LINKING COMPLEX EMERGENCY RESPONSE AND TRANSITION INITIATIVE

 

 

 

CERTI Crisis and Transition Tool Kit

RAPID ASSESSMENT PROCEDURES (RAP):

Addressing the Perceived Needs of Refugees & Internally

Displaced Persons through Participatory Learning and Action

 

 

Second Edition

 

William Weiss

Paul Bolton

Anita Shakar

Johns Hopkins University School of Public Health

 

 

September 2000.

This project was made possible through Cooperative Agreement Number HRN-A-00-96-9006 between the US Agency for International Development and Tulane University

 

 

SECTION II.

PARTICIPATORY PROBLEM

IDENTIFICATION & PRIORITIZATION

 

 

ACTIVITY 1: PUBLIC MEETING -

INTRODUCTIONS &  EXPECTATIONS

 

Purpose

A public meeting—prior to beginning data collection—is used to:

• clarify the reasons the team will be working in the settlement;

• inform settlement members of the team's schedule and methods; and,

• help prevent raising unrealistic expectations about the outcome of the RAP.

Preparations

Clarify study goals, objectives, how the information gathered will be used and what the settlement population should expect from the study. Some key issues are:

• The focus of the RAP is on taking immediate action to address priorities, using existing resources where possible. The population—if it has received a large infusion of resources from the outside during an acute emergency—may expect that the agency carrying out the RAP will provide all resources needed for implementation. That the population is expected to develop action plans that include using their own resources for implementation may be quite a surprise.

• Also, if resources external to the population are needed to implement solutions, the agency carrying out the RAP may not have these resources on hand. The agency may agree to develop a proposal for funding but the funding cannot be certain. These issues need to be clarified prior to any data collection activities.

• In addition, this RAP uses open-ended approaches to assessing perceived needs. It is quite possible that the population will give priority to a need that the agency(ies) carrying out the RAP does not have expertise. The agency carrying out the RAP must decide ahead of time what it will do if this happens prior to the public meeting. For example, the agency may agree to help the population advocate to government authorities to address a priority need outside its expertise. Or, the agency may agree to provide the information collected to another NGO that has the relevant expertise.

Conduct Preparation visit:

According to the CRS manual:5

"Before going to the community to begin the study, the team (or selected members) will want to visit the (settlement) at least once. During this preliminary visit the team will want to ascertain whether the (population living in the settlement) is interested in participating or not. At this time, it will be important to be very honest about how the information gathered will be used and what mechanisms will be put in place to ensure confidentiality of particular informants." (pg. 44).

The visit also allows the team to plan the logistics of providing food and water to team members during the study and where the team can work to write up the findings of activities during the study.

Schedule Date & Time: About two to three hours are needed at a day & time convenient to most settlement members.

Who to invite to the public meeting?

• Everyone living in the settlement (if this can be done—usually through existing traditional systems);

• Traditional leaders from each ethnic group living in the settlement;

• Providers of existing social services (health, schools, water supply, etc.);

• Local government authorities and/or settlement administrators.

Activities

• Introduce the members of the team;

• Explain the purpose of the study;

• Describe how the study will be carried out and the kinds of methods that the team will use;

• Discuss how the information will be used & what the team considers reasonable expectations of what can result from the study—Give emphasis to immediate actions that can be carried out using existing resources of settlement members;

• Establish dates and times for additional public meetings to discuss findings and recommendations; and,

• Allow time for any number of questions and concerns—check for unrealistic expectations and address these immediately.

Special considerations for refugee/IDP populations

• The main consideration for carrying out a public meeting in a complex population (complex distribution of age, gender, ethnicity and/or levels of authority) is how to prevent exclusion of key groups from the public meeting, especially vulnerable groups (women, adolescents, elderly, minority ethnic groups). Since this activity may be the first such activity with the settlement population, it may not be possible to prevent all groups from being excluded from the initial public meeting. Greater understanding can only come with closer contact with the population and actively questioning whether groups are being excluded from activities.

• Using a "site-based" approach to invite settlement members to the public meeting may help prevent exclusion of groups. First, identify the "sites" that together are likely to have good coverage of the population (for example, medical or relief centers, schools, market areas, churches, mosques or  temples).Identify leaders at these sites and ask them about the different groups who are in contact with the site (ethnic, age, gender). Ask gatekeepers for ideas and support in inviting representatives of these groups.

 

ACTIVITY 2: PARTICIPATORY

MAPPING BY REFUGEES/IDPs

Purpose

• Use a group process to obtain a diagram of the settlement from the perspective of those who live there;

• Collect information on the context that can help the team (especially if new to the area) better understand the results of later data collection activities;

• Collect information that can help the team design other data collection activities, such as how to divide team members to best complete the Walkabout; and,

• Establish the attitude (among the team members as well as among the refugees/IDPs) that the team is here to listen and learn rather than to tell and teach.

For these reasons, the participatory map is most useful if carried out at the beginning of the RAP.

Preparations

Materials needed:

• An open area at each site;

• Locally available objects (e.g., sticks, stones, leaves, feathers, plants) to use a map symbols;

• Notebook & pencil for study team members;

• Large paper for recording the diagram;

• Verbal group consent form.

