Introduction to Baseline and Action-oriented Assessments. Learners Notes

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1 Food Security Information for Action Baseline Food Security Assessments Introduction to Baseline and Action-oriented Assessments Learners Notes This course is funded by the European Union and developed by the Food and Agriculture Organization of the United Nations. FAO, 2008

2 Table of contents Learning objectives... 2 Introduction... 2 What is a Baseline Assessment?... 3 Why is a Baseline Assessment needed?... 4 What is an Action-oriented Assessment?... 7 How is an Action-oriented Assessment used?... 8 Differences between Baseline and Action-oriented Assessments How are Baseline and Action-oriented Assessments related? Resource Constraints Assessing Capacity Summary If you want to know more Learner Notes 1

3 Learning objectives At the end of this lesson you will be able to: understand what baseline and action-oriented assessments are; identify differences in terms of purpose, scope and the use of information; be aware of how baselines and action-oriented assessments complement each other; and be aware of resources and capacity required for each type of assessment. Introduction Baseline and action-oriented assessments are investigations undertaken in order to better understand the food security status of a given population, under specific circumstances, at a particular point in time. Overlooking these important assessment steps in conducting a food security activity could lead to inappropriate and ineffective decisions and actions. This lesson illustrates what baseline and action-oriented assessments are and how they differ and complement each other. Learner Notes 2

4 What is a Baseline Assessment? A baseline food security assessment is a comprehensive description of the food security status of a given population in a country or region at a specific point in time. Baseline assessments might include one or several of the following components: 1. Characterization of how the populations live (description of their livelihoods). Livelihoods are the various ways people adopt in order to make a living. These will depend on a number of factors related to the surrounding environment: the natural/geo-physical environment in which they live, such as, weather and climate variability, mountains, valleys, forests, pastures, mineral resources, rivers and lakes, soil fertility the availability and accessibility of infrastructures and services including roads, markets, health and education facilities, employment opportunities... the institutional settings, including the political, administrative and social contexts the various farm and non-farm activities conducted and assets owned by individuals, including productive and non-productive assets (types of food and cash crops grown, livestock, land, houses, farm and transport equipment ). The identification of assets is useful to rank population groups according to wealth and socio-economic status. 2. Understanding the risks and hazards they are facing. In conducting their daily lives, people are exposed to risks that can have potentially devastating impacts on their livelihoods. Risks are the probability of harmful consequences, or expected losses (deaths, injuries, property, livelihoods, economic activity disrupted or environment damaged) resulting from interactions between natural or human-induced hazards and vulnerable conditions. In a baseline assessment, the range of potential risks that can result in a food crisis or from the deterioration in people s livelihoods should be identified. Learner Notes 3

5 3. Understanding their capacities to deal with risk. Once the potential risks have been identified, a baseline assessment should analyse the capacity of the population to cope with and recover from the impact of these risks -- their resilience. In a risky environment, people have developed coping strategies and resilience in order to deal with the various hazards they face. It is important to identify these mechanisms to determine: - how successful they are in helping to overcome the immediate effect of different hazards; - how sustainable they are to supporting people s livelihoods and food security status in the medium to long term. Baselines are conducted fairly infrequently, as people s livelihoods typically change relatively slowly. For example, an assessment may be updated every five or more years, or whenever a dramatic change occurring in the country or region has impacted the baseline conditions (such as a natural disaster, changes in administrative divisions). An initial baseline assessment should be representative of all the prevailing livelihood systems in the country in order to provide a comprehensive picture, taking into account the administrative and agro-ecological zones in the country. This comprehensive picture will help identify where the most vulnerable population groups are located, or hot spots. Please note that given the high cost related to conducting a baseline assessment, subsequent updates might be limited to specific locations where risks of food insecurity are the highest. Why is a Baseline Assessment needed? Baseline assessments provide a reference point and rationale to guide various decision-making processes. A credible and reliable diagnosis of a food security situation can be used: 1. As a reference guide for understanding changes and trends. 2. To inform policies and programmes for long-term development and poverty/vulnerability reduction strategies. 3. To support programmes and projects for emergency preparedness and disaster mitigation. Let s consider each of these three main uses in more detail. Learner Notes 4

