rapid assessment procedures (rap): addressing the

RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):Addressing the Perceived Needs ofAddressing the Perceived Needs ofAddressing the Perceived Needs ofAddressing the Perceived Needs of

Refugees & Internally Displaced PersonsRefugees & Internally Displaced PersonsRefugees & Internally Displaced PersonsRefugees & Internally Displaced PersonsThrough Participatory Learning and ActionThrough Participatory Learning and ActionThrough Participatory Learning and ActionThrough Participatory Learning and Action

PREPARED FOR:PREPARED FOR:PREPARED FOR:PREPARED FOR:Center for Refugee and Disaster StudiesCenter for Refugee and Disaster StudiesCenter for Refugee and Disaster StudiesCenter for Refugee and Disaster Studies

Department of International HealthDepartment of International HealthDepartment of International HealthDepartment of International HealthThe Johns Hopkins University School of Public HealthThe Johns Hopkins University School of Public HealthThe Johns Hopkins University School of Public HealthThe Johns Hopkins University School of Public Health

PREPARED BY:PREPARED BY:PREPARED BY:PREPARED BY:William M. WeissWilliam M. WeissWilliam M. WeissWilliam M. Weiss

Paul BoltonPaul BoltonPaul BoltonPaul BoltonAnita V. ShankarAnita V. ShankarAnita V. ShankarAnita V. Shankar

2222ndndndnd EDITION: EDITION: EDITION: EDITION:September 2000September 2000September 2000September 2000

The development of this guide was made possible through Subcontract TUL-097-99/00between Tulane University and The Johns Hopkins University. (Tulane University has been

awarded Grant No. AOT-A-00-99-00260-00 from theUS Agency for International Development).

ACKNOWLEDGMENTSACKNOWLEDGMENTSACKNOWLEDGMENTSACKNOWLEDGMENTS

The authors would like to thank the following persons and organizations for their help indeveloping this guide, without which this guide would not have been possible.

Technical reviewersTechnical reviewersTechnical reviewersTechnical reviewers:Thoric Cederstrom, Save the Children USJindra Cekan, American Red CrossAnne Henderson, World Vision USPaula Hollerbach, Academy for Educational DevelopmentBarbara Monahan, CARE USA

Professional advice and support:Professional advice and support:Professional advice and support:Professional advice and support:Bill Lyerly, US Agency for International DevelopmentNancy Mock, Tulane UniversityRobb Davis, Freedom from HungerJoel Gittelsohn, Johns Hopkins UniversityPeter Winch, Johns Hopkins UniversityGilbert Burnham, Johns Hopkins University

Field staff of the following programs:Field staff of the following programs:Field staff of the following programs:Field staff of the following programs:World Vision (WV) in Gulu, UgandaAdventist Development and Relief Agency (ADRA) in Khartoum, SudanSave the Children US (SC) in Nampula, MozambiqueSave the Children US (SC) in Cuanza Sul, Angola

Copies of this guide can be downloaded free of charge from the following internet address:Copies of this guide can be downloaded free of charge from the following internet address:Copies of this guide can be downloaded free of charge from the following internet address:Copies of this guide can be downloaded free of charge from the following internet address:http://www.jhsph.edu/refugee/resources.html

For comments & questions contact:For comments & questions contact:For comments & questions contact:For comments & questions contact:Bill WeissResearch AssociateCenter for Refugee and Disaster StudiesDepartment of International HealthJohns Hopkins University School of Public Health1-410-614-6172; <[email protected]>

RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):RAPID ASSESSMENT PROCEDURES (RAP):Addressing the Perceived Needs of Refugees &Addressing the Perceived Needs of Refugees &Addressing the Perceived Needs of Refugees &Addressing the Perceived Needs of Refugees &

Internally Displaced Persons through Participatory Learning and Action.Internally Displaced Persons through Participatory Learning and Action.Internally Displaced Persons through Participatory Learning and Action.Internally Displaced Persons through Participatory Learning and Action.

Table of Contents

SECTION I. INTRODUCTIONOVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 1INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 3

Need to look beyond prevention of excess mortality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 3Need to improve participation of beneficiary populations. . . . . . . . . . . . . . . . . . . . . . . . I - 4Need to improve cross-cultural communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 4Need to improve quality of program planning and management . . . . . . . . . . . . . . . . . . . I - 5Purpose and objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 6Important Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 6

Figure 1. Overview of PLA: Participatory Learning and Action . . . . . . . . . . . . . . . . . . I - 8PREPARATIONS FOR FIELD WORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 9

The Field Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 9Language and Translation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 9What You Need to Conduct This Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 10Existing Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 10Selecting Study Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 10Selecting Informants to Interview or Observe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 11

DAILY ACTIVITIES IN THE FIELD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 15Training and preparations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 15Travel to and from the study sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 15Data collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 15Team Interaction Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 15

GETTING STARTED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 16The Community Meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 16Site-based Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 16

CROSS - CUTTING ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 18Gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 18Ethnicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 18Discussing Sensitive Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 18Emphasis on Qualitative Methods of Data Gathering . . . . . . . . . . . . . . . . . . . . . . . . . . I - 19Raising and Dealing With Expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 19Considerations in Using this Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I - 20

SECTION II. PARTICIPATORY PROBLEM IDENTIFICATION & PRIORITIZATIONACTIVITY 1: PUBLIC MEETING - INTRODUCTIONS & EXPECTATIONS . . . . . . . . . . . . . . . . . . . II - 1ACTIVITY 2: PARTICIPATORY MAPPING BY REFUGEES/IDPs . . . . . . . . . . . . . . . . . . . . . . . II - 3

Figure 2. Features that could be examined during the mapping exercise. . . . . . . . . . . II - 4Figure 3. Participatory Map of an IDP Camp in Gulu, Uganda . . . . . . . . . . . . . . . . . . . . II - 6

ACTIVITY 3: WALKABOUT BY RAP TEAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 7Figure 4. Example Walkabout Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 10

ACTIVITY 4: FREE LISTING - PROBLEM IDENTIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . II - 13Figure 5. Free Listing Recording Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 17Figure 6. Free Listing Tabulation Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 18

ACTIVITY 5: (RECOMMENDED) PILE SORTING - RELATIONSHIPS B/W PROBLEMS . . . . II - 19Figure 7. Pile Sort Recording Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 22Figure 8. Pile Sort Tabulation Matrix (Similarities Matrix) . . . . . . . . . . . . . . . . . . . . II - 23

ACTIVITY 6: PAIR-WISE RANKING - RANKING PROBLEMS FOR PRIORITY ACTION . . . . II - 24Figure 9. Example Checklist of Objectives for Pair-Wise Ranking . . . . . . . . . . . . . . . . . II - 24Figure 10. Example of Pair-Wise Ranking Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 27