Selecting informants:

• Purposively select 6-8 individuals for each group that completes this exercise in each site;

• If possible, have a group of men and a group of women carry out this exercise at each site;

• Ask persons to recommend potential informants who others consider especially knowledgeable about the layout of the settlement (these individuals may be identified during the initial public meeting or through the primary service organizations in the area);

• In addition to persons recommended to you, attempt to include in each group, representatives of different ethnic groups and ages staying at the site.

Data collection steps

• Facilitator obtains verbal consent from the group and signs the consent form;

• Clear a large space to allow participants to draw the map on the ground;

• The facilitator begins by identifying a couple of landmarks to orient the activity and draws figures on ground using a stick to represent these landmarks;

• Facilitator "hands over the stick" to someone in the group and asks that person to identify on the map the most important sites in the area;

• Instruct the group to use sticks, stones, seeds, or leaves as map markers;

• Ask the group to work step by step in identifying and placing symbols for the major features of the settlement. It will be important for them to include what they think are the most important sites within the settlement;

• You can also suggest additional features to include on the map after the group has exhausted its own list of important areas.

• See Figure 2. below for a possible checklist of features to explore in the mapping exercise;

• Interview the map using the checklist to develop probing questions;

• Copy the map into a field notebook as it is being drawn; transfer to a large sheet of paper later;

• Record what people say about items on the map and record your observations of the process.

Triangulation to minimize biases

• The map that is drawn in the group will not be the final version, but can be used immediately for planning the Walkabout;

• Once the map has been drawn, it is important that it be verified with other individuals later for accuracy;

• Verify the map especially with representatives of groups (age, gender, ethnicity, geographic site) you believe to be under-represented in the original mapping exercise;

• The verification can be done informally during the walkabout activity;

• After the map has been compared for accuracy, the final version can then be redrawn onto a large piece of paper which can be:

– given back to the refugees/IDPs who created the diagram; and

– reduced and copied for use in planning other activities.

Figure 2. Features that could be examined during the mapping exercise.

Housing structures and organization

Water sources and distribution

Food storage and distribution

Roadways

Markets, shops

Health Clinics, pharmacies

Major Buildings

Agricultural Plots

Livestock

Schools

Emergency relief services

NGOs and other international organizations

Service centers

Fences/ barriers

Security or other guards

Settlement members (numbers of men, women, and children seen)

Types of people living there (e.g., ethnicity, politics, social class, new arrivals vs. old)

 

Understanding and using this information

• This type of participatory map provides an excellent glimpse of what the refugees/IDPs think are the most important aspects of their settlement (which may or may not be what we may consider important).

• This information can be used by the team to plan where team members will go during the walkabout and later data collection activities. The team can plan to help ensure that all of the site is covered and that information about important groups are not left out of the RAP. For example, perhaps some persons live in an area that cannot be seen by team members; it is possible that data collection activities may have missed persons from this area.

• The map provides information about the current context of the refugee/IDP situation—this information can help the team understand the findings of later data collection activities. For example, we may better understand why women prioritize water access as a problem is we can see where water sites are located on the map.

Figure 3. Participatory Map of an IDP Camp in Gulu, Uganda.

 

ACTIVITY 3:  WALKABOUT BY RAP TEAM 7

Purpose

• Use a semi-structured observation process to understand the condition of the settlement and its members;

• Collect a different type information on the context than the participatory map can provide (a way of "triangulation");

• Obtain contextual information that can help the team better understand the results of later data collection activities;

• Collect information that can help the team design other data collection activities (for example, where and how to conduct the Free List exercises);

• Establish the attitude (among the team members as well as among the refugees/IDPs) that the team is interested in the problems of settlement members and that the team is there to observe and learn.

Preparations

Materials needed:

• Notebooks, pencils

• Checklist of objectives (items to observe)

Tasks:

• Clarify the specific objectives of this activity by developing or adapting a "checklist" of items to observe and record;

• An example Walkabout Checklist that can be adapted is presented in Figure 4.

• Use the participatory maps to sub-divide the settlement into smaller sites that can be assigned to 2-3 persons for observation;

• Assign smaller teams of 2-3 persons to a to observe items on the "checklist" within a sub-division of the settlement;

• Provide the team members training in observation techniques.

Data collection steps

• It is helpful to travel with persons knowledgeable about the area, such as a community liaison/guide or a member of an emergency relief mission.

• There are no specific informants to be selected for this exercise, although informal conversations with individuals in the settlement or visits of shelters/households will occur depending on the "checklist" used.

• In pairs or triplets (not too many in the group to avoid attracting unnecessary attention) walk around the site in a meandering fashion to absorb the atmosphere, stopping to greet people;

• Where people are in or near shelters/houses, occasionally stop and ask if you may look at the inside and surrounding area;

• To facilitate spontaneous informal conversation on topics that you are exploring, familiarize yourself with the checklist the team developed before you set out on your walk. If necessary, refer to it discreetly.

• Discreetly jot down details of what you observe, and make notes of things said during conversations with people you meet.

Triangulation to minimize biases

• Diversify perspectives on the smaller teams visiting sub-divisions of the settlement as much as resources permit (e.g. health worker with engineer and food security worker);

• Visit each part of the settlement if possible and—if visiting shelters/homes—visit shelters/homes in each part of the settlement;

• Visit persons of each ethnic group within the settlement if possible and—if visiting shelters/homes—visit shelters/homes in each ethnic group living in the settlement;

• Observe what people do as well as what people say... Are there differences?