6 1. As a reference guide for understanding changes and trends. Information provided through baseline assessments indicates the state of food security at a specific point in time for a specific population. Repeating this type of assessment at another point in time helps identify changes and trends, i.e. improvement/deterioration in the food security status of a given population, as well as the explanatory factors. It also helps identify indicators that should be monitored on a regular basis. Example Example: Monitoring the achievement of the MDGs One use of baseline assessments is to monitor the progress of programmes towards achieving certain objectives, such as the Millennium Development Goals (MDGs). One MDG is halving the number of people who live on a dollar a day or less by year Baseline assessment results can indicate whether the gap between what needs to be done to achieve the MDGs and what is actually being done is narrowing or widening. 2. To inform policies and programmes for long-term development and poverty/vulnerability reduction strategies. Baseline assessments help to identify mechanisms and key constraints, challenges and opportunities towards achieving food security. Analysing people s livelihoods can help to develop more appropriate policies in order to strengthen the most sustainable coping strategies and increase populations resilience. In other words, baselines help to find ways of addressing various constraints that can feed into policies and programmes for long-term development. Example Example: Identifying the causes of poverty and vulnerability. In Zambia, a baseline assessment conducted by the World Bank helped identify the underlying causes of poverty and vulnerability, which included institutional, policy and structural factors as well as risk factors such as climate, health and animal-plant disease and price fluctuations. The Zambia baseline assessment also highlighted how the coping strategies of the population had weakened over the years and identified ways of strengthening them that included improved policies and programmes. Learner Notes 5

7 3. To support programmes and projects for emergency preparedness and disaster mitigation. Baseline assessments may help to understand the impacts of potential disasters to better plan for emergency preparedness. Having depicted a situation before the occurrence of a shock helps to better understand the potential magnitude of the problem, how people could cope with it, the possible level of performance of the institutions they can rely upon and what type of external assistance may be needed. Baseline assessments can help identify where the chronically vulnerable populations are located and how they can be assisted, before shocks occur. Example Example: Emergency preparedness C-SAFE is a joint project of three non-governmental organizations that was implemented from 2002 to 2005 in Lesotho, Zambia and Zimbabwe. The main objectives of the project were to improve the nutritional status of vulnerable population groups, protect their productive assets and strengthen household and community resilience to current and future shocks. For monitoring and evaluation purposes, a baseline survey was conducted at the beginning of the project, anticipating the need to measure outcomes from the actual interventions. Objectives of the assessment: The baseline had two main objectives: (1) establish baseline values of livelihood indicators against which future measurements of goalrelated changes could be made; and (2) increase the understanding of livelihood security factors impacting the lives of rural households. Learner Notes 6

8 What is an Action-oriented Assessment? An action-oriented assessment is used to address a specific issue or problem in order to come up with recommendations that could be immediately translated into actions to solve the identified problem or address the specific issue. Action-oriented assessments are often triggered by a mid-term evaluation/the end of a project or programme or by a monitoring or early warning assessment that indicates the occurrence of a problem, shock or hazard and the need for more specific information in order to better respond to the prevailing situation. Examples include: emergency needs assessments (i.e. the broad range of sectoral needs including food security assessments and food needs assessments) measuring the impact of a specific project or programme. An action-oriented assessment can inform decision-makers on: whether or not to intervene the nature and scale of the intervention that is required prioritization and allocation of resources how effective the programme decisions have been. The information obtained helps to justify the approach taken and measures the extent to which the predicted outcomes of the project/programme have been achieved. This provides further justification and rationale for initiation of new projects or programmes, or their continuation, revision or termination. Action-oriented assessments are part of the process of response/project design, implementation and evaluation. Action-oriented assessments provide an understanding of the magnitude of the problem, how long it will last, who are the most vulnerable groups, and what is the best response in terms of what is needed, how much and for how long. They should also help identify what would happen if no action was taken or if there was an inadequate response. Learner Notes 7

