ensure that hardcopies are available at information kiosks, included in briefing kits, etc.

5.2.2 Key Information, sources and maintenance

A 3W is populated through networking at meetings, humanitarian briefings, sectoral working groups, monitoring done by field staff and though informal contacts. The 3W will track information on sector and sub-sector actors, location of activities, funding and whether the information is public.

Whenever there are new attendees at coordination or sectoral meetings, establish communication and gather necessary information for inclusion on the 3W, a copy of which should be shared with new colleagues. If a UNHCR Portal is established information should be consolidated and updated on this platform as soon as possible. You may need to support this with offline 3W matrixes, which are included with this Section of the Toolkit as Annexes 1 and 2.

Under the guidance of senior management, criteria for inclusion and exclusion from the 3W should be decided at the national level. For example, should donors or only implementers appear on a 3W? Should activities that have been planned but not started be included on a 3W, or only those that have begun? Should only those activities that have been authorized by the Government appear on a 3W?

All of these questions should be explicitly considered when deciding who and what to track in the 3W matrix. It is possible to add columns and filters to the spreadsheet template to sort through different types of humanitarian activities – planned vs. started, donor vs. implementer, Government authorized vs. not – and then to produce different 3W matrices for different purposes. If this is done, senior management should make it clear which 3W matrices should appear on very public domains, such as the web portal.

Early in a refugee emergency, it may be difficult to obtain detailed data on activities and locations, as this information remains quite fluid during the first phases of an emergency.  However, if more detailed information on activities and location is required for reporting or coordination purposes, use Annex 1, the Simplified 3W Reporting and Coordination Template, referenced below, to track and follow-up accordingly with the activity focal point.

NEEDS ASSESSMENTS

6 NEEDS ASSESSMENTS

6.1     OVERVIEW AND FUNCTION

Needs assessments are data-collection and analysis exercises conducted at a single point in time, providing a snapshot of the condition of the affected population, including protection issues, availability of resources, the context as well as the sources of problems and their impact on the affected population. Their purpose is to identify protection needs, risks, and solutions in order to inform programme interventions and response activities complementary with positive community coping mechanisms and existing resources.

To be effective, assessments must be joint or harmonised and engage all relevant actors in a sustained multi-stakeholder collaboration, from  planning to analysis to dissemination. In addition, they must build on existing knowledge and data to avoid duplication and reduce the risks and burdens to those involved.

Needs assessments are key to ensuring:

• Humanitarian assistance and protection is both rights-based and needs-based.

• Humanitarian assistance and protection promotes and does not undermine safe local coping mechanisms and capacities.

• The respective needs of different population groups are identified and understood (for example: age, sex to socio-economic factors and other issues).

• Decisions regarding humanitarian assistance and protection are based on verifiable information.

Although information and data may be complementary, needs assessments are different from  monitoring systems as these are intended to continuously collect information on affected areas and people to track changes and trends over time.

Needs assessments gather and analyse both quantitative and qualitative information on the  condition of the affected population (protection threats, capacity, vulnerabilities) at a specific time and place (as defined by the scope and scale of the assessment) and provide info on:

• Protection risks, threats, and vulnerabilities.

• Needs related to the condition of the affected populations.

• Existing capacities and coping strategies.

• Severity of conditions faced by different groups within the population.

6.2 HOW-TO GUIDE

Detailed information and guidance on conducting and coordinating needs assessments is available in the UNHCR Needs Assessment Handbook (August 2017) and the supporting toolkit (available at: needsassesment.unhcr. org).

The Handbook describes UNHCR’s roles in the coordination of humanitarian needs assessments and offers practical guidance on how to conduct needs assessments and analysis for informed decision-making and needs-based response planning. The Needs Assessment Handbook is structured in two parts. The first - recommended for all audiences - provides guidance on different types of assessments, outlines the principles guiding all assessment activities, sets out UNHCR’s roles and responsibilities in different situations, and provides an overview of the steps to conduct needs assessments.

The second part of the Handbook provides detailed practical guidance on how to conduct needs assessments in the field. It can be used as a reference text, with readers referring to specific steps and sections as needed based on their role in the operation or the needs assessment, and the type of situation.