Understanding and Using the Walkabout Information

Access to resources:

• The Walkabout allows the team to identify how access to important resources varies among the settlement members;

• The team’s observations give a glimpse of what people do during the day and how far they may need to travel to get essential goods;

• Which groups get the prime locations with access to feeding and health centers, other health services, shops and roadways can say much about hierarchies and what types of people have poor access to services or are at risk for problems;

• For example, if women of a certain ethnic group travel far from their shelters for water or food, it may put  them at risk for violence and rape;

• Observations may provide information on the amount and quality of contact with the surrounding stable communities;

• This information is used to plan further data collection to ensure the team does not exclude marginalized groups with low access to key resources from the study.

Conditions in the settlement:

• The Walkabout also is useful for assessing the following conditions: crowding; hygiene; food availability; water quality and storage capacity; etc.

• This information will help the team better understand the findings of later data.collection activities;

• For example, the team may better understand why, in later group discussions, women place a high priority on increasing access to water sources.

Adapting example checklists

The following sections include structured observation checklists or simple checklists that could be used for the walkabout. Each of these instruments should be modified and adapted to suit the characteristics of the specific settlement in question. It is not necessary to use all the forms, these instruments were designed to be guides to help create locally appropriate forms for your site.

Figure 4. Example Walkabout Checklists

Housing (observe/visit 5-10 households)

1. Shelter space per person

(a) Ave. shelter area (m 2) : _____________

(b) Ave. no. persons/shelter: ___________

(c) Ave. shelter space per person: _______ (3.5m 2 is minimum standard)

2. Average distance between shelters (m): __ (2 m is minimum standard)

3. Are shelters:

(a) for single families?

(b) for extended families?

(c) for many different families?

4. Are shelters made of:

(a) local materials in good supply?

(b) local materials in scarce supply (e.g. use can lead to environmental degradation, competition with local population)?

(c) donated materials?

(d) within large buildings (schools, warehouses, barracks)?

5. Do shelters provide adequate:

(a) protection from the sun?

(b) protection from rain?

(c) protection from flooding?

(d) protection from cold (if applicable)?

(e) privacy?

(f) ventilation?

6. Presence of hazards, such as - Is the heating device (fire, store, etc) up off the wet ground or on the ground where children are crawling around and playing?

7. Are there separate sleeping, eating and cooking areas?

Water (observe/visit 5-10 households)

1. What are the water sources and how far are they from homes?

Water source Distance

___________ (a) less than 100 meters

___________ (b) 100-500 meters

___________ (c) less than 1 km

___________ (d) 1-2 km

2. What activities take place at or near the water source?

(a) washing water containers

(b) washing clothes

(c) bathing/washing self

(d) watering animals

(e) urination/defecation

3. Is water treated at the source, and if so, how?

(a) by filtering with a piece of cloth

(b) by chlorination

(c) by other means

4. How is drinking water transported to the home?

5. Who fetches the water?

(a) women

(b) children

(c) men

6. Water drainage - What happens to the water drain off? Is there stagnant pools of water around the water source?

7. How is drinking water stored in the home?

8. How much water storage capacity does a household have.... 10 / 20 liters?

9. How is drinking water handled in the home?

Sanitation (observe/visit 5-10 households)

1. How far is trash disposed from the shelter?

2. Did you see anyone defecating? (Who? Where? Describe)

3. What proportion of homes have latrines?

4. Where is the latrine located? (indicate reasons why, if relevant)

5. How close are hand-washing facilities (water and ash or soap)

(a) next to the latrine

(b) within walking distance

(c) inside the home

6. Observe the latrine.

(a) Does it have a sound super-structure?

(b) Is the floor safe to stand on?

(c) Does it have a slab?

(d) Is the hole small enough to be safe for children?

(e) Does the latrine provide adequate privacy?

(f) Is the latrine clean?

(g) Any other features?

7. Is there evidence of fecal contamination?

(a) along the roads

(b) along the footpaths

(c) near the water source

(d) in/near the fields

(e)outside the houses

(f)inside the houses

8. What is the contamination observed?

(a) infants/young children’s feces

(b) adults’ feces

(c)cow dung and/or other animal feces.

Food storage and consumption  (observe/visit 5-10 households)

1. How long will household food stocks last?

2. Type and amount of food (for example: have plenty of flour, but no oil or pulses)?

3. What type of food storage exist?

(a) within the home

(b) outside the home

4. What is the condition of the storage containers?

(a) sturdy

(b) evidence of animal infestation

(c) deteriorated

5. Where are perishable foods kept?

(a) in bins

(b) on shelves

(c) outside

5. What is the condition of (easily observed) food in the household?

(a) spoiled

(b) dry

(c) wet

6. Are there garden plots in or around the housing compound?

7. What type of cooking fuel is utilized?

8. Where is cooking done?

9. What types of utensils are available for cooking and eating?

10. Are they livestock in and around the house?

Markets, shops (Collect this information on randomly selected shops/ market areas)

1. How large is the shop?

(a) 20 sq. ft

(b) 40 sq. ft

(c) 100 sq. ft

2. What types of items do they sell?

3. How many different types of foods do they sell?

4. Are basic staples available (soap, salt, sugar, flour)?

5. If they sell food, what kind and range of prices?

(a) fruits, fresh

(b) vegetables, fresh

(c) grains

(d) meat, fresh

(e) (this list could be expanded)

Travel and Paths

1. How far are the furthest houses from:

(a) Roadways

(b) Food suppliers

(c) Suppliers of other essential items

(d) Medical services

(e) Other emergency services

2. Do these distances differ by ethnic or language groups?

3. What are the conditions of the travel paths? What are they made of?

4. Are there hazards on the travel paths? To vehicles, to pedestrians?

5. What types of vehicles use the travel ways?

Health Clinics, pharmacies

1. Are they well stocked with medicines?

(a) antibiotics?

