1. FAO GUIDANCE NOTES FOR ACCOUNTABILITY TO AFFECTED
POPULATIONS (AAP) THROUGH THE PROJECT CYCLE
A: PRE-PROJECT CYCLE/Pre-NeedsAssessment
Above isa ‘classic’ProjectCycle diagram.ItsuggeststhatNeedsAssessment,atthe top,mightbe
the firststepin response.The idealfirststepinanyemergencyresponse isindeedtoassessthe
extentandimpactof the damage causedbythe disaster(the needs) andthe capacityof the affected
populationtomeetitsimmediate survival needs(degreeof vulnerability).
Experience hastaughtusthat a lesspromising –but realistic- firststepisoftenadonor approaching
practitioners atshortnotice, to helpthe donorabsorbitsfunds quickly.The rapidtimescalesoften
inhibitrealisticNeedsAssessment –or evenleadtoexistingbaselineandpreparednessplansbeing
overlooked - aslargeractors rushto engage smalleractorsto actuallycarry outthe work.
Failingtofindout – fromthem - what communitiesneedandwantoftenleadstopoorquality
programmes,withthe effectsoftencontinuinglongafteranyemergencystage,andevenpreventing
timelyrecovery.Sohowdowe ensure thatthisvital stage of NeedsAssessmentisdone adequately,
whilsttakingopportunitiesprovidedbydonorstomeetneeds?
Firstly,donorsare oftenthe majordriversbehindAccountabilitytoAffectedPopulations.We should
be able to approach theirrepresentativestoensure thatmoneyandtime isspentwisely.Each
contextisdifferent,anddonorpresence variesgreatly;irrespectiveof this:
Can you open a dialogue with the donor to ensure time and money budgetingofNeeds
Assessment?Isit possible to ensure that M&E is properlybudgetedthroughout the whole project
cycle and beyond(ifa Tracking Study can be approved, impact can be assessedand lessons
learnedmore than a year after projectclose).If donors and practitionersare alreadygearing up to
delivergoods,what is the mechanismfor amendingthe projectif NeedsAssessmentshowsthat
these goods are not optimal (or evenwanted)?
If FAO doesnothave in-depthknowledge of acontext,apopulationora vulnerable group,itisgood
practice to opendialogue withadonor,and agree when activitiesandtargetswill be firmedup.(For
thisreason,one NGOprojectsubmittedtoa donorhad the acronym TOSCADAR,andthe unwieldy
title ‘Technical andOperationalSkillsof CivilActorsforthe DisplacedandAtRisk’;the donorwished

2. the trustedNGO to take on an entirelynew geographical area,new partnersand new objectives;the
loose title suitedbothpartiesuntil NeedsAssessmentcould laterfirmupthe programme plan.)
PartnershipAgreements:FAO,andmost UN agencies, workmostlythroughpartnershipagreements
withNational (NNGOs) andinternational (INGOs) NGOs.These containvaryinglevelsof detail,and
transparencybetweenpartners,andthe mainareasof substance (i) the desirabilityof pre-crisis
country-level agreements(ii) timelinessandpredictabilityof fundingand(iii)the needforadequate
indirectcostpercentagestoallowaprojectto succeed,withapositive ambitionbeingthatof
capacity-buildingandinstitutional strengthening.Central AfricanRepublicisanexample where
practical attemptshave beenmade toimprove FAO-NGOcontractsandrelationships1
.
B: THE PROJECT CYCLE OF FAO AND OTHERS2
:
Six stagesare identifiedinthe FAOprojectcycle (Figure 2):
I Identification:generationof the initial projectideaandpreliminarydesign
II Preparation:detaileddesignof the projectaddressingtechnical andoperationalaspects
III Appraisal:analysisof the projectfrom technical,financial,economic, gender,social,institutional
and environmental perspectives
IV Proposal preparation,approvalandfinancing:writingthe projectproposal,securingapproval for
implementationandarrangingsourcesof finance
V Implementationandmonitoring:implementationof projectactivities, withon-goingcheckson
progressandfeedback
VI Evaluation:periodicreviewof projectwithfeedbackfornextprojectcycle.
The cycle representsacontinuousprocessinwhicheachstage providesthe foundationforthe next.
Figure 3, belowhastwomainAAP components:(i) the centralityof communityparticipationinall
projectswhichaffecttheirlives asa rightat all stages(ii) M&E isnot an academicexercise:‘value for
1 Availablefromdhampson2001@yahoo.com
2 Taken from http://www.fao.org/docrep/012/ak211e/ak211e00.pdf
Identification
Preparation
Appraisal
Proposal,
Approval and
Financing
Implementation
and Monitoring
Evaluation

3. money’requiresthatitbe used,shared,and,crucially,provoke positive changes/modificationsfor
beneficiaries,underthe maxim‘Knowledge isnogoodunlessitisappliedusefully’3
.