9 Example Example: Emergency assessment OXFAM s experience in Orissa, is an example of emergency assessment. Several villages were hit by cyclones and flood. OXFAM conducted an emergency assessment in Orissa in order to determine what was the impact of the shock, which categories of people were the most affected, in which locations and why; and how to combine food and non-food aid interventions effectively and for how long. This emergency assessment indicated immediate responses required to prevent acute malnutrition and loss of lives, as well as interventions to help rebuild livelihoods. How is an Action-oriented Assessment used? In the case of a project evaluation, the outcomes of the assessment can help fine-tune previous actions and lead to a new orientation of the project. In the course of a project, an action-oriented assessment might be triggered either as a mid-term evaluation in order to check whether previous actions undertaken are producing the expected outcomes, or after the occurrence of a specific shock. Example Example: Assessment conducted after the occurrence of a shock during an ongoing programme. OXFAM had already started a pastoral development programme in 1994 following successive droughts in the Wajir district, in north-east Kenya. After the 1999 drought and the declaration of emergency in the district, a multi-agency emergency food security assessment was conducted and the results were used by OXFAM to modify the actions undertaken in its pastoral development programme. In a food security emergency assessment, problems might be related to lack of food availability, in the event of crop failure due to drought; or a lack of food access, in the event of market failure due to either skyrocketing prices or lack of supply by traders. An action-oriented crop assessment may be required to assess the extent of the crop failures. A market assessment may be triggered by unusually high prices for the season or lack of commodities. In this case, the assessment aims to understand the causes of the shock and the Learner Notes 8

10 impacts on the most vulnerable, and identifies ways of addressing the problem (including food aid, subsidized sales, etc.). Results obtained from such action-oriented assessments contribute to decisions regarding mobilizing required financial, human and logistical resources, planning for appropriate interventions, and targeting effectively and efficiently. These results can also be used as important advocacy tools in attracting government and donor attention to a specific problem and, subsequently, funds to support emergency relief. Let s consider the following example: In 2005, the Government of Niger and UNICEF conducted an emergency nutritional survey in order to assess the magnitude of malnutrition and recent illness among young children. The survey results indicated that among children aged 6-59 months, 15.3% had Global Acute Malnutrition and a greater mortality rate than the emergency threshold (2 deaths per 10,000 children per day); during the preceding two weeks, 72% had fever, and 49.1% had diarrhea. Among children aged 9-59 months, 33.7% had not been vaccinated for measles. The outcome of the assessment was used to trigger an emergency response. In fact, the example shows that nutrition assessments may be triggered by unusual high frequency of visits to health centers in a given area at a specific time of the year. A nutrition assessment would strive to understand how dietary intake and anthropometric status of a population group or subgroup have evolved following a crisis. Results from nutrition assessments help identify appropriate measures to be undertaken including supplementary feeding, oral rehydration, clinical therapy, etc. Learner Notes 9

11 Differences between Baseline and Action-oriented Assessments Let s now focus on the differences between a baseline and an action-oriented assessment. In terms of purpose, the differences are: BASELINE ASSESSMENTS ACTION-ORIENTED ASSESSMENTS Baseline assessments are a multi-purpose exercise with broad objectives. They help decision-makers have a better knowledge and appreciation of a given food security situation. They are focused more on informing mediumand longer-term development planning, programme and project design, monitoring and evaluation. They provide a reference point to compare situations during a crisis. Action-oriented assessments are focused on analysing a problem and identifying what the outcomes and impacts are, in order to trigger a response or corrective action. The difference in terms of scope is threefold, including: the range of issues involved, the timeframe and the geographical area of intervention. ISSUES BASELINE ASSESSMENTS A food security baseline assessment will look at a range of issues affecting the food security status of a given population in order to come up with a holistic picture and a comprehensive understanding of the prevailing situation. ACTION-ORIENTED ASSESSMENTS An action-oriented assessment will focus on problem analysis in order to come up with specific recommendations calling for corrective and immediate actions. A baseline assessment might be An action-oriented assessment is Learner Notes 10