(b) antimalarials?

(c) vitamin A capsules?

2. Presence/ condition of the cold chain?

3. Are they well staffed?

4. Is there a waiting line or is there no one there?

5. What hours are they open?

6. What types of facilities do they have?

7. Are there health messages posted? If so, what kind?

8. Availability of water at clinic?

9. Presence of latrine at clinic?

10. Are there user fees/ payment required?

Other emergency relief services, service centers

1. What types of services to they have?

2. What are their hours of operation?

3. Are they well supplied?

4. How often are the services utilized?

5. Is there a long wait for services?

Agricultural Plots

1. How large are the plots?

2. General quality of the soil (dry, wet, etc.)

3. What are the types of crops planted?

4. How well are the plots cared for? (Well tilled, overgrown?)

5. Any evidence of formal or informal irrigation system?

Livestock

1. What types and amount of animals are kept?

2. What is the condition of the animals (thin, fat, etc.?)

3. How are the animals cared for? Who watches over them?

4. What are they fed?

5. What happens to the animal waste?

Settlement members

1. What is condition of the typical settlement member? Do they look malnourished? Tired.

2. What is the condition of their clothes? Do they have appropriate outerwear?

3. Is the settlement crowded?

4. What activities are individuals doing?

(a) women?

(b) men?

(c) children?

5. Are there many pregnant women and young children?

6. Is there evidence of illness (respiratory infections, disabilities, injuries)

Education:

1. Condition of the school?

2. Availability of classroom materials?

3. Presence of a teacher?

4. Types and numbers of students present?

(a) girls?

(b) boys?

(c) ages?

Primary Health Care (observe/visit 5-10 households)

1. Evidence of vaccination contact?

(a) vaccination cards for children < 5 years?

(b) growth monitoring cards for children < 5 years?

(c) antenatal care cards for pregnant women or mothers of children born in the settlement?

2. Evidence of vaccine coverage?

(a) documented measles vaccination for children?

(b) documented coverage of 3 OPV, 3 DPT, BCG?

(c) children under five weighed in the last month?

(d) documented coverage of 2 TT for mothers of children born in the settlement?

3. Are school-age children in the household attending school?

(a) girls?

(b) boys?

(c) ages attending? Not attending?

4. ORS packets in the house?

5. If yes, can mother explain when and how to use them?

6. Availability of containers and cups and spoons to mix and serve ORS?

7. What fluids are given to children with diarrhea and how often?

8. What foods are given to children with diarrhea and how often?

 

ACTIVITY 4: PROBLEM

IDENTIFICATION FREE LISTING

Purpose

• To determine which concerns/ problems are most commonly stated by the population;

•  To identify the specific local terms and descriptions for these problems;

•  To provide direction to the study team as to the main issues for more in-depth investigation;

•  To collect the information about most important problems rapidly while minimizing biases of collecting data in complex populations.

Preparations

Pre-test the free list question:

• Usually done on the field days prior to the day scheduled for free listing (e.g, on the days that the participatory map and Walkabout are being done);

• Have the some members of the team translate the question from English (Spanish, French, Portuguese or Arabic) to the local language(s) of settlement members;

• Have other bi-lingual team members (who did not hear the translation) "back-translate" the translation into English (Spanish, French, Portuguese or Arabic);

• Check for misunderstandings, revise the translation and repeat the "back-translation" process until the team is satisfied;

• Ask the question of 5-10 settlement members and record the responses;

• Check: do the responses to the question make sense?

• If not, ask settlement members for advice on revisions and repeat the test (3-5 more settlement members) until the team is satisfied.

• Write the final version of the translated question on an index card for each team member to read from during the free-list activity.

Materials needed:

• pre-tested free list question;

• At least 10 free list forms per site;

• index card for each team member, with pre-tested free list question written on it;

• pencil;

• hard surface for writing on (e.g. notebook, folder, board);

• informed consent form for each free list form;

• map (official or participatory) of the settlement.