The simplicity of Figure 4(below) supportsthe AAPelementof transparencyandcommunication:
3 After Nigel Rushman
AP
Participation
Plan
Do
Monitor
(analyse,
share,
modify)
Do
Evaluate
(analyse,
share,
modify)
Do
Plan
DoMonitor
Evaluate
AP
Participation

4. 1. NeedsAssessment
A commonmistake istooverlooksecondarysources –government,FAO,universities,NGOs –who
have alreadyconductedstudiesatcommunitylevel. Forexample,FAOCountryGenderAssessments
may give useful dataandpointersonthe gender-baseddivisionof labourinfisheries,agriculture,
livestock,forestryetc, anda picture of genderinequalitiesandfactorsof marginalisation.Both
official reports suchasCountryEvaluations,Programme FrameworksandReviews, and‘grey
literature’cangive apicture of needs,andthe PRT can designate feasibleresearchtaskstostaff and
volunteerstoensure thatsummariesandkeypointsfeedintothe knowledge base. If impactistobe
shownat the endof a project(andhopefullybeyond),then abaseline –oftenusinga‘beneficiary
baseline form’ - mustbe establishedforpre- andpost-crisiscomparison.
NeedsAssessments togatherprimarydata can take the followingforms4
:
 Rapid assessment: Immediatelyafteradisaster,rapidassessmentprovidesinformationon
needs,possible coursesof actionandresource requirements.Itnormallytakesuptoa week.
 Detailedassessment:A more detailedassessmentiscarriedoutaftera rapid assessment,if
the situationischangingandmore informationisneeded.Ittakesaboutone month,
dependingonthe size of the areaand the complexityof the situation.
 Continual assessment:Disastersituationsevolverapidlyandinclude unexpectedknock-on
effects,suchaspopulationmovements.Assessmentshouldtherefore be anon-going
processthroughoutthe emergencyphase.Informationiscontinuallyupdatedsothatrelief
and programmingcanbe adaptedtoevolvingneeds.
Co-ordinationfora,suchas co-leadsinthe foodsecuritysector(emergency) andthe UNDAF
(development) outcome1(economicempowerment,livelihoods,foodsecurityanddecentwork)
shouldbe engagedatthisstage.
There isno crisisto whichFAOshouldrespondwithoutsome (evenif minimal) needsassessmentat
communitylevel.Atthe verymostextreme,aidagencies’fieldpractitionersgenerallymake
reconnaissance missionsintocrisisareastocheckwhetherroadsare free fromfallentreesandother
barriers,whetherpopulationsare in-situetc.Communitiesthemselves - eveninthe direstsituations
– have usuallymade theirfirstrecovery stepsbeforeaidactorshave reachedthe stage of Concept
Note.Asa basic rightsissue,aidprovisionshouldfitintothose stepsnotthe otherwayround.
In practical terms– at the extreme – this might mean that you discuss withpractitioners (often
NGOstaff) about theirability to get out of theirvehiclesand conduct Focus GroupDiscussions5
with whoeveris available and willingto talk. And if thisproves impossible,tohave a short list of
(householdsurvey) questionstoask individualsabout their most urgentneedswith which FAO
might assist. It is also essential tolisten – because the questionsmight fail to prompt
communities’priorityfood/agricultural concerns6
,and to gather key non-agricultural,non-food
needssuch as water and sanitation,householditems,shelter,medical/psychosocial whichshould
be passedon to other relevantaid actors.
4 From http://www.ifrc.org/Global/Publications/disasters/guidelines/guidelines-for-emergency-en.pdf
5 FAO has a two-day (includingonefield day) FGD trainingcoursein French, easily translated into English
dhampson2001@yahoo.com
6 A recent FAO Focus Group discussion with women in Mali was conducted by mechanically followingguidance
questions.At the very end, when the facilitator asked ‘Any questions?’women agreed ‘That’s fine, but we
don’t work on those crops.What we want is flood dams to grow vegetables!’

5. Participatoryanalysisof vulnerability7
:ThroughoutNeedsAssessment,meaningful participation - of
differentgroupsof women andmenandappropriate local organisationsandinstitutions - isvital at
all stagesof the assessment.Programmesshouldbuildonlocal knowledge,be basedonneedand
tailoredtothe local context.
Some of the featuresof the FAOneedsassessmentstage inresponsetoTyphoonHaiyaninthe
Philippineswere:
 Damage assessmentreport bycommunity.
 Categorizationof level of damage (totally,partially…).
 Identificationof majorFAO-relatedaffectedgroup(farmers)
 Prioritizationbasedonvulnerability(contextually-based,including: economicstatus,gender,
disabilitiesandvictimisation) andcapacities(context-specific;are we supportingpeople who
create impact fromour support?Or fillinggaps incommunity-basedorgovernmentsupport?)
 Proportionate allocation of support.
 Liaisonwithvillage level Governmentfora bottom-upapproach.