ACTIVITY 7: VENN DIAGRAM - STAKEHOLDERS FOR PRIORITY ISSUES . . . . . . . . . . . . II - 28Figure 11. Example Checklist of Objectives for Venn Diagram . . . . . . . . . . . . . . . . . . . . II - 28Figure 12. Example of a Venn Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 31

ACTIVITY 8: (OPTIONAL) KEY INFORMANT INTERVIEWS - PRIORITY ISSUES . . . . . . . . II - 33Figure 13. Example Ethnographic Field Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 36

ACTIVITY 9:DATA MANAGEMENT & PRELIMINARY ANALYSES . . . . . . . . . . . . . . . . . . . . II - 38Figure 14. Example Codebook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II - 43

ACTIVITY 10:PUBLIC MEETING - IDENTIFY SETTLEMENT ACTION TEAM (SAT) . . . . . . . II - 46

SECTION III. PARTICIPATORY ACTION PLANNING (WITH SETTLEMENT ACTION TEAM)ACTIVITY 11: PROBLEM TREE: ANALYZING ROOT CAUSES OF PRIORITY PROBLEMS . . . III - 1

Figure 15. Example of Problem Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 3Figure 16. Example of Problem Tree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 4

ACTIVITY 12: OBJECTIVES ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 5Figure 17. Example of an Objectives Analysis Tree, (Developed from a Problem Tree) . III - 6

ACTIVITY 13: SOLUTION RANKING MATRIX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 7Figure 18. Example of Solution Ranking Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 9

ACTIVITY 14: DRAFT SETTLEMENT ACTION PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 10Figure 19. Example Action Planning Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 11

ACTIVITY 15: PUBLIC MEETING - APPROVE SETTLEMENT ACTION PLAN . . . . . . . . . . . . III - 12ACTIVITY 16: DOCUMENT THE STUDY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 13ACTIVITY 17: FOLLOW-ON ACTIONS (CONTINUOUS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III - 14

SECTION IV. APPENDICESANNEX 1: SEQUENCE AND DESCRIPTION OF RAP ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . IV - 1ANNEX 2: POSSIBLE SCHEDULE FOR CARRYING OUT THE RAP . . . . . . . . . . . . . . . . . . . . IV - 3ANNEX 3: REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV - 4

SECTION I.SECTION I.SECTION I.SECTION I.

INTRODUCTIONINTRODUCTIONINTRODUCTIONINTRODUCTION

RAP: Section I. IntroductionRAP: Section I. IntroductionRAP: Section I. IntroductionRAP: Section I. Introduction I - 1I - 1I - 1I - 1

OVERVIEWOVERVIEWOVERVIEWOVERVIEW

This guide contains tools and procedures forcollecting information with and about refugeesand internally displaced persons (IDPs) intransition.1 We use participatory learningand action methods as a way of involvingrefugees and IDPs as partners in assessment,planning and action. We use qualitativemethods as a way of systematicallycommunicating with refugees/IDPs, andthereby improving our understanding of theirsituation.

Our purpose in developing this guide is toassist aid agencies to investigate atransitional situation in partnership withrefugees/IDPs’ and from their viewpoint, as abasis for more effective interventions. Thetools and procedures described herein aim toachieve three main objectives:

# To understand refugee/IDP priorities,challenges and aspirations.

This information is used to decide whatpriority problem(s) to address and how.

# To learn who are the significant personsand organizations among the refugee/IDPs(and external to them) who have thegreatest stake in addressing refugeepriorities.

This information is used to decide who

needs to work on the priority problem(s).

# To facilitate participatory planning,problem solving and taking action withrefugees/IDPs.

This process is used as a basis toreinforce or build capacity ofrefugees/IDPs to carry out organizedproblem solving activities using existingresources.

The guide was written for program plannersand other government and non-governmentalorganization (NGO) staff working withrefugees and IDPs. Although this guide placesa heavy emphasis on qualitative methods, it isnot intended solely for those with formaltraining in the social sciences. It includesboth individual and group-based datacollection methods. It also includes verbaland visual data. We purposively seek inputfrom a cross-section of refugees/IDPs to forma broad consensus of the current situation. The information gathered forms the basis forplanning and carrying actions—in partnershipwith refugees/IDPs—to address a top priorityproblem(s) from the perspective of therefugee/IDP population.

The manual is divided into three mainsections.

Section I Section I Section I Section I provides an introduction to theguide. This includes information about therationale for the goal and objectives of thestudy, and information needed to plan thestudy.

Section IISection IISection IISection II uses group interviews, individualinterviews and observation techniques to

1Transition refers to the time between theacute phase of a disaster and the completion of returnor resettlement activities. The type of settlementsthat ‘transition’ populations live in vary from camps orresettlement areas to communities of origin. Throughout this guide we use the term settlement todenote the place where transition populations areliving.


identify the refugees’/IDPs’ top priorityproblems for action. Special emphasis is givento problems that can be addressed (at leastpartially) with existing resources among thecommunity and partner agencies. Theinformation collected in Section II is also usedto identify a ‘settlement action team’ or‘action team’ that will work closely with thestudy team in Section III.

In Section IIISection IIISection IIISection III, the study team works closelywith the settlement action team to draft anaction plan to address one or more of therefugees’/IDPs’ top priority problems. This‘draft’ action plan is then approved ormodified at a public meeting.

Note About Training materialsNote About Training materialsNote About Training materialsNote About Training materials

Training materials are available to assistusers of this guide to train team members.

This guide comes with a companion documentthat contains slides/overheads of points tocover during training sessions. The title ofthis document is: Interviewer’s GuideInterviewer’s GuideInterviewer’s GuideInterviewer’s Guide to RapidAssessment Procedures (RAP) - Addressingperceived needs of refugees and internallydisplaced persons through participatorylearning and action.

The Interviewer’s GuideInterviewer’s GuideInterviewer’s GuideInterviewer’s Guide will be made availablefree of charge in electronic format. Personswanting this guide can receive it in PortableDocument Format (.pdf) by electronic mail bycontacting Bill Weiss at The Johns HopkinsUniversity ([email protected]) or bydownloading the document from the JHUCenter for Refugee and Disaster Studies website:http://www.jhsph.edu/refugee/resources.html

For those wanting more guidance on designingtraining sessions for data collection methodsincluded in this guide, additional trainingmaterials are available. From the samesource as the Interviewer’s GuideInterviewer’s GuideInterviewer’s GuideInterviewer’s Guide, personscan obtain a trainer’s guide and participantmanual for the Training in QualitativeTraining in QualitativeTraining in QualitativeTraining in QualitativeResearch Methods for PVOs/NGOs andResearch Methods for PVOs/NGOs andResearch Methods for PVOs/NGOs andResearch Methods for PVOs/NGOs andCounterpartsCounterpartsCounterpartsCounterparts. These manuals describe a 12-day field-based training workshop inqualitative methods. Note that thesemanuals are not training manuals specificallyfor this RAP, but for use of qualitative data inprograms generally. The lessons plans in themanuals will need to be adapted andadditional lessons plans will need to bedeveloped.