Selecting informants:

•From each study site, select 12-15 willing informants (minimum of 10) that represent persons living in that site who are of different gender, ages, ethnicity, access to key resources, economic status and/or other important characteristics;

• Decide whether to sample "purposively" or with a "probability" sample (e.g. random sample);

• If the population is complex, with many ethnic groups or great differences in access to key resources or in economic status, consider using a "stratified random sample" among "groups of interest" (e.g. ethnic groups, economic status groups, groups with low, typical, and high access to key resources);

• If resources permit, locate a separate study site among each group of interest and randomly select 12-15 willing informants from each of these sites;

• If resources do not permit a separate study site among each group of interest, take a random sample from each group of interest within a study site (the settlement as a whole may be the study site in this case)... the number of informants from each group, out of 12-15 total informants, should be proportional to the size of the group in the study site;

• e.g, select 5 of 15 informants from an ethnic group that represents 1/3 of the study site population;

Hint/Suggestion:

In the example above, the "groups of interest" are ethnic groups. If groups of interest live separately from each other, go to each of these locations... at each location, count the number of shelter/houses in each location, select at random (pull a number out of a hat) a household, and interview an informant from that household... repeat the process until the number of informants the team has decided should be interviewed from that group has been interviewed.

If groups of interest live amongst each other, sub-divide the team and assign each smaller team a required number of informants from a group of interest. Each smaller team then selects a starting point and a direction at random from within the study site. This teams then interviews the first person from their assigned group they come across between the starting point and the boundary of the settlement along the direction line selected at random. Repeat this process until the number of informants the team has decided should be interviewed from that group has been interviewed.

• If the population is not very complex (e.g, one or two ethnic groups and/or with minimal differences in economic status or access to resources, then "purposive sampling" is appropriate;

• For example, interview a wide variety of informant types (men & women, older and younger adults and youth, different ethnic groups) in an area with low access to key resources and in an area with typical access to key resources.

Hint/Suggestion:

Sub-divide the settlement into areas that differ to some degree according to an important factor such as access to resources or ethnic group;

Assign a smaller team the responsibility for interviewing a specified number of informants from each area (the number of informants from each area out of 12-15 total informants should be proportional to the size of the area relative to the size of the settlement; e.g, select 5 informants from an area that has 1/3 the population size of the study site

Each small teams attempts to interview as wide a variety of people as possible in that area... One possibility is to go to a place(s) in that area that most people use (e.g, market, food distribution point, water point for women, meeting place for men) and interview people at that place who are willing... random selection is not needed... Attempt to interview people of different ages, gender and ethnicity if they are willing.

Data collection steps

In general:

This exercise will take about 15-20 minutes per informant. The free list includes one main question (to get a list of main problems or difficulties) and a second question (to obtain more information about the problems on the list). It will be important to probe the informant and help jog their memory in order to obtain a complete list of problems. It is important to encourage the informant to clarify what they say. Interviewer should not assume that he/she knows what the informant means.

Specific steps:

• After the initial greetings with the respondent, obtain verbal consent and sign the verbal consent form;

• If consent is given, begin with the first question: (Also see sample free list form)

• "What are main difficulties that people living in this settlement face?"

• Additional probing can be done by asking, "Are there any other kinds of difficulties people here face?"

• Record answers (names of difficulties mentioned) in the left column of the Free List form;

• Ask the second question (asked of each item obtained from the first question):

• "You mentioned ________ was a difficulty here. Please describe to me how this affects the lives of individuals faced with this difficulty?"

• Record responses in the right column of the Free List form adjacent to each difficulty discussed.

Tabulation

• Responses are tabulated by counting the number of respondents that mentioned each item; (see tabulation table below)

• Items are then ordered in terms of frequency of response;

• Before tabulation is done, make sure that the responses are standardized and in some cases you may choose to collapse the items;

• Often phases or several words may be used to describe a specific item and may not be described in the exact way by each respondent;

• Prior to collapsing any categories, you will need to enlist the assistance of a local person(s) to ensure that the meanings of the words or phrases are not lost when combined.

Understanding and using the information

• First, look at the results of the activity. The items mentioned by all or most informants represent problems perceived as important by a wide variety of persons living in the settlement. Responses mentioned by a few persons represent problems faced by a minority (although possibly a marginalized group) or not considered very significant by most.

• Select the 10-12 most frequently mentioned problems for further investigation during the study. These 10-12 items will–in follow on activities of pile sorting and matrix ranking—be reduced in number and then prioritized to identify the problem(s) with the highest perceived priority for action.

• Without the use of a tool, such as free-listing, programs run the risk of addressing issues that are not a high priority across a wide variety of types of persons living in the settlement. The free-list is a useful "screening tool" that can be used to quickly identify the most important problems for a settlement population.

Special considerations for refugee populations

• This activity sets the direction for the remainder of the study. This activity generates a list of key problems that will be explored in-depth during the remainder of the study and acted upon. It is critical, therefore, that the views of the most. vulnerable and marginalized persons are not excluded during this activity.

• In stable populations, participatory assessment (e.g., PRA) of key problems is often done in group discussions. Typically, a team will carry out 2-3 group discussions with women and with men. Each group is formed of persons with similar background (ethnicity, SES, age, gender, authority). This is done because problems may vary between persons of different backgrounds and the views of vulnerable persons should be captured.

• Carrying out group discussion with persons of mixed backgrounds versus similar backgrounds creates the risk that the persons with dominant backgrounds will control the discussion and a list of problems generated during the discussion will be from their perspective only.

• Refugee or IDP populations often have complex structures compared to stable populations. A settlement can be composed of persons with many different backgrounds: ethnicity, SES, authority, education, irregular age and gender mix.