The impact will varyconsiderablyfromone disastertoanother, buttypical needs whicharise8
often
include the following(and sometimesinasimilarorder):
 safe drinkingwater
 urgentmedical care includingvaccinations;
 food;
 sanitationandwaste disposal;
 shelter;
 essential items,suchasblankets,heaters,watercontainers;
 psychosocial support
 inputsforthe nextsowingseason(if applicable)
FAOis therefore notatthe forefrontof the emergencyresponse,butneedstobe inter-actingwith
emergencyagenciestounderstandpopulations’movements,the politicalandsecurityenvironment,
emergingneedsandtrends.Itisparticularlyessential thatneedsassessmentsinvolvingagricultural
inputscloselyimplicateaffectedpopulations(APs) because APsare oftenriskingthe mostvaluable
assetstheyhave (landandlabour) onprojects(egharvests) whose outcome isuncertain.FAOhasan
expandingexperience,toolkitandtrainingmethodologyonSeedSecurityAssessment(SSA),and
mightexpect– andbe expected –totake the leadonagricultural inputs; initsSSA methodology,
FAOwarns of knee-jerkdistributionsof seedwhere farmer own-sourcedseedisavailableand
preferred. Questionstobe asked underFAO’sSeedSecurityConceptual Framework include:Isseed
Available?(Includingown-sourced)?Dofarmershave Access? (Thisoftenrelatesto cost, and
therefore to socio-economicvulnerability,butalsogender,disabilityandother vulnerable issues).
Can a Varietyof seedbe offeredwhich isSuitable?(basedon agro-ecological zones,but also on
farmer stated needand preference,whichoftendiffersfromthe advice of agronomists).Is the
seedof sufficientQuality?(Thismust be determinedbyfarmers, not only by laboratories).Are we
strengtheningResilience? (Thisshouldbe gauged from a community social perspective,aswell as
technically.)
7
SPHERE Handbook, slightly amended – pg. 153
8 Re-ordered IFRC sources http://www.ifrc.org/Global/Publications/disasters/guidelines/guidelines-for-
emergency-en.pdf and using – http://www.ifrc.org/en/what-we-do/disaster-
management/responding/disaster-response-system/emergency-needs-assessment/

6. An Assessmentisdesignedtoidentifyneedsrequiringexternal interventionandthe gapstobe filled.
It isa vital componentof the programme-planningprocess.Itprovidesthe informationonwhichkey
decisionsaffectingthe livesof the disastervictimswill be made.
It isworth emphasising thatpoorassessmentsoftenleadtopoorplanningdecisionsand inadequate
response,withlong-termnegativeimplications. Atthe veryleast,all researchshouldbe freely
shared. More ambitiously,attemptsshouldoftenbe made withinClustersandother foratoconduct
JointNeedsAssessmentswherepossible,ortostandardize the toolsusedforemergency
assessments. Local andnational authorities,civil societyandaffectedcommunitiesare encouraged
to participate inthisprocess,the outputof whichis a humanitarianneedsoverview (HNO)9
.‘A
coordinatedapproachtothe assessmentof anemergencyandtothe prioritisationof the needsof
affectedpeoplelaysthe foundationforacoherentandefficienthumanitarianresponse’10
.
For protractedcrises,the depthandvolume of informationneededforaneffective response
increasesasit evolves.Thisoftentranslatesintoarequirementforin-depthcluster/sector,thematic
or agency-specificassessmentstoinformplanningandoperations,whichinturnnecessitatesa
harmonizedassessmentapproachwithjointneedsanalysis. Needsassessmentprovidesthe
evidence base for[strategic] planning,aswell asthe baseline informationuponwhichsituationand
response monitoringsystemswillrely.Itshouldtherefore formacontinuousprocessthroughoutthe
humanitarianprogramme cycle.
NeedsAssessmentToolsinclude those of Rapid Rural Appraisal11
( RRA see also
http://www.fao.org/docrep/w3241e/w3241e09.htm)
 Reviewof secondarysources,includingaerial photos,evenbrief aerialobservation
 Directobservation,foottransects,familiarization,participationinactivities
 Interviewswithkeyinformants,groupinterviews,workshops
 Mapping,diagramming
 Biographies,local histories,case studies
 Rankingandscoring
 Time lines
 Short simple questionnaires,towardsendof process
 Rapidreportwritinginthe field.
For a more detailedassessment(butnotnecessarilyalengthyone), ParticipatoryRural Appraisal:
 Resource andSocial Maps
 WealthRankingObjectives
 Local Perceptionsof MalnutritionMappingObjectives:
 Venn or ‘Chapatti’ Diagramon Institutions
 Resource Cards
 Clocks& Calendars(DailyActivityClocks mayelicitgender-specificrolesinworkand
workloads;Seasonal Calendarstounderstandagricultural contextsincludingAP
availability)
 Income andExpenditure Matrix
 DailyActivityClocks
9 http://www.humanitarianresponse.info/programme-cycle/space/page/assessments-overview)
10 Sphere handbook, p. 153
11 (Taken from: https://www.iisd.org/casl/CASLGuide/RapidRuralAppraisal.htm

7.  Focus groupdiscussion
 Constraints/ OpportunitiestoNutritionandHouseholdFoodSecurity
 Semi StructuredInterview:HouseholdCase Study
 CommunityWorkshop
 DailyEvaluationandPlanningMeeting12
Otherrelevanttoolsmightincludesocio-economic,foodsecurity,livelihoodassessment,
communityfeedbackrecords,andrelevantvoluntaryguidelinesinthe contextof foodsecurity,
possiblywithinthe MIRA emergencyframeworkif applicable.