INTRODUCTIONINTRODUCTIONINTRODUCTIONINTRODUCTION

There are four main needs that this RAPGuide is designed to address. These are thefollowing: (1) looking beyond prevention ofexcess mortality; (2) improve participation ofintended beneficiaries of transition,development and relief programs; (3) improvecross-cultural communication betweenprogram beneficiaries and program staff; and(4) improve quality of program planning. Eachof these is discussed below.

Need to look beyond prevention ofNeed to look beyond prevention ofNeed to look beyond prevention ofNeed to look beyond prevention ofexcess mortalityexcess mortalityexcess mortalityexcess mortality

• In the acute phase of an emergency,refugees and IDPs often are unable tomeet their basic human needs. Highmortality rates are common. Often thesituation requires immediate outsideassistance to bring mortality rates downor prevent mortality rates from increasingdramatically. In sum, the priority in theacute phase of an emergency is to preventexcess mortality. Training and standardsare now in place to help agencies addressthese priorities.

• Following the acute emergency phase,another transition begins for refugees andIDPs. Health, in and of itself, often is notthe priority of this transition for theaffected population. In the long term, thepriority typically is a transition to a morestable, self-directed lifestyle. In thissituation, health may be valued as ameans of achieving this priority, ratherthan a main priority itself.

• A question is raised above about what arethe priorities in the phases following theacute emergency. A more importantquestion, however, may be “Whosepriorities?” Do the priorities of theaffected populations matter? Are theirpriorities considered in developing programgoals and services? The authors of thisdocument believe the population’spriorities do matter. As a result, thisdocument is a tool for helping agenciesaddress the priorities of refugees andIDPs in transition following the acuteemergency.

• In this document, we suggest a way toinitiate the transition from dependence onoutside assistance to a more self-directed lifestyle. We do this by outlininga process where agencies can help arefugee/IDP population to identify andaddress their own priorities,

• We suggest that agencies consider leavingtheir own priorities aside for the moment(or align their priorities with those of thesettlement members). The priorities ofthe implementing agency are likely to meeta better reception eventually anyway if“programs first address the community’smore pressing concerns or combinepriorities in some creative ways.”2

2 Green L, Kreuter M. 1991. Health PromotionPlanning: An environmental and educational approach.Mayfield Publishing: Mountain View, CA. 2nd Ed.


Need to improve participation ofNeed to improve participation ofNeed to improve participation ofNeed to improve participation ofbeneficiary populations of transition,beneficiary populations of transition,beneficiary populations of transition,beneficiary populations of transition,development and relief programs. development and relief programs. development and relief programs. development and relief programs.

• A consensus is emerging amonghumanitarian agencies of the need forincreased program participation byaffected populations. This is partly toimprove program sustainability throughincreased ownership and motivation bypopulations and increased local capacityto collect and use data for problemsolving.

• Agencies also acknowledge that increasedparticipation supports the right ofcommunities to have a voice in programsthat affect them, and are a means towardrecovering self-reliance. This is especiallyimportant in transition and reliefprograms that serve very vulnerablepopulations where means of self-reliancehave been seriously challenged, destroyed,are only beginning to recover.

• In developing countries many or mosthumanitarian assistance programs involvepeople with little education. Thereforespecial methods are needed to allowprogram beneficiaries to participate aspartners with outside agencies.

Many of these agencies have begun to useparticipatory learning and action methods(PLA methods), These methods generateprimarily verbal and visual data, rather thannumerical or statistical data, and thereforepersons without formal education canparticipate. In using these methods, theoutside agency may act only as a facilitatorwhile it is the community/ settlementmembers who collect and analyze data, thenplan and act on the data. A brief description

of PLA (also known as PRA) is provided inFigure 1. below.

Need to improve cross-culturalNeed to improve cross-culturalNeed to improve cross-culturalNeed to improve cross-culturalcommunication between programcommunication between programcommunication between programcommunication between programbeneficiaries and program staff.beneficiaries and program staff.beneficiaries and program staff.beneficiaries and program staff.

• International aid flowing from developed todeveloping countries necessarily crossescultures. Programs funded by this aid areoften implemented by persons of differentculture and circumstances than thosereceiving the assistance. The greater thedifferences the greater the potential formisunderstanding and poorcommunication. These misunderstandingscan go undetected until they result inprogram difficulties or failures.

• Our experience is that poorcommunication can deny beneficiarypopulations an accurate voice in programsthat affect them and their future.Humanitarian agencies may wasteresources on programs which areineffective or even harmful because staffdo not understand what is acceptable tolocal people or the real causes of theirproblems. The danger is there whereverhumanitarian assistance crossescultures. When realized it commonlyresults in frustration on both sides,program failures, loss of opportunities forself-reliance, waste of resources, loss oflife, and ultimately disenchantment onboth sides.

• An example below from a livestockprovision project to returnees in Eritrea isillustrative.


Example: Example: Example: Example: According to Kibreab,

"The assumption that the majority of the returneeswould want to return to their previous occupationand lifestyle... was misconceived because itdisregarded the considerable degree of social andeconomic transformation the refugees hadundergone in exile... During this period, not only hadthe vast majority been sedentarized, but they hadbeen deriving their livelihoods in a variety of waysincluding crop production, participation in labourmarkets both in urban, semi-urban and rural areas,and self-employment in diverse off-farm income-generating activities...

“ A sizeable portion of the refugees had beenurbanized and had become accustomed to publicutilities such as access to health care, education,clean water, and transportation. Most of thefacilities in the refugee settlements or camps werealso perceived to be superior to those the refugeesexpected to find in rural Eritrea...

“Thus, the assumption that reintegrationassistance packages should aim to enable returneesto resume their pre-flight occupation or to regaintheir lost lifestyle is a misconception... It is animperative that the design of reintegrationprogrammes should take into account the changesrefugees undergo in exile."3

• The issue is not just one of goodtranslation. Even when translation isliterally accurate, the real meaning ofcommunications on both sides is easilymisunderstood if there is no appreciationof how the other person perceives theworld. In other cases direct translation isnot possible. In Angola we discovered thatpeople in a malarious area do notrecognize malaria as a distinct illness. Inour discussions with local peopletranslators resorted to the Portuguese

word for malaria without making this clearto us. The problem was only recognized bymeans of qualitative methods. Withoutthis information a program purporting toaddress malaria would have made nosense to the local population.