• To assess the key problems from perspectives of many persons with different backgrounds, would require several groups to be formed from each major type of person (ethnicity, SES, level of authority or education, age and gender). This process can quickly become overly complex and unfeasible. For example, consider a settlement with four ethnic groups and with persons of little education and persons with secondary education.Covering the varying perspectives of persons living in this settlement could require carrying out 40 or more group discussions! (2 groups of educated men, 2 groups of uneducated men, 2 groups of educated women, 2 groups of uneducated women, and perhaps 2-4 groups of adolescents within each of the four ethnic groups).This is impractical in almost all cases.

• Using free-listing allows us to interview many individuals of a variety of backgrounds relatively quickly. We can feasiblely assess what are key problems for most persons living in the settlement without excluding the views of vulnerable or marginalized persons. [The possibility of excluding the views of vulnerable persons, however, must be actively considered and questioned throughout the study].

• Free listing also can be accomplished without the risk of a group process where persons with dominant backgrounds will control the discussion and a list of problems generated during the discussion will be from their perspective only.

Figure 5. Free Listing Recording Form

Free listing Recording Form: Main difficulties faced by persons living in the settlement
Interviewer:                                                             Date:

Location:                                                                 Informant’s age & gender:

Ethnicity:                                                                 Time spent in settlement:

Original home:                                                         Marital status:
Question 1. "What are main difficulties that people living in this settlement face?" List of Names of Each Difficulty Mentioned (Write Local Terms) Question 2. "You mentioned ________ was a difficulty here. Please describe to me how this affects the lives of individuals faced with this difficulty?"
1  
2  
3     
4     
5        
6     
7  
8  
9  
10 (create more spaces if needed)  

 

Figure 6. Free Listing Tabulation Form

Free Listing Tabulation Form: Main difficulties faced by persons living in the settlement                                                                          n = ____
AME OF ITEM (USE LOCAL TERM) / TRANSLATION Frequency(#) Percent(%)
1    
2    
3    
4    
5    
6    
7    
8    
9    
10    
11    
12    
13    
14    
15    
16    
17    
18    
19    
20 (create more rows if needed)    

Note: For final presentation, select a cut-off point–for example, 50% or 33% of respondents mentioned the item— and present the tabulation form with only the items above the cut-off point; order the items in descending order of frequency of mention.

 

ACTIVITY 5: (RECOMMENDED) PILE

SORTING - LOOKING AT RELATIONSHIPS BETWEEN PROBLEMS

Purpose

From the Free List activity you have obtained a list of the important items representing "main difficulties faced by the community". The next step is to see how the most important of these items are related to each other (adapted from Wellor and Romney, 1988).

Preparations

Create pile sort cards:

• Review the tabulation table resulting from the Free List activity;

• From the tabulation table, identify up to 10-12 of the most frequently-mentioned items by community members about main difficulties faced;

• These are the problems that you will ask another group of respondents to categorize into piles based on how similar they are;

• For the pile sort procedure, each problem is usually presented on a separate index card. Words or names may be written on the card. If the population is non-literate, pictures or drawings should also be drawn on the index card to represent the problem;

• On the back of each problem card, write a unique number for each problem... note: every interviewer should use the same unique number for a problem card;

• Pre-test the cards by showing them to several settlement members and asking what they believe the words or drawings on the cards represent—revise as needed.

Materials needed:

• One set of pile sort cards for each interviewer or smaller team (if interviewing in pairs or threes);

• At least 10 pile sort forms for each interviewer or smaller team (if interviewing in pairs or threes);

• pencils for each team member;

• hard surface for writing on (e.g., notebook, folder, board);

• informed consent form for each pile sort form.

Selecting informants:

• As with the Free Listing, select 12-15 willing informants (minimum of 10) from each study site;

• Use the same process described to select informants in Activity 4. Free Listing.

Data collection steps

In general: This exercise will take about 15-20 minutes per informant. The pile sort includes one main question (to ask informants to put the cards into piles containing "similar" problems) and a second question (to ask how the cards/problems in each pile are similar). This is an open-ended activity and informants decide for themselves what criteria they will use to determine which problems are similar to one another. The interviewer should not suggest any criteria for what "similarity" means (e.g., do not suggest that problems be put into piles according to how "serious" they are).

Specific steps:

• Shuffle (mix up randomly) the cards before beginning the interview;

• After the initial greetings with the informant, obtain verbal consent and sign the verbal consent form;

• If consent is given, review the cards with the informant;

• Ask the informant to indicate the meaning of each card... Remove from the interview, any cards the informant cannot understand;

• Ask the informant to group the cards into piles of similarity:

• "Please put the cards into piles ‘of difficulties’ that are similar. You can make as many piles as you like. Some things may go into more than one pile. That is okay too."

• Let the informant decide his/her criteria for why items are similar or not;

• Allow the respondent to make as many piles as they like;

• The rule is that all cards cannot go in the same pile and all cards cannot be in piles of one.

• After the piles have been created, the interviewer records the number of piles created and what problems are placed in each pile together (remember: a unique number is on the back of each problem card to facilitate this). See the recording form below.

• Then, the interviewer points to each pile and asks the informant why the cards in each pile were placed together;

• "Please describe how the problems in this pile are similar to each other."

• Record the explanation on the recording form. Recording these descriptive explanations are vital to interpreting the results.