2. Project Formulation
Projectideasoften originatefromamix of institutional sources,suchasauthoritiesinnational
governments(throughrequestsof varyingdegreesof formality);regional economicintegration
organizationsandpartnerorganizations,FAOstaff invariouslocations.The doorshouldalsobe open
to directrequestsfromcommunitiesforassistance throughFGDsor‘townhall’meetings andfitinot
local resilience andcopinganaylsis .Afterthis,the projectshouldbe consideredinitscontext,
aligningwithnational andlocal strategiesthroughthe Ministerof Agriculture, programme
frameworkanddonorpriorities.
Duringthe projectformulationphase,detailedproblemandstakeholderanalysesaswell asanalysis
of objectivesandpossible strategiesagainstFAOcomparative advantagesare carriedout.
Thisis fundamental forthe qualityof the formulationprocess.Inthisphase,all necessaryinputsare
definedtoensure acomplete operational,administrativeandlegal frameworkforproject
implementation.Basedonthe ConceptNote andthe furtherdetailedanalysis,afully-fledgedProject
Document isdevelopedandsubmittedtoa resource partnerforsupport.
Thisphase includesthe followingsteps:
1. Confirmationof full ProjectTaskForce (PTF)
2. Analysisandstakeholderconsultations
3. Identificationof projectimplementationmodality
4. Formulationof standardprojectdocumentation(projectdocumentandprojectagreement(s)13
Strategic Planningin the Humanitarian Programme Cycle
Bestpractices of howAAPelementsof gender,transparency,governance etchave been
incorporatedincountriesworldwide canbe foundat:
http://www.humanitarianresponse.info/programme-cycle/space/strategic-planning-best-practice
Have you consideredwho else mightcontribute? An elementoftenoverlookedbyexternal
humanitarianactorsinstrategicplanningiscounterpartcommitmentsfromvariouspartners.Itis
useful tolookat anyexistinglocal government legislationrelatingtothe project, eg. inthe
Philippines14
,local governmentunits(LGUs) are mandatedtoprotecttheirnatural resourcesas
12
Taken from http://www.fao.org/docrep/w3241e/w3241e09.html other useful links include
http://sergiorosendo.pbworks.com/f/Chambers+on+the+challenges+and+potential+of+PRA.pdf
http://www.fao.org/docrep/w3241e/w3241e09.htm
13
(FromFAO’sHandbook:
http://intranet.fao.org/faohandbook/area/projects/phase_2_project_formulation/how_to/)
14 http://oneocean.org/download/db_files/mending_nets2nd_ed.pdf

8. prescribed bythe Philippine Constitutionandwill therefore already have institutionalised funding
whichcan be usedto generate deeperaccountabilityandeffective implementation. Community
counterpartshouldalsobe explored;notonlydoesthisreduce costsandincrease ownership,itis
the embodimentof arightto be involvedinprojectswhichaffectlivesinthe community.
Commonstepsinstrategicplanninginclude:
1. Identifyandcategorise projectstakeholders
2. Create a Probable CharacterProfile foreachStakeholderbyseekinganswersto pre-agreedlines
of enquiry
3. Identifythe SWOC(strengths,weaknesses,opportunities,constraints)
4. Identifythe mainindividuals/groupsof Stakeholderswhoneedspecial attentionandpropose
specificmeasures inasummarytable
5. Logical FrameworkAnalysis15
. Thisreceivesprominence inFAO’sapproachtoProjectCycle
planning. Althoughitisoftengeneratedbydonordemand, andperceivedtobe a ‘topdown’
objective-oriented(asopposedtocommunity-generated)tool,the Logframe canbe strippedto
the verybare essentialsand publicly presented (egonverylarge flipchartpaperstapedtogether)
to community,whocancritique (classicallyusingstickynotes,uponwhichstrengthof assentcan
be gatheredbyvotingegwithstonesor beans)
An importantfactorinFAO’sexistingProjectCycle planningisclarityonwhetherFAOor
Governmentisultimatelytechnicallyandfiduciaryaccountable forall expectedprojectoutcomes16
.