12 TIMEFRAME GEOGRAPHICAL used as a reference guide for at least four to five years if the prevailing situation is not subject to a dramatic change. A baseline assessment intends to cover a more representative part of the country. organized on an ad hoc basis, according to specific needs, and the information is particular to that point in time and usually becomes quickly outdated. An action-oriented assessment is organized on an ad hoc basis, according to specific needs, and the information is particular to that point in time and usually becomes quickly outdated. In terms of use of information, the difference between a baseline and an action-oriented assessment lies in: the number of people who potentially could use the outcome of each assessment type; the way the information is used. BASELINE ASSESSMENTS ACTION-ORIENTED ASSESSMENTS A baseline assessment has a larger potential number of users than an action-oriented assessment and can be used for designing medium- and long-term development policies, academic research, or directly by programme and project managers. The impact on the primary beneficiaries will be more indirect. In contrast, the impact of action-oriented assessments for the primary beneficiaries is expected to be more immediate, as the objective is often to change the course of a project, to save lives or improve the nutritional status of affected populations. Learner Notes 11

13 How are Baseline and Action-oriented Assessments related? We now understand that baseline and action-oriented assessments are distinct products. However, they are closely related in their use and application. Understanding the relationships between the two helps in designing both types more effectively. In particular: 1. Baselines provide a context for action assessments An emergency needs assessment requires a wider analysis of the food security context in order to obtain a better understanding of the problem and come up with appropriate recommendations. Example: In the drought-affected district of Wajir in Kenya, an analysis of the context helped better understand who the people affected by the 1999 drought were, what basic services they had access to, and to what extent the Wajir economy was connected to the rest of the Kenyan economy. The food security context provided in the baseline survey also emphasized the level of civil insecurity resulting from clan conflict over grazing land as well as the conflict in neighboring Somalia. 2. Baselines provide benchmarks and references in order to better assess emergency situations. Food security issues analysed in an emergency assessment (post-crisis situation) provide more credible conclusions if they are compared to a benchmark of a reference period (pre-crisis) derived from a baseline. Example: The nutritional emergency situation in Niger helps illustrate this purpose. Baseline data collected previously by Médecins Sans Frontière (MSF) had shown that [historically during] the lean period (between the exhaustion of food reserves and the new harvest), from June to September the number of [clinic] admissions is high: between 250 and 300 per week. After the harvest, in October, the number of admissions diminishes and maintains itself at a low level (around 50 to 100 per week) until May. However, in 2005, since January, the number of admissions is abnormally high and the situation is rapidly worsening. In March, the MSF feeding programme in Maradi recorded admissions per week, which shows that the situation is very critical (MSF Nutritional Emergency in Niger, July 2005). Learner Notes 12

14 3. Baselines help to differentiate chronic and transitory food insecure populations A chronically food-insecure population group regularly experiences hunger, while a transitory foodinsecure group is affected occasionally. Within a given population, different households may experience different types of food-insecurity. Differentiating between a chronic and a transitory food insecure population is crucial in order to design appropriate interventions, and this is possible if a baseline assessment is already available. Similar interventions are not appropriate in both cases, and baseline assessments usually provide this type of classification of the population under study. Action-oriented assessments should ideally be preceded by or rely upon a baseline assessment in order to gain a thorough understanding of the current situation, and help select key indicators to be measured as part of the action assessment. Results and lessons learned from action-oriented assessments can also serve as a basis for updating a previous baseline assessment. Resource Constraints Several types of resource constraints can emerge while conducting each type of assessment, including time constraints, staff requirements, logistical requirements and financial resources. However, these constraints are different for each type of assessment. BASELINE ASSESSMENTS ACTION-ORIENTED ASSESSMENTS Baseline assessments are planned and organized in advance and are not subject to time constraints. However, their comprehensive dimension requires a substantial amount of human, logistical, technical and financial resources. Therefore they are not always feasible for practical and financial reasons. Action-oriented assessments are conducted promptly in order to address a specific problem or in an emergency situation. They are usually under severe time constraints but require less human and financial resources. Learner Notes 13

