---
title: "ANNEX I: The Five Phases Of The Assessment Framework"
slug: "annex-i-the-five-phases-of-the-assessment-framework"
updated: 2023-12-06T11:31:10Z
published: 2023-12-06T11:31:10Z
canonical: "handbook.fscluster.org/annex-i-the-five-phases-of-the-assessment-framework"
---

> ## Documentation Index
> Fetch the complete documentation index at: https://handbook.fscluster.org/llms.txt
> Use this file to discover all available pages before exploring further.

# ANNEX I: The Five Phases Of The Assessment Framework

| **Assessment Phase** | ***Phase 0:*** ***Preparedness*** | **IMPACT** **Phase 1:** **First 72 Hours** | **Phase 2:** **1-2 weeks** | **Phase 3:** **3-4 weeks** | **Phase 4:** **Week 5 onwards** ***(see note*)*** |
| --- | --- | --- | --- | --- | --- |
| **Recommended Type of Coordinated Assessment** | ***Coordinated assessment preparedness*** *(part of contingency planning)* | ***Initial assessment*** *(“snapshot diagnosis”)* - **Joint assessment** | ***Rapid assessment*** - *Multi cluster/sector initial rapid assessment (MIRA)* - **Joint assessment** | **In-depth assessments** - *Single cluster/sector coordinated in-depth assessments, harmonized across Clusters/Sectors (single agency assessments should be coordinated by cluster coordinators),* *with (early) recovery considerations* - **Harmonised (and Joint) assessments** | **Continued in-depth assessments** - *Continued single cluster/sector coordinated in-depth assessments, with (early) recovery considerations, harmonized across Clusters/ Sectors (single agency assessments should be coordinated by cluster coordinators)* - **Harmonised (and Joint) assessments** |
| **Purpose** | - *Preparedness planning and gathering of pre-crisis data to ensure readiness to respond in a coordinated manner* | - Estimate scale and severity of the impact of the event, - Locate affected populations - Inform initial inter-sectoral analysis and prioritization, response decisions and appeals, - Inform the MIRA in Phase 2 | - Inform initial planning of humanitarian response and highlight priority actions (e.g. for 3 months) - Define focus for follow-on phase 3 in- depth assessments | - Analyse situation and trends, - Adjust ongoing response and appeals - Inform detailed planning for humanitarian relief/early recovery - Establish baseline for operational and strategic performance monitoring - Specify any needs for more in-depth sub-sector analyses | - Analyse situation and trend. - Inform phasing out of life- sustaining activities - Inform detailed planning for humanitarian relief and (early) recovery (and transitioning to recovery and development) - Feed into performance monitoring |
| **Decisions to be Informed** | - *Who will do what, where and with what resources when the emergency occurs.* - *How will assessments and response will be coordinated and prioritized* | - Immediate response actions - Initial appeals (e.g. Flash appeal) - Support donors’ decisions - Mobilisation of technical and management expertise for assessments and initial response - Inform national government’s communication/ messaging | - Response actions (e.g. first 3 months) - Geographic targeting - Beneficiary selection criteria and systems - Response implementation and monitoring systems - Revised appeals - Support donors’ decisions - Communication strategies | - Response actions (more detailed proposal planning) - Support donors’ decisions - Support and inform cluster partners fund raising - HCT agenda - Government agenda | - HRP (and Mid-Year Review) - PDNA/PCNA and National Early Recovery / Reconstruction Plan - Transitional planning (LRRD) |
| **Assessment Level** | - *N/a* | - Community level and KII | - Community level and KII | - Community/HH/individual level | - Community/ HH/individual level |
| **Sources and Assessment Methods** | - *Prepare and agree on assessment formats, indicators and tools* - *Organize trainings on assessment tools (through simulations, tabletop exercises etc.)* - *Establish procedures and responsibilities* - *Prepare key humanitarian indicators and* - *Gather baseline data* - *Prepare fact sheets and lessons learned as relevant* | - Mostly secondary data sources with primary data from remote sensing and direct observation in a limited number of purposively selected site - Expert interpretation of initial reports and remote data | - Mix of secondary and primary field data (collected jointly from selected locations, spread across affected areas) - Rapid appraisal methods only (i.e. key informant interviews, observation, and (focus) group discussions) | - Increasingly primary data sources, such as monitoring systems and joint assessments. The latter will now also include representative sampling - Household level survey and rapid appraisal methods | - Increasingly primary data sources and joint assessments include representative sampling - Household level survey and rapid appraisal methods |
| **Overall Output** | - *Assessment preparedness plan agreed by HCT* - *Pre-crisis data compiled (at ICCG level)* | - Situation Analysis (within 3 days) | - MIRA Report (within 14 days) - *Initial analysis of main problems, risks and gaps – initial planning scenario* | - Sector/cluster reports - *Comprehensive analyses of problems, risks and gaps – updated planning scenario* | - Sector/cluster reports - *Up-dated analyses and planning scenario (ongoing, regular)* - Post-Disaster Needs Assessment and Recovery Framework ([PDNA/RF](https://www.recoveryplatform.org/pdna/)) |
| **Food Security Specific Information Output** | - *Baseline data on food security situation, capacity to respond* - *Impacts of previous similar crises* - *Likely food security impacts of new crisis* - *Lessons from previous response operations* | - Outputs include (as possible): - Nature and scale of expected response requirement - Priority needs, areas and population groups - Estimation of number of people affected - Expected duration of needs | - Initial food security situation analysis: numbers, impacts, causes, forecasts, risks - Updated planning scenario - Initial food security response analysis including options, capacities, constraints, likely effectiveness and efficiency | - FSC strategic approaches further defined - Joint interagency or inter cluster assessments - Joint interagency or inter cluster situation analysis - Gaps/Duplication Matrix | - Recovery progress monitoring - Impact evaluation - Identification of new / projected needs - Challenges to recovery and triggers to initiate recovery-oriented strategies - Institutional capacity analysis |
| **Use of the Information** |  | - Preliminary sector response strategy (for response in the first few days) - Flash appeal | - Initial sector response strategy - Adjustment of initial response - Specific project proposals - Revised flash appeal | - Detailed sector response strategy - Refinement of ongoing projects - Additional project proposals - Revised flash appeal | - Updated sector response strategy, projects and appeals (*Flash appeal: 3-6 months, after this, HNO/HRP*) |
| ***Examples*** | Pre-disaster secondary data (*See examples from Bangladesh on* [*Cyclone*](https://fscluster.org/document/annex-28-pre-disaster-secondary-data)*,* [*Flood*](https://fscluster.org/document/annex-28-pre-disaster-secondary-data-0)*,* [*waterlogging*](https://fscluster.org/document/pre-disaster-secondary-data-waterlogging)) | - **Multi Sector:** Initial MIRA - **FS Specific:** WFP 72-Hr Assessment | - **Multi Sector:** MIRA - **FS Specific:** Rapid EFSA - **Other:** EMMA and RAM | - ##### FS Specific: Rapid EFSA - ##### **Other:** EMMA and RAM | - **Multi Sector:** MSNA (mainly protracted crises) - **FS Specific:** In-depth EFSA, CFSAM, SMART - **Other:** EMMA - **See note below*** |