3. Targeting
‘As foodsecurityandnutritionstandardsandkeyactionsare implemented,avulnerabilityand
capacityanalysishelpstoensure thatdisasterresponseeffortsupportsthose whoneeditmost, ina
non-discriminatorymanner.Thisrequiresathoroughunderstandingof the local contextandof how
a particularcrisisimpactson particulargroupsof people indifferentwaysdue totheir pre-existing
vulnerabilities(e.g.beingverypoorordiscriminatedagainst),theirexposure tovariousprotection
threats(e.g.gender-basedviolence includingsexual exploitation),diseaseincidence orprevalence
(e.g.HIV or tuberculosis)andpossibilitiesof epidemics(e.g.measlesorcholera).Disasterscanmake
pre-existinginequalitiesworse.However,supportforpeople’scopingstrategies,resilience and
recoverycapacitiesisessential.Theirknowledge,skillsandstrategiesneedtobe supportedandtheir
access to social,legal,financialandpsychosocial supportadvocatedfor.The variousphysical,
cultural,economicandsocial barrierstheymayface inaccessingthese servicesinanequitable
manneralsoneedtobe addressed.
The followinghighlightsome of the keyareasthatwill ensure thatthe rightsandcapacitiesof all
vulnerable people are considered:
 Optimise people’sparticipation,ensuringthatall representative groupsare included,
especiallythose whoare lessvisible(e.g.individualswhohave communicationdifficulties,
mobilitydifficulties,those livingininstitutions,stigmatisedyouthandotherunder- or
unrepresentedgroups).
 Disaggregate databy sex,economicstatus andage (0–80+ years) duringassessment –thisis
an importantelementinensuringthatthe foodsecurityandnutritionsectoradequately
considersthe diversityof populations.
1. 15 (Taken from http://www.ecode.es/marco_logico/pdf/16.pdf
16 http://www.fao.org/docrep/016/ap105e/ap105e.pdf

9.  Ensure that the right toinformationonentitlementsiscommunicatedinawaythat is
inclusive andaccessible toall membersof the community’17
• Contextisall-importantinvulnerabilityandcapacityanalysis.A groupwhichwithlow
vulnerabilityandhighcapacityinone environment(egyoungmenpre-crisisinSyria) maybe
inexactlythe opposite categoryinanother(eghavingcrossedinto Iraqtotry and send
moneybackto familiesbutfindingonlyconscriptionintoarmedforcesanddeepsuspicion
fromfellowSyrianrefugeesoncampsbecause of theirstatusof beingyoung,alone and
male).Itisnot enoughtosimplysay‘Womenandchildren are the mostvulnerable’
(althoughtheymightwell be);itisnecessarytolookatmultiple definingcharacteristicsin
the particularcontextandwork out vulnerabilityandcapacitystatusinwhatmightbe a
shiftingenvironment.Withinsub-sectorsof groups,the statusof the followinggroups might
be particularlyworthinvestigationof bothvulnerabilityandcapacities:
• Women:pregnancy,mothers,single mothers,widows,unmarriedadultwomen
• Men: ex-combatants,unable tocare forfamilies,riskof detention/violence
• Children0-17,alone,recruited,introuble,under-nourished,under-stimulated
• People whoare:
– Elderly,withoutfamilycare-givers
– Extremelypoor
– Refugees,IDPs,migrants(egtraffickedwomen,childrenwithoutI.D.papers)
– exposedtovery stressful events/trauma(survivors,witnesses)
– withpre-existing,physical ormental disabilities/disorders,ininstitutions
– subjecttosocial stigma(e.g.untouchables/dalit,sex workers,withdisorders)
– specificriskof humanrightsviolations(activists,minorities)
Try to developthe reflexofthinking‘Diversity& Context’and assessingPower & Privilege inthat
context. Try to rememberthat ‘At risk’ doesnot mean ‘passive victim’.And – as at all stages –
involve communityin your assessments. If you approach APs and ask ‘Whois vulnerable?’youare
likelyto get the answer ‘All of us!’. Ifyou explainyourtargeting criteria, with itsrationale, and you
engage community in vulnerabilitymapping – which shouldbe both repeatedand cross-
referencedforbiases- you are likelyto get a more sophisticatedpicture of where your project
shouldbe targeted. As an absolute minimum,in the most acute of emergencies,APsmustreceive
notice of projects withcontact details(perhapsa hotline or call centre),and presentthe structure
with which the outside body will co-operate (egvillage council,farmer or women’sassociation
etc),and through whom individualswill applyfor project activities. Ideally,thisprocess will be
multi-partnerand may involve thirdparty cross-checking;verificationvisitsmay be used to finalise
final beneficiarylists.
4. Delivery(including procurementand distributions)
Ideally,some testingof communityneedsandwants (oftenthroughfocusgroupdiscussion) should
precede procurement.Inemergency crisissituations,this isunlikelytobe scientificallyvalidoreven
representative of the entire communities’needs,butitcandeliverdramaticresults.Forexample,
the importof CatholicRelief Service sanitarytowelsforwomenatthe depthof the Darfur Crisiswas
haltedtoallowtime forconsultationwithwomen,organisedthroughfemale Sudaneseacademics.
Darfurianwomen’sresponsessavedtime,logisticsandmoney;theirrequestforbrowncottoncloths
of a particularsize waseasilymet.Procurementitself shouldbe conductedthrough Lettersof
Agreementusingthe anti-corruptionstepsenumeratedinthe FAOhandbook.