Tabulation

• Pile sorts are tabulated by creating a similarities matrix (see Figure 8.);

• A similarities matrix is created and tabulated for each group of interest (and for which there are at least 10 pile sort interviews);

• The matrix will have a square (or box) for each possible pairing of problems used in the pile sort;

• For example, in Figure 8. there are five problems used in the pile sort (1-5) and ten possible pairings (1 & 2, 1 & 3, 1 & 4, ... 4 & 5).

• Review each of the recording forms from pile sort interviews in a single group of interest;

• For each possible pairing of problems count all instances where these two problems are placed together in the same pile;

• Then write this count in the appropriate square (box) of the similarities matrix;

• In this way, problems that are considered to be similar by many informants have the highest counts on the similarities matrix;

• For example, in Figure 8, problems 2 and 4 were most often placed together in the same pile; 2 and 3 next most often; and problems 3 and 4 third most often.

Analysis

• Identify the pairs of problems that are most often placed in the same pile;

• Summarize the reasons–recorded on pile sort recording forms–that these items were seen as similar;

• that is, the explanations given about how the problems in a given pile are similar.

• Then identify the items that were least frequently placed in the same pile (for example, pair 1 and 3 in Figure 8.) and summarize the reasons these problems are seen as different.

• Describe the criteria informants use to place problems together into piles of similarity;

• Possible criteria include: one problem causes the other problem to occur; both problems caused by something similar; both problems have similar effects; the problems occur at the same time or place or with similar people; and the problems have similar physical characteristics;

Understanding and using the information

• Understanding the perceived relationships among problems gives us a better understanding of what the problems are and why the community perceives these problems as major concerns.

• In addition, understanding the criteria the population uses to place problems into piles of similarity can help us understand why priorities are given to some problems during later data collection activities and help us identify where best to intervene to address the priority problems.

• For example, if two issues of concern are perceived to be similar because they have a similar cause, we might be able to address both issues by addressing the one underlying cause;

• Specific example: "Poor health" and "lack of food" are placed together in the same pile. The explanation give is that both problems are the result of "lack of income-generating opportunities"... Pile sorting helps us understand why "lack of income-generating opportunities" is ranked highest priority for action in matrix ranking exercises... This activity also helps us argue for "income-generation" as a key need for intervention and a key long-term sustainable approach to addressing health and nutrition.

• Specific example : "Flooding" and "malaria/fever" and "lack of transportation" are problems placed together in the same pile. The explanation given is that all three problems result in the same thing: the inability to work in jobs that may be available in a nearby town... Pile sorting in this example may help identify "drainage systems," and "malaria control," as key activities to support income-generation.

Special considerations for refugee populations

The issues with pile sorting are the same issues described in Activity 4. Free Listing.

Figure 7. Pile Sort Recording Form

Pile Sort Recording Form: Main difficulties faced by persons living in the settlement

Items to be sorted (name & unique number):

____________________________________

____________________________________________________

Informant Type (group of interest): _______________________________

Informant Age: _______ Informant Gender: ________
                 Pile number.                                                       

(# of each Item placed in that pile)                    Reason sorted in same pile

1. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________

2. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________  

3. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________         

4. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________    

5. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________            

6. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________           

7. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________            

8. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________          

9. ( ___ ___ ___ ___ ___ ___ ___ ___ )       ________________________________            

 

Figure 8. Pile Sort Tabulation Matrix (Similarities Matrix)

(Example: 10 informants Pile Sort 5 Problems)

Problem 1 2 3 4 5
1 X  

      X
2 ||
3   |||| X
4 | ||||| | ||| X
5 || | || || X

Interpretation:

Items 2 and 4 were put together most frequently (by 6 of 10 informants)

Items 2 and 3, and items 3 and 4 were put together the next most frequently (3 of 10)

So, items 2, 3 and 4 are related in some way.

What were the reasons given for placing the items together?

What criteria were used to group items? (cause –> effect; similar effects, similar cause)

Items 1 and 3 were never put together in the same pile. What does this suggest?

 

ACTIVITY 6: PAIR-WISE RANKING - PRIORITY ACTION

Purpose

• To have refugees/IDPs state their preference for problems "to be rid of" using criteria of their choosing.

• To obtain a rank ordering of preferences (of problems "to be rid of") to help decide priorities for intervention.

Preparations

Identify a set of problems to be ranked:

• Use information collected during earlier exercises (Free Listing, Pile Sorting, Walkabout) to identify up to six (6) key problems for ranking;

• Criteria: the team can use to select up to 6 problems—out of many identified— include: (1) feasibility of acting on the problem; and/or (2) that a problem addresses a root cause of other key problems;

• Example: Look at the top 10-12 most frequently mentioned problems during the Free Listing activity... From those, select up to six (6) problems that the results from the Pile Sorting activity suggests are root causes of other key problems

• Note: ranking more than six problems is possible with pair-wise but it is not advised. This is because it usually requires more time than optimal (90 minutes) to compare and rank six items using the "pair-wise" method.

• This set of up to 6 problems should have been identified as important by informants who represent a wide variety of persons living in the settlement.

Develop checklist of objectives:

• Clarify the specific objectives of this activity by developing a "checklist" of information to collect during the activity;

• An example checklist for a matrix ranking exercise is provided in Figure 9.