*Adapted from the IASC* [*Operational Guidance for Coordinated Assessments in Humanitarian Crisis*](https://interagencystandingcommittee.org/system/files/legacy_files/ops_guidance_finalversion2012.%20pdf)*. See pp. 12-20 for more on each of the assessments phases. Note that the IASC operational guidance will be reviewed in 2023 – check the* [*IASC website*](https://interagencystandingcommittee.org/) *for updates.*

****The Examples included under Assessment Phase*** *4 refers to both **Sudden Onset Crises**, where, for example, PDNAs (usually after a MIRA and a rapid EFSA), are undertaken – but also to products commonly used in **Protracted Crises** such as MSNA, indepth EFSA and SMART (a more liberal interpretation of week 5 onwards).*

Multi-Cluster/Sector Initial Rapid Assessment

Humanitarian Country Team

Humanitarian Response Plan

Post-Disaster Needs Assessment

Post-Conflict Needs Assessments

Inter Cluster Coordination Group

Food Security Cluster

Humanitarian Needs Overview

Emergency Food Security Assessment

Emergency Market Mapping and Analysis

Research Assessment and Monitoring (WFP)

Multisector Needs Assessment

Crop and Food Security Assessment Mission

Specific, Measurable, Achievable, Realistic and Time-bound

Inter-Agency Standing Committee