17 SPHERE Handbook – pg. 149

10. The risk of exclusionandinclusionerrorsduringdeliveryanddistributionmethodsshould be
reducedbythe above targeting. Thisincludesthe riskthatfood,cashor otherassistance is
misappropriatedbycombatants. Underthe ‘DoNoHarm’ imperative18
, itisimportantthatfood
securityinterventionsare notdivertedtoworsenconflicts.
 Conditionsonthe grounddetermine the bestrecipienttoselect,andchangingconditions
may change the recipient.The risksinherentindistributionsviarepresentativesorleaders
shouldbe carefullyassessed.The selectionof the recipientsshouldconsiderthe impacton
workloadsandpossible risksof violence,includingdomesticabuse.
 The frequencyof distributionsshouldconsiderthe weightof the foodrationandthe
beneficiaries’meanstocarryit home.Specificactionmaybe necessarytoensure that older
people andpersonswithdisabilitiescancollecttheirentitlements.
 Attemptstotargetvulnerable peopleshouldnotaddtoany stigmathat theyalready
experience.
 Distributionpointsshouldbe establishedwhere theyare safe andmostconvenientfor the
recipients,notbasedonlogisticconvenienceforthe agency.
 The frequencyof distributionsandthe numberof distributionpointsshouldtake into
account the time ittakesrecipientstotravel todistributionpointsandthe practicalitiesand
costs of transportingcommodities19
.
5. Monitoring
Response monitoringisacontinuousprocessthattracks the humanitarianassistance deliveredto
affectedpopulationscomparedtotargetssetoutinthe strategicresponse plan(SRP).
Monitoringtracksthe inputs,andthe outputsresultingfrominterventionstoaffectedpopulations,
charts the outcomesof clusteractivities,andmeasuresprogresstowardsthe strategicobjectivesof
the SRP, while consideringthe diversityof the affectedpopulationandtheirperspectivesof the
response. Itisa keystepinthe programme cycle asit seekstodetermine if the humanitarian
communityisdoingwhatithas committedtodoinginthe SRP.
Response monitoringseekstoachieve twomaingoals:
1. to identifyshortcomingsinthe deliveryof humanitarianaidasplannedinthe SRP,and
2. to improve accountabilitytoaffectedpopulationsandotherstakeholders.
It isimportantto understand,howeverthatresponse monitoringexplicitlydoesnotaimto:
 followchangesinthe contextorhumanitarianneeds,whichisneedsassessment
 track operational aspectsof the response,whichispartof coordination,exceptinthe initial
weeksof a sudden-onsetemergency
 examine the performance of the coordinationsystems,whichisprocessmonitoringandis
addressedthroughclusterperformance monitoringandoperational peerreview
 gauge the qualityandimpact of the response delivered,whichisevaluation.
18 After Mary Anderson, see http://www.conflictsensitivity.org/node/103
19
Taken from SPHERE Handbook – Pg. 194-196,175

11. (http://www.humanitarianresponse.info/programme-cycle/space/page/monitoring-overview)
Monitoringandevaluationshouldbe carriedoutatall levelsof the supplychainandtothe pointof
consumption.Atdistributionpoints,checkthatarrangementsfordistributionsare inplace before
theytake place (e.g.forregistration,security,disseminationof information).Randomweighing
shouldbe carriedouton rationscollectedbyhouseholdstomeasure the accuracyand equityof
distributionmanagement,withrecipientsinterviewed. Seedqualityshouldbe assessedby
transparentcommunityconsultation ondistribution,andfollowedupbyassessmentthroughoutthe
projectcycle. Randomvisitstohouseholdscanhelpascertainthe acceptabilityandusefulnessof
goods,and alsoidentifypeople whomeetthe selectioncriteriabut have notbeenrecipients. Such
visitscanalso discoverown-seed-source,orwhetherothergoods are beingreceived,theirorigins,
use and targeting.Suchinvestigationmayexpose corruptprocessessuchas commandeering,
recruitmentorexploitation,sexual orotherwise.Monitoringshould alsoprovide data(possiblyusing
a Post DistributionorPost ActivityMonitoringSheet) onvisibility,gender,satisfactionandsafety
criteria,analyse any impactonbeneficiaries.
Questionstoaskmightinclude: AmI opento re-settingorcalibrating project directionifdata
suggestsit is necessary?How much data do I needto collect?How much can I process?How do I
expectto use data? How will I feedresultsback to communities?
Monitoring– like evaluation - hasa cost instaff time,salary and resources.Itshouldalsotherefore
have a benefit.If there is nopossibilityof changed,andhopefullyimproved,action,the participation
isfake or token20
. See againFigure 3, and the ‘modify’and‘do’stagesbetweenmonitoringto
evaluation,andevaluationtoplanning.