Need to improve quality of programNeed to improve quality of programNeed to improve quality of programNeed to improve quality of programplanning and management planning and management planning and management planning and management

Qualitative information is needed throughoutthe life of transition and developmentprograms or during relief programs followingthe acute emergency phase. This need beginswith the planning stages through monitoringand evaluation. For example, the followingassessments used for program planning andmanagement require collection of qualitativeinformation:

• identify and understand the beneficiarypopulation's overall priorities for actionand the ranking of different sector issues(e.g., health, water, income, food, cropproduction) among priorities;

• identify and understand the beneficiarypopulation's specific priorities within aspecific sector such as health;

• identify and understand the underlyingreasons for problems before developingsolutions;

• identify and understand the beneficiarypopulation's language, concepts andbeliefs surrounding specificbehaviors/situations targeted for change;

• assess stakeholder reactions to ourprograms to adapt implementation andevaluate (subjectively) the immediateeffects of our program.

3 Kibreab G. 1999. The consequences of non-participatory planning: lessons from a livestockprovision project to returnees in Eritrea. Journal ofRefugee Studies. 12(2): 157.


Currently many PVO and NGO programs donot systematically carry out the aboveassessments. Other programs fail to carryout some of these assessments at all. Thisguide was written as a 'step' towardssystematic use of qualitative methods by allPVO/NGO transition programs (anddevelopment and relief programs following theacute emergency phase) to carry out the firstplanning and management assessmentmentioned above:

identify and understand the beneficiarypopulation's overall priorities for action andthe ranking of different sector issues (e.g.,health, water, income, food, crop production)among priorities;

Failure to carry out this kind of assessmentmay lead to tension, mistrust, andobstruction of the agency’s efforts. A quotefrom Green & Kreuter (1991) is instructive.

“When policies and priorities set at level A (theagency) depend for their execution on personsor institutions at level B (settlementmembers), planners must make every effort tosolicit active participation, input and evenendorsement from level B. Without suchcollaboration, the support and cooperationneeded from level B are unlikely.”4

Purpose and objectivesPurpose and objectivesPurpose and objectivesPurpose and objectives

This guide provides tools and procedures toaddress the needs outlined above. From aprogrammatic viewpoint, the guide describestools and procedures that aim to achievethree main objectives:

# To understand refugee/IDP priorities,

challenges and aspirations.

This information is used to decide whatpriority problem(s) to address and how.

# To learn who are the significant personsand organizations among the refugee/IDPs(and external to them) who have thegreatest stake in addressing refugeepriorities.

This information is used to decide whoneeds to work on the priority problem(s).

# To facilitate participatory planning,problem solving and taking action withrefugees/IDPs.

This process is used as a basis toreinforce or build capacity ofrefugees/IDPs to carry out organizedproblem solving activities using existingresources.

Important AssumptionsImportant AssumptionsImportant AssumptionsImportant Assumptions

Capacity Building - This study alone is notsufficient to build capacity of settlementmembers to carry out problem solvingprojects (sometimes in partnership withoutside agencies). The study can form acritical base for this, however. Capacitybuilding is a process, that may last months oryears, where settlement members learn byimplementing and evaluating “their” project.

The methods described in this guide canbe used or adapted by settlement membersto monitor and evaluate their project. TheTheTheTheassumptionassumptionassumptionassumption is that user’s of this guide (led byoutside relief or development agencies) willmake an ongoing commitment to supportsettlement members’ efforts to addresspriority problems and evaluate their efforts

4 Green L, Kreuter M. 1991. Health PromotionPlanning: An environmental and educational approach.Mayfield Publishing: Mountain View, CA. 2nd Ed.


over months or years, as needed.

Balancing Control over Biases with Control ofthe Study by Settlement Members: In PLA,local communities (settlements) takeincreasing control over the study process bybecoming the facilitators of data collectionactivities. In order to shift control of thestudy process over to the local community,PLA methods emphasize group vs. individualactivities, and visual vs. verbal data. Note,however, that PLA methods have beenprimarily used in stable populations. There isless experience with PLA methods in complexpopulations that are often found in refugee ordisplaced person settlements (multiple ethnicgroups, unusual age or gender distributions,unusual power relations).

This guide, in contrast to typical PLAstudies, is designed for use in refugee/IDPpopulations. These are populations thatoften have members who experienced humanrights abuses, either before or duringdisplacement. [Human rights abuses may bethe main cause of displacement]. Personsexperiencing human rights abuses are usuallythe most “powerless” members of asettlement (women, children, elderly, minorityethnic groups). These persons are at riskfrom how others define priority issues toaddress.

We have great concern that thepowerless are not excluded in this study tohelp define priorities. To address thisconcern, at the beginning of this study wehave chosen to also use individual datacollection methods (Free Listing, Pile Sorting,Observation) to help define priorities. We fearthat beginning the study with group methodsalone to define priorities may allow dominantpersons to control group discussions andprevent the voice of the most vulnerable frombeing heard.

Individual methods can help to preventcontrol by dominant persons if efforts aremade to interview many persons of differentethnicity, age, geographic area and gender. This is especially true at the beginning of thestudy—before the team has had a chance toobserve life in the settlement—when thestudy team is unlikely to understand powerrelationships and what groups are dominantand what groups are marginalized.

The assumptionThe assumptionThe assumptionThe assumption is that using individualmethods to define priorities for action, inconjunction with group methods, will helpminimize control of dominant groups orpersons. The tradeofftradeofftradeofftradeoff in trying to minimizecontrol of dominant persons is that theindividual methods suggested in this guide(Free Listing, Pile Sorting, Key InformantInterviews) require literate data collectors torecord responses of informants. This limitsparticipation of illiterate settlement membersin the data collection process when individualmethods are used. [Note that illiteratemembers can still participate by helping teammembers communicate with settlementmembers, with interpreting the results ofdata collection activities and makingconclusions].

In cases where no or few settlementmembers are literate, shifting total control ofthe study process to settlement members isnot possible, when the individual methodsdescribed in this guide are used. Over time,once an agency has a good understanding ofpower relations in a settlement, groupmethods may be sufficient. For example,groups methods can be used with groupscomprised of only ‘marginalized’ persons untilthe facilitators of the study process areconfident that the voice of the ‘marginalized’has been heard. Each user of this guide willhave to decide for her- or himself how tobalance the two needs: control of biases andshifting control to settlement members.


Readers can get a good introduction to PLA (also known as PRA) from the Participation Group atthe Institute for Development Studies at the University of Sussex. Some excerpts from their webpage is provided below.

“PRA can be described as a family of approaches, methods and behaviours that enable people toexpress and analyse the realities of their lives and conditions, to plan themselves what action totake, and to monitor and evaluate the results... PRA emphasizes processes which empower localpeople... (rather than) as a means for outsiders to gather information. The terminology is confusingand there is much debate about what constitutes "real" PRA. The key elements of PRA are themethods used, and - most importantly - the behaviour and attitudes of those who facilitate it....

“PRA employs a wide range of methods to enable people to express and share information, and tostimulate discussion and analysis. Many are visually based, involving local people in creating, forexample:- maps showing who lives where and the location of important local features and resources such

as water, forests, schools and other services; - flow diagrams to indicate linkages, sequences, causes, effects, problems and solutions; - seasonal calendars showing how food availability, workloads, family health, prices, wages and

other factors vary during the year; - matrices or grids, scored with seeds, pebbles or other counters, to compare things - such as the

merits of different crop varieties or tree species, or how conditions have changed over time.