15 Sometimes an action-oriented assessment is called for but there is no baseline assessment to guide the process. In these situations one of the following options can be adopted: IF... THEN... The organization that is conducting the assessment has a good knowledge of the area and has already been working previously in the region... Existing staff, who have long experience of the area, can understand the context and the background of the action-oriented assessment. Previous knowledge can then be used as baseline information. The organization does not have a good knowledge of the area... A brief survey of the structural food security situation can be conducted concomitantly with the action-oriented assessment. Key informants and resource persons including local representatives from central authorities, local NGOs, village representatives and traders can be asked about the prevailing pre-crisis situation. Learner Notes 14

16 Assessing Capacity Knowing the general level of performance of existing institutions and their willingness to participate helps to better understand the potential role they can play in providing support and services to the assessment process. External assistance could then be provided to fill any capacity gaps as well as develop programmes to help support capacity building. BASELINE ASSESSMENTS ACTION-ORIENTED ASSESSMENTS Baseline assessments have flexibility in time to allow a thorough assessment of the existing capacities in order to conduct the assessment. This could include an inventory of resource persons from academic institutions, local and international NGOs, and civil servants at national and decentralized levels who could participate. As action-oriented assessments are often conducted promptly, multi-agency initiatives are usually required to combine different expertise and mobilize resource persons at local and decentralized levels, including local authorities, village representatives, local NGOs and traders. What are the roles involved in conducting baseline assessments? In conducting a baseline assessment, it is important to find available human resources to assist with: 1. Conducting secondary data research and analysis and identifying information gaps that need to be filled with primary data collection. This research and analysis can be conducted through academic institutions and research centres. 2. Elaborating a methodology for conducting the whole data collection work, including sampling, questionnaire design, data management and analysis and interpretation of findings. 3. Training enumerators in data collection, participatory interview and survey methods and child anthropometry, if necessary, and hiring supervisors responsible for the quality control of enumerators work. 4. Writing and editing intermediate and final reports. 5. Coordinating the whole process and making sure that all inputs are managed and processed properly. Learner Notes 15

17 In summary, several people and institutions may take part in both types of assessments: local and international NGOs, national and local administrative officials, leaders and staff, representatives from the private sector, civil society, academic and research institutions, etc. Researchers from academic institutions and research centres are more likely to be involved in baseline assessments, where secondary data and analytical capacity are more appropriate. Available time and financial resources, as well as the objectives of the assessment will also guide the selection of appropriate resource persons and institutions. In both cases, two considerations should be taken into account given the specific circumstances and objectives of the assessment: While well informed local skills are useful and cost-effective, using external resources may also be considered in order to take advantage of an independent opinion. This could be the case, for example, when assessing food aid needs of an affected community. In an emergency situation where the purpose of the assessment is to save lives, timeliness and utility of the assessment may be traded against quality and accuracy. Summary A baseline food security assessment is a comprehensive description of the food security status of a given population in a country or region at a specific point in time. Baseline assessments can be used: as a reference guide for understanding changes and trends; to inform policies and programmes for long-term development and poverty/vulnerability reduction strategies; or to support programmes and projects for emergency preparedness and disaster mitigation. An action-oriented assessment is used to address a specific issue or problem in order to come up with recommendations that could be immediately translated into actions. In the case of a project evaluation, the outcomes of an action-oriented assessment can help fine-tune current and future actions and lead to a new orientation of the project. In a food security emergency, an action-oriented assessment may be required to assess the extent of the problem. Baseline and action-oriented assessments are closely related in their use and application. Baseline assessments can provide context, benchmarks and references for interpreting the results of action oriented assessments. Learner Notes 16

18 If you want to know more... Online resources: Mali Rural Community and Household Food Security Profiles. WFP. in Technical Paper Vulnerability Analysis: concepts and case studies in emergency, recovery and development settings. January WFP-VAM-Rome. Concepts and Principles of Household Food Security and Relief Food Management. SCF/UK FEWS NET technical note, guidance, baselines: A review of emergency food security assessment practice in Ethiopia: Young H., S. Jaspars, R. Brown, J. Frize, H. Khogali. Food security assessments in emergency: a livelihoods approach. Humanitarian Network Paper 36, ODI, June Additional readings: Shoham J., Food Security Information Systems supported by Save the Children U.K., a review London. Learner Notes 17