6.2.1 When to conduct a needs assessment

Needs assessments are appropriate and recommended when:

• A new crisis has emerged.

• A sudden and/or substantial change happens in an existing crisis.

• Contingency planning is being undertaken.

• Change in policy, political environment or funding  provides new opportunities and additional information is required.

There are three different degrees of coordination for assessments: joint, harmonized or uncoordinated as detailed in the chart below:

Note: Definitions used in the above chart are from the, ‘IASC Operational Guidance for Coordinated Assessment in Humanitarian Emergencies’ (March 2012).

Needs assessment should be carried out periodically and after substantial changes in the context.

6.3 UNHCR roles and responsibilities

The Needs Assessment Handbook provides guidance on the core coordination models by context, along with guidance on the specific roles of UNHCR staff in preparation for, during or after an assessment as outlined in brief below.

6.3.1 UNHCR Representative

The UNHCR Representative should assume overall responsibility for assessments and take appropriate measures to demonstrate effective leadership in coordinated assessments:

• have a comprehensive cross-sectoral assessment strategy;

• dedicate resources (financial and staff, including: Protection, Programme and IM colleagues) to strengthen needs assessment planning and response;

• coordinate with the government and local authorities;

• focus on conducting intra and inter-agency joint and/or harmonized assessments where possible;

• actively participate in assessment coordination fora chaired by OCHA in IDP situations;

• host inter-agency assessment coordination working groups in refugee situations.

6.3.2 UNHCR Protection staff

UNHCR Protection staff have a  key role to play in assessments:

• working with Programme, and IM colleagues to undertake a comprehensive desk review and the development of an assessment strategy for their operation; including making use of existing data to avoid over-assessment and duplication;

• identifying what data and information is sensitive in the operation context, and promoting appropriate measures to adhere to Protection Information Management and data protection principles;

• leading specific assessments, including protection assessments in IDP and refugee settings and specific, protection-focused participatory assessment exercises, including those relating to sensitive issues such as child protection, SGBV, and vulnerable groups;

• training and sensitizing data collectors and stakeholders on safe and ethical protection principles and good practices;

• participating in conducting intra and inter-agency joint and/or harmonized assessments where possible; including in assessment coordination fora chaired by OCHA in IDP situations;

• identifying protection proxy indicators in other sectors’ assessment data;

• advocating for the systematic inclusion of protection-related questions (including coping mechanisms and community capacities) into needs assessment methodologies.

6.3.3 UNHCR Programme staff

UNHCR Programme staff have the most important role in the assessment process, particularly when they are part of the regular programme cycle. Core tasks should include:

• initiating and managing joint assessment processes to support annual (and multi-year) programme processes;

• working with protection, technical and information and data management colleagues in the development of a comprehensive assessment strategy and an analytical framework to support assessment processes;

• coordinating with technical staff to ensure efficient use of resources, information and timing with specific sectoral assessments;

• ensuring assessment results and data are shared between staff and with partners and affected populations;

• providing response and programme monitoring data for secondary data reviews, including making use of other organization’s secondary data to avoid duplication and identify gaps;

• linking assessment results and findings to budget prioritization, response planning, and programming.

6.3.4 UNHCR Information Management Officers

UNHCR information and data management staff are essential to improved needs assessments, providing technical and practical support.

• collaborating with Programme and Protection colleagues in the development of a comprehensive assessment strategy;.Facilitating the consolidation of  existing data sources to avoid over-assessment and duplication;

• providing technical standardization and information management support, particularly on how needs assessments should be designed and undertaken to respect protection information management principles;

• supporting the design of data collation, collection tools, sampling frameworks, data storage systems, and joint analysis;

• generating data visualization products, including dashboards, infographics, and maps;

• coordinating with other agencies’ or clusters’ information management officers around assessments;

• facilitate the development of an analytical framework to help organize the operation for analysis;

• supporting intra- and inter-agency joint and/or harmonized assessments where possible;

• actively participating in technical assessment coordination fora chaired by OCHA in IDP situations;

• training the data collectors/enumerators on data management practices and responsibilities;

• sharing needs assessment data as appropriate (UNHCR web portal at http://data.unhcr.org (for refugee situations), www.humanitarianresponse.org (for cluster situations); when possible, collecting primary data for needs assessments on mobile devices instead of paper, using UNHCR’s dedicated Kobo server (at http://kobo.unhcr.org).