“PRA activities usually take place in groups, working on the ground or on paper. The ground is moreparticipatory, and helps empower those who are not literate. Visual techniques provide scope forcreativity and encourage a frank exchange of views. They also allow cross-checking. Using acombinations of PRA methods a very detailed picture can be built up, one that expresses thecomplexity and diversity of local people's realities far better than conventional survey techniquessuch as questionnaires.

“PRA depends on facilitators acting as convenors and catalysts, but without dominating theprocess. Many find this difficult. They must take time, show respect, be open and self-critical, andlearn not to interrupt. They need to have confidence that local people, whether they are literate ornot, women or men, rich or poor, are capable of carrying out their own analysis.

“Unfortunately, there has been much abuse of PRA by outsiders keen only to extract informationquickly, and use it for their own purposes. Such practice is unethical because local people are broughtinto a process in which expectations are raised, and then frustrated, if no action or follow- up results.To avoid this, those wishing to use PRA methods in a purely extractive way need to be transparentabout their intentions, and refrain from calling what they do PRA. In PRA, facilitators act as acatalyst, but it up to local people to decide what to do with the information and analysis theygenerate. Outsiders may choose to use PRA findings - for example, to influence policy or for researchpurposes. In all cases, however, there must be a commitment on the part of the facilitatingorganisation to do its best to support, if requested to do so, the actions that local people havedecided on.”

Source: http://www.ids.ac.uk/ids/publicat/briefs/brief7.html#top. Download from IDS Web Page on 19July 2000.

Figure 1. Overview of PLA: Participatory Learning and ActionFigure 1. Overview of PLA: Participatory Learning and ActionFigure 1. Overview of PLA: Participatory Learning and ActionFigure 1. Overview of PLA: Participatory Learning and Action


PREPARATIONS FOR FIELD WORKPREPARATIONS FOR FIELD WORKPREPARATIONS FOR FIELD WORKPREPARATIONS FOR FIELD WORK

Before embarking on this endeavor, it is firstimportant to assess your organization’scapacity to conduct the work and to collectas much existing information on the sitepopulation as possible. There should be anumber of planning meetings prior to fieldwork to help prepare for actual datacollection. Unlike survey data, qualitativedata collection requires intense interactionwith individuals. The characteristics andpersonalities of each of the field teammembers will have an important impact on thecontent and quality of the data collected.

The Field TeamsThe Field TeamsThe Field TeamsThe Field Teams

• Ideally, there should be at least twoteams of three to four individuals each,with one person in each team a fieldsupervisor.

• Having two teams allows each datacollection activity to be carried outsimultaneously in two sites within thestudy area, enhancing therepresentativeness of the informationcollected.

• Most should be familiar with thepopulations they will be working with and, ifat all possible, should be fluent in the locallanguage(s). If the field team members donot speak the language, translators mustaccompany the team.

• Each team should consist of a genderratio roughly equivalent to the populationthey are visiting. When choosing the fieldteam the ethnicity, age and social statusof the population (if known) should beconsidered. For example, in the culture it

may be inappropriate for a youngunmarried woman to ask questions aboutthe reproductive history of an olderwoman. In this case, it may be necessaryfor an older refugee/IDP woman toaccompany the team member and conductthe interview while the team member takesnotes.

• If at all possible, we advise includingrefugees/IDPs in the field teams. Theseindividuals can not only serve asinformants but can also serve as liaisonsto the community and be an integral partof the data planning, collection, andanalysis.

• To compensate for biases of teammembers, the teams should be multi-disciplinary. For example, a team couldhave persons with experience in health,water and sanitation, agriculture or foodsecurity, micro-credit and/or incomegeneration.

Language and TranslationLanguage and TranslationLanguage and TranslationLanguage and Translation

Carrying out this study may be complicatedby having persons living together who comeoriginally from different ethnic groups or whoused different livelihood systems. This is acomplication because this guide stronglyrecommends that field work be carried outusing local languages. Possible implicationsinclude:

• interview persons of different languagesseparately;

• translation into several languages (andback-translation into English, French,


Spanish, Portuguese, Arabic etc.) of thestructured questions used during freelisting and pile sorting will be a key step;

• having the language capacity on theteams and matching this capacity toinformants’ language capacities willrequire careful planning.

What You Need to Conduct ThisWhat You Need to Conduct ThisWhat You Need to Conduct ThisWhat You Need to Conduct ThisResearchResearchResearchResearch

Time

• It will be important to set aside sufficienttime to do the work. Qualitative datacollection requires a lot of time toconduct interviews, translate, and expandnotes. It is estimated that 12-15 workingdays are required to complete all theexercises in this guide.

• These exercises can be done on a part-time basis if resources are limited. Thespeed at which these exercises arecompleted depends only on howrepresentative one wants the data to beand how soon the information is needed.

Resources

• The teams will require writing and filingequipment, including file folders, fieldnotebooks, clipboards, pens and paper.

• The field teams should discuss thefeasibility and appropriateness ofincentives for informants, andremuneration to field staff for anyovertime.

Existing Data

Prior to fieldwork collect any existing

information on the settlement area and therefugee/IDP populations. This includes:

• Any census or other demographicinformation about the displacedpopulation, including: ethnic makeup,culture and languages.

• History of the displaced population,including relationship with the hostpopulation.

• Epidemiological data, including nutrition• Maps of the settlement area.• Number and names of organizations

working in the settlement area and theiraffiliation.

• Current and planned programs; theirpurpose and people served.

Sources for this information includegovernments, international agencies such asthe UN (including UNHCR) and WHO,anthropological literature and the Internet.

Once preparations have been completed andexisting data collected (and studied forimplications regarding the present study)field data collection can commence.

Selecting Study SitesSelecting Study SitesSelecting Study SitesSelecting Study Sites

• The study site(s) selected shouldrepresent the population that is intendedto benefit from future programs.

• If there are groups within the site withlikely differences in their vulnerability toproblems, consider having a separatestudy site for each group. Vulnerabilitycan vary by the following factors:! access to resources! ethnicity, gender and age! geography, environment! social class! level of insecurity! living in camps vs. self-settled


• An alternative is to select a study sitethat only represents most vulnerablegroups.

• The location of the study sites should belogistically feasible and sufficiently securewithout compromising representativeness.! Beware the “tarmac” bias (where

information represents only the betteroff) and be sure to get off the mainroutes and paths and seek outmarginalized persons ;

! The security situation orinaccessibility may prevent the studyteam from reaching some groups—ifso, indicate clearly in analyses who thefindings represent and do notrepresent.