UsuallyinFAO,monitoringwillneedtoreceiveattentionfromboththe Civil SocietyOrganisation
carryingout the work,and FAOwho issupervisingit.One simple projectproposal for
implementation-stage learningworkshopsisproposedinUNDPs‘A ToolkitforStrengthening
Partnerships’21
A detailedguidetomonitoringwithagenderlens,fromthe Multi Cluster/SectorInitial Rapid
Assessment(MIRA 1) to LivelihoodRecoveryAssessmentisprovidedbyFAO’sGenderinplanned
needsassessmentsmatrix22
6. Evaluation
The FAO Handbook covers the organisation’s evaluationframework comprehensively. Itstates
that Evaluationconcernsthe systematicandobjective assessmentof anongoingorcompleted
project,programme orpolicy,itsdesign,implementationandresults.Anevaluationshouldprovide
informationthatiscredible anduseful,enablingthe incorporationof lessonslearnedintothe
decisionmakingprocessforall stakeholders. FAOconductsthree typesof evaluations:1)
thematic/strategicevaluationsthatare presentedtothe GoverningBodies;2) countryevaluations;
and 3) projectevaluations.
20 Or, after Sherry Arnstein 1969,‘non-participation’and ‘manipulation’scroll down to Ladder of Participation
at http://lithgow-schmidt.dk/sherry-arnstein/ladder-of-citizen-participation.html
21 http://www.undp.org/content/dam/aplaws/publication/en/publications/democratic-governance/oslo-
governance-center/civic-engagement/undp-and-civil-society-organizations-a-toolkit-for-strengthening-
partnerships/UNDP%20and%20Civil%20Society%20Organizations%20a%20Toolkit%20for%20Strengthening%2
0Partnerships.pdf p.66 . This document is also useful for assessingpotential partners,scopeof different
partnerships and civil society advisory committees
22 from Alexandra.Guyetsky@fao.org

12. Thematic/strategic evaluations60
aim,throughenhancedaccountabilityandlearning,toimprovethe
relevance,effectiveness,efficiency,sustainabilityandimpactof FAO’sworkinspecifictechnical
areas or inthe implementationof corporate strategies,themesandpolicies.Theytake into
considerationthe explicitandimplicitgoalsof the Organization;itsfunctions,andthe global context.
Country evaluationsaimto improve the relevance,effectiveness,efficiency,sustainabilityand
impactof FAOservicestothe countryin question.Lessonslearnedfromthe evaluationmayalsobe
applicable toothercountriesfacingsimilardevelopmentchallenges.The evaluations take into
consideration acountry’scontext, policiesandstrategies, the role playedbyotheractors, how FAO
workswithinthe UN CountryTeam and othercoordinationmechanismssuchasthe FoodSecurity
Cluster.Countryevaluationsusuallycoverafive to six-yeartime span,soasto capture progressin
differentstreamsof work.All initiativesthatare operational duringthe time-spanof the evaluation
shouldbe includedinthe scope,irrespective of theirfundingsourcesandlocationof technical and
managerial responsibility.
Evaluations of individual programmesand projects fundedby resource partners are triggeredby
programme/projectsize orspecificresource partnerrequirements.Evaluationresultsare intended
to be usedby stakeholders,includingmanagers,fundersandothersdirectlyconcerned,usuallyat
the country level.
Mid-Termand Final Evaluations:A mid-termevaluationistypicallyheldaroundthe half-waypoint
inthe programme/projectlife.Suchevaluationsgenerallyfocusonimplementationissuesandare
designedtofacilitatemid-course corrective action. AnAAPapproach,whose purposeisimproved
accountabilitytoandservice forcommunities,will naturallyadvocate forenhancedimportance and
resourcingof Mid-TermEvaluations,whenFAOisconfidentthatlessonslearnedcanimprove
practice in the remainingtimescale of the projectorprogramme. Mid-termand final reviewsmay
be carriedout for Programme Framework,UNDAFandthe agricultural sectorstrategy.
A final evaluationisheldatornear the endof a programme/project.Final evaluationsare
undertakenforbothaccountabilityandlearningpurposesandare oftenrelevanttodecisionsabout
extendingthe programme/project. They shouldbe heldsix tonine monthsbeforethe scheduled
conclusiondate,toallowtimelyconsiderationof the evaluationresultsandfuture fundingdecisions,
and to maximise the possibilityof positive,concrete outcomesforbeneficiaries,withwhomlessons-
learnedexercisesmightnormallybe shared.
For programme/projectevaluations,the BudgetHolder,withthe assistance of the
programme/projecttask force of the initiative,isresponsible forinitiatingthe evaluationprocess
(includingafirstdraftof the Terms of Reference).GoodAAPpractice demandsopenandproperly-
plannedrecruitmentbasedoncandidates’relativemerits.
Impact evaluationsand beneficiaryassessments are becomingmore prominentatFAO,andprovide
an excellentopportunitytolookatcost-benefit,withafocuson the lastingandsignificantchangesin
the livelihoodsandstatusof people,institutionsandecosystems.Thesehave mostlybeen carried
out inFAOcountry evaluations,andtopicscoveredhave included:farmers’fieldschools;provision
of veterinaryservices;livestockemergencyguidelines;policiesandsupportforinstitutional
developmentandcommunitymanagementinthe areasof forestryandfisheries;nutritionand
householdfoodsecurity;private-sectormarketlinkages;cashtransferand emergencyinput
distribution.