6.4 NEEDS ASSESSMENT PROCESS

The design of an assessment will be affected by numerous factors. These may include the level of humanitarian access, whether population movements are stable or dynamic, the amount of time and resources available for the needs assessment, and the types of interventions that might be made as a result of the needs assessment.

For in depth guidance on how to conduct a needs assessment, along with other details on the below process, please refer to the UNHCR Needs Assessment Handbook.

Illustrated below is the process for designing and conducting a needs assessment:

A few specific protection IM considerations for needs assessments in emergencies have been highlighted below, which Protection and IM colleagues should be aware of.

6.4.1 Emergencies: Emergency referral system

Needs assessment field teams should be trained on how to escalate life-saving issues and urgent interventions uncovered in the needs assessment to appropriate service providers. Prior to conducting the needs assessment, protection staff need to establish a system for referrals to the relevant sectors; with identified focal points identified and functioning by the start of field needs assessment activities.

Referrals may identify a location, such as a collective centre, in need of WASH intervention or may refer an individual for life-saving intervention, or counseling session. The information collected in referrals should be processed and stored separate from the needs assessment data -  doing so will avoid having the required reports of urgent action mixed in with needs assessment results that will go for data entry. See the UNHCR Referral for Assistance for as an example, and the section of the ToolKit  on Protection Monitoring for additional information on how to set up such a system.

6.4.2 Emergencies: Assessment method and survey design

In practice there are different assessment tools and methods which can be used. A good comprehensive assessment strategy will employ various assessment tools and methods, but should always be guided by the needs of each sector and based on the level and type of operational data required to achieve the identified purpose. This said, the logical unit of measurement for an initial emergency refugee needs assessment should be at the community level, which will save time and reduce the data volume gathered during primary data collection, rather than conducting an emergency needs assessment at the household or individual level. Data collection techniques for community level needs assessments include direct observation, key informant interviews and focus group discussions. The recommended unit of measurement for an urban emergency needs assessment is the: neighborhood, community or district. Assessments should break the city into smaller units and understand the  demographics of affected areas.

For initial emergency needs assessments, diversity driven purposive sampling is the preferred sampling method over representative sampling. Purposive sampling is recommended for rapid assessments because it ensures that the assessment captures different types and levels of impact and is aimed at sampling as many types of sites as possible. Purposive sampling involves, first, defining  which  selection  criteria  are  important  to  consider  according  to  the  assessment  objectives  and second, visiting sites that represent a cross-section of these criteria. Sites can be stratified using criteria such as urban/rural, in camps/outside camps, etc.

When leading an Assessment Team in the prioritization of assessment questions, consider facilitating a group discussion using the Prioritization Graph (available for download here); this can assist with obtaining agreement on questions to include in the assessment. Data elements that have life-saving importance and that are easy to collect should be the priority for an initial assessment.

Where possible, existing assessment forms should be used and amended as necessary.  Some country operations will have developed an emergency needs assessment form during the contingency planning process that may be adapted and used. It is also recommended that Individual sectors test their data-collection forms for primary data  prior  to actually undertaking the needs assessment widely in the field. This may be as simple as sitting with local colleagues to ensure that the interpretation of assessment questions is clear and that the resulting answers will be analyzable.

Depending on time and resources, an urban emergency needs assessment may benefit from the use of crowdsourcing technology and/or the establishment of refugee call-in lines to identify specific emergency needs throughout the city, either in the emergency phase or later monitoring of the situation.

6.4.3 Reducing bias in emergency assessments

Bias is a key concern in primary data collection. Bias refers to a systematic skewing of data which usually impacts the results, and may occur because of under-coverage of some groups, large non-response rates among particular groups, or lack of access. A “biased estimator” is one that systematically over- or underestimates what is being measured. A “biased sample” refers to a sample in which all members of the population are not equally likely to be represented.