! [The information collected alwaysrepresents someone, but perhaps notwho we want it to represent or only asub-population of who we want it torepresent].

• Triangulate within each study site.! Collect data in two or three locations

within the site;! Consider access to resources as a

factor in selecting the additionallocations;

! The purpose is to seek out and findvariation in our findings if it exists.

! This is a way of cross-checking ourfindings from the initial location.

! The more sites within the study areathat can be visited will enhance therepresentativeness of the informationcollected.

• Consistency of information between two ormore study sites will increase ourconfidence that the data collected isrepresentative. [Only a random sample ofa sufficient number of informants,

however, can give us statistical evidenceof the representativeness of the datacollected].

• Contradictions in information betweensites encourage us to collect informationfrom more sites to understand andexplain these differences.

• To save time when triangulating, have twoteams carry out the same activities atdifferent sites simultaneously andcompare findings on a regular basis.! A third location would be necessary if

the findings between locations varyconsiderably.

• To save resources (other than time) whentriangulating, have one team collect datain a primary location. Later when timepermits, the team collects data in a 2nd

(and 3rd location if needed) to confirmfindings of the primary location and/ordescribe the variation in findings.

Selecting Informants to Interview orSelecting Informants to Interview orSelecting Informants to Interview orSelecting Informants to Interview orObserveObserveObserveObserve

There are a number of different ways ofselecting informants for qualitative research. The type of sampling strategy chosen shouldbe based on criteria related to the type ofdata needed. Sampling decisions include notonly which people to observe, but also settingsand events (Miles and Huberman, 1994).

Purposive sampling

The most common sampling strategies inqualitative research are referred to aspurposive or purposeful sampling. Many of thepurposeful sampling strategies assume a levelof social cohesion or community. Areas where


refugee or other displaced persons live,however, may not conform to the conventionalnotions of a community.

• Settlement sites often represent uniqueand readily changing environments. Theyare often affected by the external nationalor non-governmental agencies providingservices and the current state of theemergency, whether man-made or natural. This variation in the condition of refugeesettlements may require the developmentof alternative approaches to help selectindividuals for the data collection process.

• Note: only a probability sample of asufficient number of informants, however,can give us statistical evidence of therepresentativeness of the data collected.

Below, we present an overview of the majortypes of purposive sampling strategiesavailable for informant selection. Note thatfor each of the data collection activitiesdescribed in this manual, we suggest what weconsider the most appropriate method forinformant selection.

•••• Convenience SamplingConvenience SamplingConvenience SamplingConvenience Sampling: This type ofsampling is useful for exploratory researchor for pre-testing data collectioninstruments.! In essence it includes interviewing

anyone who is most convenient for theresearcher to identify and who iswilling to answer questions.

! This is the most efficient, moneysaving selection technique.

! However, because the researcher islimited in the type of individual theycan interview using conveniencesampling, the data collected may be oflimited use.

•••• Snowball or Chain SamplingSnowball or Chain SamplingSnowball or Chain SamplingSnowball or Chain Sampling: In snowballsampling you begin by locating one or morekey individuals and then obtaining referralsfrom them for additional informants.! This type of sampling is useful when

trying to locate individuals from asimilar group or profession that arelikely to know each other, such astraditional healers or politicalactivists.

! One disadvantage of this technique isthat the most popular or well-knownindividuals will be mentioned to theexclusion of others.

•••• Case Sampling (Extreme and Typical)Case Sampling (Extreme and Typical)Case Sampling (Extreme and Typical)Case Sampling (Extreme and Typical): Extreme case sampling is best used toexemplify a specific situation orphenomena of interest. ! For example, one could interview

disabled residents within thesettlement to identify how they live incomparison to other settlementmembers.

! Alternatively, one could interview thosefamilies that are living relatively betterthan others within the settlement todetermine why and how they are ableto do so.

! This type of sampling is usually doneat a later stage of qualitativeresearch when specific issues ofinterest are explored in greater depth.

! Typical case sampling is used tohighlight those individuals who areliving the more ‘normal' or ‘average'lifestyle in the settlement.

•••• “Random” Purposeful Sampling“Random” Purposeful Sampling“Random” Purposeful Sampling“Random” Purposeful Sampling: Randompurposeful sampling allows addedcredibility to a sample when the potentialpurposeful sample is too large.! For example, if sex workers are

knowledgeable about a topic of


interest, one can obtain thisinformation by identifying andinterviewing a random sample of all sexworkers in the community.

• “Stratified” purposeful sample: “Stratified” purposeful sample: “Stratified” purposeful sample: “Stratified” purposeful sample: Informantsare selected from several groups of people,each with differing characteristics, usingpurposive techniques described above.! This type of sample facilitates

comparisons between subgroups in thepopulation with differentcharacteristics.

! Differing characteristics arepotentially many and may include:gender, age, disability, ethnicity,location of household, means oflivelihood, exposure toviolence/assault.

Probability sampling

Most epidemiological studies require randomprobability samples that allow forrepresentativeness and permitgeneralizations to be made from the sampleto the population at large. Although this typeof sampling is not generally used in qualitativeresearch, modifications of the randomprobability sample can be.

Below, we present an overview of the majortypes of probability sampling strategies thatmay be available for informant selection.

•••• Systematic Random SamplingSystematic Random SamplingSystematic Random SamplingSystematic Random Sampling: Thismethod of sampling allows one torandomly select a representative portionof the whole population.! This method requires having the

number of the total population andthe number of the sample size neededfor the precision desired (taken from asample size formula).

! This method also requires havinghouseholds ordered in some way thathouseholds can be selected withoutchance of being missed or selectedtwice. This requirement can be met ifthere is a complete household list or ifhouseholds are organized on theground in a clear order.

! Divide the number of the totalpopulation by; the number you getfrom the calculation is “n.”

! Select the first household at randomusing a number between 1 and “n.” Findthe first informant that meets yourcriteria that is nearest thishousehold.

! Then select every “nth” household tofind additional informants until thesample size needed has been reached.

•••• Stratified Random Sampling: Stratified Random Sampling: Stratified Random Sampling: Stratified Random Sampling: Amodification to the systematic samplingis stratified random sampling based onspecific important populationcharacteristics.! Some common strata include

ethnicity, age, gender or life stage. For example, if three ethnic groups arescattered across the settlement, youmay choose to collect representativeinformation each ethnic group. It isalso important to include participantsfrom the recognized vulnerable groups,such as women (especially thosepregnant and lactating), children(especially unaccompanied minors),the elderly and the disabled.

! When you have decided which areasand groups must be included (theseareas or groups are your strata) youthen choose respondents randomlyfrom within each stratum. There arevarious ways of doing this.

! If there is a household list by strata,


or if strata can be designated on thebasis of geography (for example, ifethnic group is a stratum and peoplefrom the same group cluster together)use the systematic method describedabove within each strata.