13. Central AfricanRepublicisanexample where FAObuiltonan OCHA evaluationof multi-agency
performance23
byfurtherdevelopinga‘Smiley’tool forwithtraining,guidance notesandaides-
mémoirestoassistfieldstaff approachingcommunitiesfortheirqualitative andquantitative
assessmentof aid-actorperformance24
.
FAOmay alsoparticipate in interagencyevaluations – meetingFAO’scorporate accountability
commitment25
toworkinginpartnership - suchas Real Time Evaluations formajor emergency
responsesandothermultiagencyexercises.Real Time Evaluationsare usedtofacilitate in-course
correctionsinemergencyandrehabilitationassistance andimmediate lessons-learnedwitha
numberof missionsduringthe course of a programme’simplementationanduponitscompletion;
theyare thushighlycompatiblewithAAPcommitments.
The widereffectsof distributionsshouldalsobe evaluated,suchasimplicationsof the agricultural
cycle,agricultural activities,marketconditionsandavailabilityof agricultural inputs.Seed
distributionsshouldbe conductedwithaparticularlycritical eye; howwere choicesabout type,
variety, quantityetc made? How much distributedseedwas actually planted (and where not, why
not?) and how much was stored, soldor eaten? FAOhas a specificKeyInformantquestionnairefor
use withorganisationswhose interventionhasreceivedadverse communitycomment26
.Ithasalso
developedaHumanitarianAccountabilityPartnership/OCHA tool featuring‘Smileys’withwhich
communitiescanfeedbacktheirlevel of satisfactionwithaidagencyperformance27
.
FAO’sevaluationpolicyis enshrinedinthe Charterforthe FAOOffice of Evaluation (OED),which
reportsjointlytothe Director-Generalandtothe Council.The OED Quality Assurance Framework
for Evaluation ensuresthatFAOevaluationsmeetbasicqualitystandardsestablishedbythe Office.
FAO’sEvaluationCommittee,establishedby DGB2010/20, servesas an internal forumof advice on
policymattersand promotesfeedbackfromevaluationtoensure thatstrategicplanningandRBM
policiesof OEDcomplywiththe UnitedNationsEvaluationGroup(UNEG) NormsandStandards.
7. Official ProjectClosure28
The principal aimof projectclosure isto mark achievementof animportantstage inthe projectcycle
and to informall parties,includingthe AffectedPopulation, recipientcountry,fundingsource(s) and
concernedunits(s) withinFAO. APsshouldgetaclearpicture of any possible future involvement
fromFAO or others. Projectclosure triggersthe windingupof technical,operationaladministrative,
accountingand managementinformationsystems’ actionsbythe not-to-exceed(NTE) date
Thisstage may use post-distributionmonitoringsheets,usingdirectobservationandhousehold
interviews,whichmightnormallygatherevidence againstimpactandsustainabilitycriteria.
23 http://hapinternational.org/pool/files/Accountability%20-
%20Bossangoa%20Mission%20Report%20Apr%202014.pdf
24 From dhampson2001@yahoo.com
25 FAO’s commitment to the five accountability principles of the Inter Agency Standing Committee, 2011.FAO
added two commitments of its own, name prevention of sexual exploitation and abuse,and a commitment to
work in partnership.
26
SPHERE Handbook – Pg.196
27 Contact dhampson2001@yahoo.com
28
TakenfromFAOHandbook

14. Before Operational andFinancial Closure,FAOstaff involvedinaprojectshouldconsider –withthe
BudgetHolderandpossible inter-agencygroupssuchasany GenderTask Force – the possibilitiesfor
reporting,sharingandlearningwithcommunities(andnotonlywithdonors). Itisnatural inmany
communitiesworldwidetomarkofficial closure inanofficial andacelebratoryway;thisalso
provides the opportunityforlesson-learningatcommunitylevel (see p.53of ‘The Good Enough
Guide)
FAOshouldseekwhere possible toconductTrackingStudieswhichshow the impactof projectsand
programmesoncommunitiesafterOfficialProjectClosure.Inreality,thisusuallydependson
discussionsheldwithdonorsatthe Pre-NeedsAssessmentphase,andresultsideallyfeedintoboth
projectcontinuationsandglobal advocacyandpolicy;bringingusbackto the beginningof the
ProjectCycle.
If there is one key pointtotake away about AAPinthe projectcycle,itis inFigures3 and 4; keep
AffectedPopulationsatthe centre of the FAO ProjectCycle,regularlytakingthe time tounderstand,
listen,informanddevelopwiththem, andwithPartners,the workwhich aimstoimprove theirlives.
Writtenby David Hampson and Ava Sharon Batay-an, informationsourced by Bruna Bambini