Bias can arise from many sources: the assessment team, the community, Government sources, interpreters (if used), key informants, ethnic or gender groups. Individual responses provide important information, but these too will have both an individual and a cultural bias that needs to be considered when analyzing the information.

Throughout the assessment process, consider whether the biases of the interviewer or informant may be influencing results, and adjust methodologies accordingly.

To reduce the bias of any assessment, there are a number of things to remember. Communities are not homogeneous, and information should be gathered from sources that represent different interest groups, including marginalized persons. It’s important to define the different characteristics of people who are being consulted (e.g. those most affected by the crisis, internally displaced persons, minority ethnic groups, etc.) and record this when collecting data, including those groups that may not be represented. Ensure that the affected population is consulted directly and that all demographics within this population (women, children, older persons, the disabled, and ethnic or religious minorities) are consulted. Particular attention needs to be paid to the poorest and most socially excluded people, as these are likely to be worst hit by a crisis.

6.5 TEMPLATES,  REFERENCE DOCUMENTS AND LINKS

• • • All templates, examples, tools and access to field support are available on the Needs Assessment Handbook website, available online at:  needsassessments.unhcr.org

EXTERNAL UPDATES AND FACT SHEETS

Overview and Function

UNHCR has established standard templates for external update documents, produced by field operations and Regional Bureau, which provide operational information on UNHCR’s achievements in an operation or a region.

Consistent reporting and information sharing with donors, partner agencies, plays a critical role in external coordination between UNHCR and our partners, and remains a key activity during the first phase of a refugee emergency. External reporting documents also play a key role in identifying pressing and urgent needs, which may require emergency support or resources.

External Updates and Fact Sheets are not intended to replace internal reports such as SitRep’s. Colleagues in the field, Regional Bureau or HQ may decide if External Updates and/or Fact Sheet’s should be produced and the frequency of dissemination of such documents.

How-to Guide

Depending on resources available during the first phase of a refugee emergency, the Representative may designate the External Relations or Public Information Officer or any other colleague as appropriate, to lead and oversee the process of gathering information for Operational Updates, as well as for the Inter-Agency Update and Fact Sheets.

Reporting and dissemination frequency will be according to needs on the ground as identified by the Representative, with contributions provided by UNHCR protection, registration, information management and sectoral colleagues for UNHCR updates. For inter-agency updates, primary information from operational partners may also be obtained from inter-agency coordination forums such as the UNHCR lead RIM WG (for details on how to set-up a RIM WG please see the Information Management Strategy section of this Toolkit), amongst others.

All templates and clearance procedures are available on the UNHCR intranet at:  https://intranet.unhcr.org/intranet/unhcr/en/home/policy-and-guidance/der.html (please note, this link requires UNHCR intranet access).

1.1.1 Choosing a Template: UNHCR Operational Update and Fact Sheets

The UNHCR Operational Update templates may be used by colleagues who want to report on achievements and challenges for one or more UNHCR operations. Fact sheets are two page documents providing an overview of a UNHCR operation.

• UNHCR Operational Update Template: should be used for reporting on UNHCR’s activities in a specific operation (e.g. UNHCR’s operation in Burkina Faso).
• UNHCR Regional Update Template: should be used for reporting on UNHCR activities in several operations affected by the same crisis (e.g. UNHCR’s response to the Mali situation in Burkina Faso, Mali, Mauritania and Niger) or on several operations that fall under the same region (e.g. UNHCR’s operations in West Africa).
• UNHCR Factsheets: are produced by field operations to provide a quick overview of the operation for external readers such as donors, partners and the general public. 

1.1.2 Choosing a Template: Inter-Agency Update

Inter- Agency Updates refer to UNHCR external inter-agency updates, produced by field operations and Regional Bureau, which provide operational information, such as achievements or challenges faced by UNHCR and partners’ in an operation or a region. External Updates and Fact Sheets are produced by UNHCR and are intended for external coordination and information sharing.

Inter-Agency Update Template should be used for reporting on inter-agency activities for a given refugee operation (e.g. inter-agency activities in Lebanon). These updates should contain all relevant developments related to UN agencies, international organizations, NGOs and governmental agencies.