! An alternative methods is to use amap to randomly pick a spot withineach strata (e.g. ethnic area). Youcould then seek respondents in theclosest dwelling.

! If strata cannot be designated bywhere they live, you can still use themap to select spots evenly separatedthroughout the site. Then go to thenearest dwelling to that spot and lookfor an eligible respondent (one whobelongs to one of the strata you aresampling). If none is there, either askthe residents where the nearesteligible person lives, or keep passing tothe next house until you find someoneeligible.

! In the case of multiple strata, somebased on area and others not, you canuse a combination of these methodsto find respondents.


DAILY ACTIVITIES IN THE FIELDDAILY ACTIVITIES IN THE FIELDDAILY ACTIVITIES IN THE FIELDDAILY ACTIVITIES IN THE FIELD

There are several activities that may occureach day of field work in this study. Ingeneral, about ½ of a typical field day is usedto collect data (including training, and travelto and from study sites). The remaining ½ ofa typical field day is used to write up notes ofdata collection activities, discuss the day’sactivities and plan for the following day.

Training and preparationsTraining and preparationsTraining and preparationsTraining and preparations

The proposed schedule of activities in Annex 2suggests that after an initial two days oftraining, that the remainder of training becarried out “just before” data collectionactivities take place. This means that on atypical field day, the first activity mightinclude training (didactic and practice). Inaddition, some preparations may be neededsuch as, preparing cards for pile sorting ordeveloping a pair-wise ranking matrix on paper.

Travel to and from the study sitesTravel to and from the study sitesTravel to and from the study sitesTravel to and from the study sites

The preferred approach in participatorylearning and action is to “live” in thesettlement during the study. However, it isoften the case when working with refugee/IDPpopulations that security concerns do notallow the study team (at least the outsiders)to stay in the settlement overnight.

Travel to the study site from a “secure”location may require considerable time eachfield day. If so, this may mean that datacollection activities may not begin until 11:00a.m. or later. This can put stress on the endof the day, shortcutting discussion, analysisand planning. Excessive travel timerequirements often mean pushing planningand preparation for the next day into the

morning of the next day.

Data collectionData collectionData collectionData collection

Most suggested data collection activities inthis guide require, once begun, about 90minutes. An exception to this is theWalkabout which requires two to three hoursfor an optimal experience.

The time needed for data collection may belengthened each day to meet with settlementleaders and/or the need to wait forinformants of a planned group discussion toform together once the team arrives. Thecaution is to allow for additional time thanexpected for data collection and have theteam try and arrive about 30 minutes beforeplanned activities.

Team Interaction MeetingsTeam Interaction MeetingsTeam Interaction MeetingsTeam Interaction Meetings

The process suggested in this RAP has teammembers write expanded notes of datacollection activities (see Activity 9. DataManagement and Analysis). Expanded notesare typically written by a group of teammembers who were present at a datacollection activity. Using a team processhelps compensate for memory biases.

The expanded notes should include an analysisof the day’s activity. The analysis shouldreview both the process and the content ofdata collection activities and note any biasesobserved or problems with the methods used. The expanded notes of different groups shouldthen be compared and this analysis shouldsuggest issues for follow-up on the daysahead or suggest changes in the researchplan.


GETTING STARTEDGETTING STARTEDGETTING STARTEDGETTING STARTED

Although qualitative sampling approaches arewell described in the literature, actually goingout and identifying the individuals to interviewcan be a difficult task. We suggest twodifferent approaches to begin identification ofkey individuals for participation in initialactivities of the research. Either of theseapproaches could be used or a combination ofboth depending on the characteristics of thesettlement.

The Community MeetingThe Community MeetingThe Community MeetingThe Community Meeting

The community meeting is designed to put theword out that research will be conducted inthe settlement and that individuals areinvited to participate in the process.

• Preparations for the community meeting(or meetings depending on the size of thesettlement) can include meetingtraditional, elected or administrativeleaders and asking their support forinviting settlement members to themeeting.

• Traditional leaders often have efficienttechniques for gathering people that maycontinue to work in settlements. Providethese leaders with a profile of persons whoshould be invited and encourage leaders tosuggest and invite appropriate persons.

• At minimum, representatives from eachethnic/social group within the settlementarea should be invited to the meeting. Thestudy team can also advertise throughoutthe settlement or at key relief stationswithin the settlement to encourageattendance.

• During the community meeting describethe purpose of the investigation, the needfor knowledgeable individuals forinterviews, the general time line for theinvestigation and what will be done withthe results of the data. Allow plenty oftime to answer questions about thestudy.

• At the end of the meeting, ask the groupto identify persons to meet with the teamwho are "especially knowledgeable" about atopic of interest to the study team. Include representatives of each genderand each of the important ethnic/socialgroups living in the settlement area.! For example, those especially

knowledgeable about the layout of thesettlement should meet with the teamto make a participatory map.

• Invite those who remain behind toparticipate in an group activity such as aparticipatory map. Use this experienceand others to identify persons within thegroup who could be a good key informantor who can suggest appropriateinformants for in-depth interviews orappropriate sites/groups within the studyarea to sample from.

Site-based ApproachSite-based ApproachSite-based ApproachSite-based Approach

This approach is described by Arcruy andQuandt (1999) for selecting informants invery complex societies. As refugeesettlements are unlike most communities,where it is difficult to identify or interact withthe relevant individuals, we suggest that thisis another alternative to identifyinginformants in refugee settings.


In this approach, Arcruy and Quandt outlinethe following steps in identifying these keyindividuals:

1. Specify boundaries and sub-populationsfor the study (social, ethnic)

As with all other approaches, decisionsshould be first made about the boundariesand sub-populations to include in theinvestigation. It may be important to includeall ethnic sub-populations or simply the 3most common in the settlement. Alternatively, you may find it important todivide the settlement into divisions orsections based on the geographic distributionof the homesteads.

2. Generate a list of ‘sites' used bysettlement members

Identify key locations where individuals arein contact or visit frequently. This couldinclude the emergency medical or reliefcenters, schools, shopping or market areas,or churches and mosques within thesettlement. The list should be reduced to themost important (or most frequently visited)sites in the settlement, however, be carefulnot to omit sites which interact withvulnerable sections of the community.

3. Contact "gatekeepers" at each site

This could include the director of serviceagency or the housing development. In some‘mini' communities this could be a locallyselected leader. These individuals are thenrequested to help you and the team identifywho could best participate in theinvestigation. Sufficient rapport should bedeveloped with these gatekeepers as they willbe your primary guides and ‘key informants' asyou continue your investigation.

4. Recruit informants

Informant recruitment can occur in one oftwo ways: 1) the gatekeepers can contactindividuals (or provide a list for you) andinformants are selected from that list. Or 2)the gatekeepers can facilitate the formationof a group whom you can address and askthem directly for their participation.