Figure 9. Example Checklist of Objectives for Pair-Wise Ranking: Ranking of Key Problems

- Rank order of problems by the number of times each problem was selected as "more important."

- Reasons given for why top priority problems were ranked as top priorities;

- Reasons given for why low ranking problems were ranked as lower priorities for intervention;

- Most vulnerable groups for top priority problems;

- Seasonality of the problem;

- Persons or groups currently working on the top priority problems;

Materials needed:

• index cards (with diagrams and words) indicating each problem to be ranked—can use Pile Sort cards, if available;

• Pencils and notebooks;

• paper or space on the ground to draw the pair-wise matrix (see Figure 10);

• Checklist of objectives.

Selecting informants:

• At each study site, "purposively" select your groups.

• This activity requires carrying out ranking exercises with at least two groups of 6-10 people (8 persons per group is ideal) at each study site—at minimum, select a group of men and a group of women made up of persons representing a cross section of age, ethnicity, access to resources found in the camp. If the findings vary greatly between groups, more group discussions will be needed to try and understand the variation in preferences.

• If the team has the resources, it is ideal to carry out four or more group discussions: One group is older men, including men from each sub-population. The second group is younger men from each sub-population. The third group is older women from each sub-population and the fourth is younger women from each sub-population;

• In the case that adolescents are a focus of the program, carry out discussions with groups of male adolescents and groups of females adolescents].

• In the case that there is great variation in access to key resources, carry out discussions with groups of people with low access and with higher access.

Data collection steps

Develop the pair-wise ranking matrix:

• Prior to each group meeting, develop the matrix (see Figure 10 for an example)

• Develop the matrix on a large sheet of paper or on the ground where the group discussion will take place;

• Place symbols for the problems to be ranked along the top and one side of the matrix;

• The order of the symbols on the top and the side of the matrix should be the same;

• The index cards used for these problems during the pile sort exercise can be used as symbols in this ranking exercise; Introduce the topic and process • Facilitator greets group members, introduces him- or herself, and introduces the other team members;

• Note takers make a diagram of the seating arrangement and choose unique names (false names) for each informant that is in the group... modify the diagram during the discussion to indicate persons who come late;

• Facilitator introduces the topic and reads the group verbal consent form and signs the form if participants give consent (participants who do not consent are allowed to leave);

• Facilitator presents the matrix by indicating the meaning of each problem symbol on the matrix and describing how the team decided to include the problem in this activity;

• Facilitator checks understanding of each problem symbol... correct misunderstandings... ask the group to modify symbols that are not understood;

Complete the matrix

• All team members (minus the facilitator) record what informants and the facilitator say and identify in the notes the unique name of the speaker. (Note: what informants say about the problems on the matrix is more important than the diagram of the matrix);

• At least one team member also records the diagram (the initial matrix can be pre-prepared in a notebook);

• Ask participants to consider the problems two at a time;

• Ask participants to select the one problem (of the two) they prefer to be "rid of;"

• Each problem is compared with all the other problems, one by one;

• The number of times a problem is selected is the score that problem gets;

• The higher the score a problem gets, the higher the ranking priority of the problem for intervention;

• The problem with the highest score is considered the top priority problem for intervention;

• Two items with the same score can be compared to each other and the preference recorded and ranked accordingly.

Interview the matrix:

• Ask why problems are given an overall ranking of 1st , 2nd , 3rd etc. as choices to get rid of;

• Ask about interesting observations you see on the matrix to better understand what is happening;

• Refer to the checklist of objectives for additional questions;

• It is very important to record explanations given by group members (exact quotes of important statements are excellent to record).

• Discuss topical areas not mentioned in the initial discussion that the team considers important to explore.

Close the discussion

• Close the discussion after 90 minutes or if the group has exhausted the topics of discussion, which ever comes FIRST;

• Prepare for closing by saying, "It is now about time to finish the discussion... Is there anything else someone wants to tell us? Something else about these or other problems?"

• Continue recording comments until informants have left;

• Thank the informants for their participation and state that the meeting was very helpful in understanding their situation better.

Understanding and Using the Information

• Pair-wise ranking activities will be carried out with different groups of settlement members (e.g, men, women, older and younger, different ethnic groups, different locations in the settlement). Because of this, we can compare the top priorities across groups. This comparison helps us identify those problems that are top priorities for action for a wide variety of settlement members.

• With this information, we can then begin putting together an settlement action team—from among settlement members—that is best suited for developing a settlement action plan for each top priority problem.

Special considerations for refugee populations

In refugee/IDP settlements, especially those newly built or with new arrivals, be aware that many people may not have a good understanding of problems that affect others. It may be necessary to involve a wide variety of people from different parts of the settlement in the exercise, or do several discussions with groups from different areas of the settlement.

Figure 10. Example of Pair-Wise Ranking Matrix

PROBLEMS TO BE COMPARED AND RANKED

Problems "KEC"

HUNGER

 "LWENY"

INSECURITY

 LACK OF LAND "TWO"

SICKNESS

 "CAN"

POVERTY

 CONGESTION
"KEC"

HUNGER

           X
"LWENY"

INSECURITY

 Lweny          X
LACK OF LAND Land (3)

'Kec' (1)

 ‘Lweny'          X
"TWO"

SICKNESS

 'Kec' (6)

'Two'(2)

 Lweny ‘Two’             X