Inter-Agency Regional Update Template should be used for reporting on inter-agency activities for a given situation (e.g. inter-agency response to the Syria situation in the MENA region and in Turkey).

These updates should contain all relevant developments related to UN agencies, international organizations, NGOs and governmental agencies for a given situation.

Dissimination

Once cleared, the UNHCR Operational Update, Inter-Agency Update or Fact Sheet should be disseminated to the humanitarian community, donors through weekly coordination meetings. These documents may also be uploaded on the UNHCR web portal by the Information Manager, made available inside the UNHCR office or shared regularly through e-mail distribution lists. They are also shared with Permanent Missions in Geneva via email.

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CAMP PROFILES

8.1 Overview and Function

Camp profiles provide a consolidated overview of population statistical data, geographic data, the life-saving sectors, cross-cutting sectoral analysis, and information on activities and gaps in 3W data throughout the initial phase of an emergency.

A camp profile is an information product that assembles information about a camp from multiple data systems in order to give a comprehensive picture of the situation. It is a useful tool for donor briefing kits, new staff arrivals and delegations that visit a camp. It is also useful for coordination and planning purposes. Camp profiles can be in both hardcopy and electronic (e.g. generated by a website) formats. Camp profiles also aid camp management by detailing the cultural background of camp residents, camp resident-organized committees and host community administrative structures, thereby helping responding humanitarians to work within local governance structures.

The camp profile must be disseminated regularly to ensure that parallel information structures are not created and that emergency responders are aware of where to find information.

8.2 How-to Guide

Working with the protection, programme and field officers, the Information Manager may begin to compile the standard camp profile within the first week of arriving in an emergency. A camp profile template is included in the annexes of this section of the Toolkit.

During the first few weeks following the onset of a refugee emergency, it is important to populate the camp profile with all information known about the situation. This includes initial population estimates, demographic and geographic data, as well as information known about the population of concern and partners on the ground responding to the emergency.

The camp profile may also be compiled based on information gathered during an initial emergency needs assessment. Ideally, deciding which information to include or exclude on a camp profile should be done in collaboration with partners, who should be encouraged to provide information for the profile.

When sourcing the information for the camp profile, the Information Manager should leverage the camp management structure. If information needed for the camp profile is unavailable from existing data systems, a data collection form build around the gaps in information can be designed and submitted to the camp manager for populating via the camp coordination partner or NGO. The camp coordinator can then analyze and compile the information, sending it back to the Information Manager for inclusion in the camp profile.

The UNHCR Representative or, as delegated by the Representative, the emergency team leader must clear the camp profile. Once cleared, the camp profile should be cross-analyzed and disseminated to the humanitarian community during the first phase of an emergency through weekly coordination meetings. It can then be uploaded on the UNHCR web portal by the Information Manager. Camp profiles can also be made available inside the camps for when visitors arrive, at hardcopy “Information Stations” in UNHCR offices or through e-mail distribution lists.

Thereafter, the camp profile should be updated with additional registration or demographic information, with developments in the life-saving sectors or with any other information that may be useful in responding to the emergency.

For the first four months of an emergency, the camp profile should detail the following:

• Camp information: Name of camp, date it opened, geographic information for the camp (including GPS coordinates), camp phase, as well as emergency and, if possible, site planning information, such as the area of the site, the number of plots, the maximum capacity of the camp, etc.
• Population statistics: Either at the individual or household level, as well as the date the statistics were collected, population demographic information and cultural background of residents. The profile should also mention whether the residents have identity documentation, ration cards, nutrition records or other documentation that will help to facilitate individual or household case management.
• Life-saving sectoral information: Mortality rates, morbidity data, WASH indicators, shelter and CRI, food, protection and vulnerability assessment.
• Once in place, include information on camp coordination structures.
• Include a running list of 3W information, including areas where there are gaps in ownership of needed activities. This latter part will inform donors and newly arrived partners of ways in which they can get involved.

Tip: The camp profile is a fluid document during the beginning of an emergency, especially as the situation may be changing rapidly and information may be difficult to obtain. Therefore, it is better to include whatever information is known (albeit changing) on the camp profile template, rather than leave it blank.