As with all data collection methods, it isimportant to maintain a roster of informantsinterviewed that includes the followingcharacteristics: pseudonym (do not use realnames); gender; approximate age;social/ethnic group; role in community(traditional leader, healer, mother); and thetopic of the interview. This information isused to help the study team maintainawareness of the number and types ofinformants that have been interviewed as thestudy progresses.


CROSS - CUTTING ISSUESCROSS - CUTTING ISSUESCROSS - CUTTING ISSUESCROSS - CUTTING ISSUES

Cutting across each of these key areas isgender, age, ethnicity and others. Althoughthere are some issues that affect allsegments of the population, it is more oftenthat there are vulnerable groups requiringspecial attention and focused interventions. By collecting data from representatives ofdifferent segments within the settlement, onecan obtain a clearer picture of overall healthneeds for the population. Each proceduredescribed in this manual consists ofcomponents to explore each of thesedimensions.

GenderGenderGenderGender

Women living in refugee settlements are atextreme reproductive risk. These women faceclosely spaced pregnancies, poor nutritionalstatus and infection. They are also at asubstantially higher risk of rape and otherviolence compared to stable populations. Inmany cases, there is insufficient gynecologicalor obstetrical care available and limitedaccess to contraceptives. Their vulnerablestatus in these settlements makes itnecessary to ensure they are represented.

Life stage and ageLife stage and ageLife stage and ageLife stage and age

Clearly, the age and/or life stage of anindividual influence their susceptibility to thechanges in lifestyle and living conditionsresulting from displacement. For example,newborns and young children are more likely tosuffer from infectious disease resulting frompoorer water supplies compared with adults. Likewise, the elderly may require greaterassistance in the settlement if they havebeen separated from their children or otherrelatives. It is important to understand who

is affected by which problems so thattargeted interventions focused on thevulnerable populations are developed.

EthnicityEthnicityEthnicityEthnicity

Differences in ethnicity and language are ofparticular importance in refugee anddisplaced populations. Refugee settlementsare often created by external organizationswhose main focus is to protect individualsfrom disastrous situations. It is, therefore, alesser priority to keep communities intactduring the displacement.

In the case of war-torn regions, this can leadto conflicts between members of differentfactions who are forced to live and worktogether. Also, due to differences in socialstatus of specific ethnic groups, one or moregroups may be marginalized within thesettlement.

Discussing Sensitive IssuesDiscussing Sensitive IssuesDiscussing Sensitive IssuesDiscussing Sensitive Issues

Note that recalling violent and traumaticevents can cause distress among someinformants. Therefore, interviewers shouldshouldshouldshouldnotnotnotnot probe about these issues in-depth. Notehowever, that some informants may welcomethe opportunity to talk about these issues,and these opportunities can help alleviatetheir feelings of distress, If the issues shouldcome up and the informant wants to talkabout them, then the interviewer should dothe following:

• Allow informants to talk about the issues(this is not the same as probing by theinterviewer);


• In these cases the interviewers mustexhibit patience and empathy. They shouldallow to informant to talk as much asthey wish about these topics, even if theyare not the focus of the interview and evento the extent of taking up the wholeinterview.

• If the interview is not completed becauseinformants have used the time to “vent,”then the interviewer should make anotherappointment to re-interview theinformant(s) about the topics of interest;

• If an informant appears to be distressedby traumatic events, whether or not theywish to discuss them, the interviewershould refer the informant to any existingmental health services for furtherassessment.

Note that these interviewing experiences canalso be traumatic for the interviewers,particularly if they are local people whothemselves have experienced trauma. Supervisors must be sensitive to this by doingthe following:

• Every day they must debrief eachinterviewer, giving each the opportunity to‘vent' as needed.

• If interviewers are exhibiting frankdistress sustained over several days theyshould be given a break and, if possible,assessed by mental health services.

• If frank distress continues they shouldcease interviewing.

Emphasis on Qualitative Methods ofEmphasis on Qualitative Methods ofEmphasis on Qualitative Methods ofEmphasis on Qualitative Methods ofData GatheringData GatheringData GatheringData Gathering

The data collection methods described in thisguide are qualitative in nature. Qualitativedata refers to information for understandingthe reasons for, and meanings of, behaviors,beliefs and attitudes. In doing so it providesinformation on social structure andrelationships, information on people'sperceptions of their environment andperceived needs. It requires data collectionthat is more in-depth. Detailed information isgathered not only on what is going on but alsowhy. This type of in-depth data collectionserves as a useful complement to morestructured quantitative data collectionmethods, such as surveys.

The participatory nature of qualitativemethods and repeated contacts with thesame informants builds rapport withindividuals within populations. Extensiveinteractions between program staff andmembers of the population can enhance theprogram staff's understanding of thesepopulations as well as can increase thepopulation's understanding and appreciationof the health organization.

Raising and Dealing With ExpectationsRaising and Dealing With ExpectationsRaising and Dealing With ExpectationsRaising and Dealing With Expectations

The focus of the RAP is on taking immediateaction to address priorities, using existingresources where possible. This raises severalissues:

• The population—if it has received a largeinfusion of resources from the outsideduring an acute emergency—may expectthat the agency carrying out the RAP willprovide all resources needed forimplementation.


• That the population is expected to developaction plans that include using their ownresources for implementation may bequite a surprise.

• Also, if resources external to thepopulation are needed to implementsolutions, the agency carrying out theRAP may not have these resources onhand. The agency may agree to develop aproposal for funding but the fundingcannot be certain. These issues need to beclarified prior to any data collectionactivities.

• In addition, this RAP uses open-endedapproaches to assessing perceived needs. It is quite possible that the population willgive priority to a need that theagency(ies) carrying out the RAP does nothave expertise. The agency carrying outthe RAP must decide ahead of time whatit will do if this happens prior to the firstpublic meeting. ! For example, the agency may agree to help the

population advocate to governmentauthorities to address a priority need outsideits expertise.

! Or, the agency may agree to provide theinformation collected to another NGO thathas the relevant expertise.

During the first public meeting and on acontinuous basis, discuss how the informationwill be used & what the team considersreasonable expectations of what can resultfrom the study—Give emphasis to immediateactions that can be carried out using existingresources of settlement members;

Considerations in Using this GuideConsiderations in Using this GuideConsiderations in Using this GuideConsiderations in Using this Guide

Many manuals describing rapid qualitativedata collection techniques already exist forstable populations (for general references onqualitative research guides, see Winch, P. etal). This manual was developed by adaptingthese existing manuals to the particularneeds of agencies working with transitionalpopulations. It can be considered a rapidassessment guide for unstable populations -refugees and IDPs. The manual is organized so that datacollection activities build on informationgained in preceding activities. However, not allmethods presented here are required for eachassessment. Individual organizations havetheir own needs and restraints and shoulduse this as a guide for their data collectionplans. People can substitute/adapt othermethods with which they are familiar as theysee fit.

rapid assessment procedures (rap): addressing the

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