> For the complete documentation index, see [llms.txt](https://urd.gitbook.io/compass/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://urd.gitbook.io/compass/implementing/preliminary-phase.md).

# Preliminary phase

### <mark style="color:orange;">Why?</mark>

Organisations decide whether to begin the Initial Assessment phase or not. It is not only about feasibility but also about responsible engagement (considerations about harm, power dynamics, ethical considerations and organisational added value).

### <mark style="color:orange;">When?</mark>

The Preliminary phase is the first phase in the project cycle. It starts when the organisation identifies a situation where communities and people are affected by a crisis or are in a situation of vulnerability that requires support. It ends when the organisation decides or not to proceed with a more detailed Initial Assessment.

### <mark style="color:orange;">What?</mark>

The Preliminary phase involves an initial analysis of whether institutional capacity, capacities, and mandate are coherent with:

* The needs, priorities and capacities of communities affected
* The contextual constraints and risks (security, political, environmental, social)
* Existing responses and coordination mechanisms
* Available and potential resources

&#x20;This phase is important to ensure that decisions are intentional, informed, and ethical.

#### **Important**

► Access to information at this point is often limited. But even if limited, some points need early attention such as risks, safeguarding concerns or potential negative effects.

► This phase can require less investment if the organisation is already in the country and already has in-depth knowledge of institutional capacities in this specific context.

<figure><img src="https://703690093-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FjVZ7GutuuOfKVB2ccnej%2Fuploads%2FtnaAJXN0PootYb7afK15%2FPreliminary%20phase_Graph.png?alt=media&amp;token=e721d3b1-fccc-4700-bb69-a26492cb08d1" alt=""><figcaption></figcaption></figure>

### <mark style="color:orange;">Q\&A control points?</mark>&#x20;

There is no specific quality and accountability control point at this stage. However, the Preliminary phase sets the foundations for quality and accountability by reflecting on how the organisation will be engaged.

### <mark style="color:orange;">Who?</mark>&#x20;

During the preliminary phase,

* Top Management and senior leadership must be involved to decide whether the organisation will conduct a more detailed needs and situation analysis – the Initial Assessment.
* Communities and people affected by the crisis, where feasible, must be consulted to improve understanding of perceived needs, priorities and existing coping mechanisms
* Operational staff and support teams can be consulted to improve understanding of the situation, the contexts and the assistance that is needed, they may also share lessons learned from previous interventions in the same zone.

### <mark style="color:$primary;">Good practices for the Preliminary phase by CHS commitments</mark>

{% stepper %}
{% step %}

#### 1. Can exercise their rights and participate in actions and decisions that affect them

<mark style="color:$danger;">Essential</mark>

* Identify the affected community (including hard-to-reach groups).

<mark style="color:$success;">Ideal</mark>

* If feasible, do an initial consultation with local actors or community contacts to guide decision-making.
  {% endstep %}

{% step %}

#### 2. Access timely and effective support in accordance with their specific needs

<mark style="color:$success;">Ideal</mark>

* Check foreseeable constraints, such as limited access, delays, administrative issues, etc., that could delay assessment or response.
* Make sure the proper decision-making process is in place to act and make decisions without unnecessary delays.
  {% endstep %}

{% step %}

#### 3. Are better prepared and more resilient to potential crises

<mark style="color:$danger;">Essential</mark>

* Identify local response capacities (Authorities; Local NGOs, mutual aid mechanisms, etc.) to avoid potential duplication and assess if the intervention could strengthen them.
* Ensure any existing preparedness or contingency plans are consulted to assess whether institutional capacity is coherent with people’s needs and capacities.
  {% endstep %}

{% step %}

#### 4. Access support that does not cause harm to people or the environment

<mark style="color:$danger;">Essential</mark>

* Quick analysis of major risks of harm (community tensions, protection risks, conflict sensitivity, environmental risks) linked to the presence of aid.
* Identify early on the level of risks to guide decision-making.
  {% endstep %}

{% step %}

#### 5. Can safely report concerns and complaints and get them addressed

<mark style="color:$danger;">Essential</mark>

* Assess if any organisation’s/partners' feedback mechanisms can be used according to the community's priorities and preferences.
* Ensure that the assessment phase starts with at least one channel for communities to report any complaints and concerns.

<mark style="color:$success;">Ideal</mark>

* Prepare the necessary protocols for collecting feedback and concerns during the assessment phase.
  {% endstep %}

{% step %}

#### 6. Access coordinated and complementary support

<mark style="color:$danger;">Essential</mark>

* Assess who the first responders are (authorities, local community-based organisations, NGOs, mutual aid networks, etc.) and existing coordination mechanisms, and if the organisation has any relation with them.
* Ensure that the organisation has legitimacy and added value in the context.
  {% endstep %}

{% step %}

#### 7. Access support that is continually adapted and improved based on feedback and learning

<mark style="color:$success;">Ideal</mark>

Mobilise learning material from similar contexts and ensure that relevant lessons learned are taken into account in decision-making processes and early assumptions.
{% endstep %}

{% step %}

#### 8. Interact with staff and volunteer that are respectful, competent, and well-managed.

<mark style="color:$danger;">Essential</mark>

* Involve appropriate senior and technical staff in the decision.
* Assess staff availability, surge capacity and duty-of-care constraints, including security and wellbeing.
  {% endstep %}

{% step %}

#### 9. Can expect resources to be managed ethically and responsibly.

<mark style="color:$danger;">Essential</mark>

Make sure the organisation currently has the capacity to mobilise or obtain resources for an intervention. Consider opportunity costs and integrity/ethical risks.
{% endstep %}
{% endstepper %}