Building a Better Response E-Learning Units 1 5 Full Script August 2017

Transcription

1 Building a Better Response E-Learning Units 1 5 Full Script August 2017 info@buildingabetterresponse.org

2 Table of Contents UNIT 0 INTRODUCTION TO BUILDING A BETTER RESPONSE 1 1 Welcome 1 Scenario 1 Goals and Structure 2 The Course Page 2 E-Learning Player 3 Background 3 Before You Begin 3 Conclusion UNIT 1 FOUNDATIONS OF HUMANITARIAN ACTION 4 Section 1.0: Introduction 4 4 Unit 1 Overview 4 Radio Announcement 4 Welcome 4 What to Expect Section 1.1: Actors in Disaster Response 5 5 Overview 5 Government 5 Local Relief Structures and Community-Based Organizations 6 Non-Governmental Organizations (NGOs) 6 International Red Cross and Red Crescent Movement 7 Military: National and International 7 Private Sector 8 Donors 8 Access to the Emergency Section 1.2: The Humanitarian Imperative and Humanitarian Principles 9 9 Humanitarian Imperative and Humanitarian Principles 9 The Humanitarian Imperative 9 Humanitarian Principles 9 Humanity 9 Neutrality 10 Impartiality 10 Independence 10 From Principle to Practice 10 The Principles of Partnership 10 Equality 10 Transparency 11 Results-oriented approach 11 Responsibility 11 Complementarity 11 From Principle to Practice Section 1.3: Humanitarian Reform Humanitarian Reform 12 Timeline: Humanitarian Reform Before Four Pillars of Humanitarian Reform 12 Coordination 13 Leadership 13 Humanitarian Financing 13 Partnership 13 Transformative Agenda 14 World Humanitarian Summit 14 Conclusion Unit 1 Answers Section 15 ii

3 UNIT 2 THE INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM 17 Section 2.0: Introduction Unit 2 Overview 17 Radio Announcement 17 Welcome 17 What to Expect Section 2.1: International Humanitarian Coordination System at the Global and Country Levels Coordination of Aid Provision 18 Introduction to the International Humanitarian Coordination System 19 The International Humanitarian Coordination System 19 Office for the Coordination of Humanitarian Affairs (OCHA) 20 Emergency Relief Coordinator (ERC) 20 Inter-Agency Standing Committee (IASC) 21 NGO Consortia 21 Humanitarian Coordinator (HC) 22 Humanitarian Country Team (HCT) 22 The Cluster Approach 23 More on L3 Emergencies 24 Review of the International Humanitarian Coordination System 25 Conclusion Unit 2 Answers Section 26 UNIT 3 THE CLUSTER APPROACH 28 Section 3.0: Introduction Unit 3 Overview 28 Radio Announcement 28 Welcome 28 What to Expect Section 3.1: Global and Country-Level Clusters The Cluster Approach 29 Global Clusters 30 Country-Level Cluster Core Functions 30 Cluster Activation 31 Cluster Deactivation 32 Core Commitments 32 Costs and Benefits of Cluster Coordination Section 3.2: Cluster Structure and Management Cluster Lead Agencies 34 Shared Leadership 34 Cluster Management 34 SAGs and TWiGs 35 Sub-Clusters 35 Inter-Cluster Coordination Section 3.3: Roles and Lead Agencies for the 11 Clusters The Cluster Approach in Action 37 Camp Coordination and Camp Management (CCCM) 37 Emergency Telecommunications 37 Nutrition 37 Early Recovery 37 Food Security 37 Protection 37 Education 37 Health 37 Shelter 38 Logistics 38 Water, Sanitation, and Hygiene (WASH) 38 Cross-Cutting Issues 39 Review 39 Conclusion Unit 3 Answers Section 40 UNIT 4 PLANNING AND FUNDING THE HUMANITARIAN RESPONSE 41 Section 4.0: Introduction Unit 4 Overview 41 Radio Announcement 41 Welcome 41 What to Expect Section 4.1: The Humanitarian Programme Cycle Steps of the Humanitarian Programme Cycle (HPC) 43 Preparedness 43 Need Assessment and Analysis 43 Strategic Response Planning 43 Resource Mobilization 43 Implementation and Monitoring 43 Operational Review and Evaluation 44 Needs Assessment 44 Multi-Cluster Initial Rapid Assessment (MIRA) iii

4 44 Humanitarian Needs Overview (HNO) 44 Humanitarian Response Plan (HRP) 45 Review Section 4.2: Pooled Funding Mechanisms What Is Pooled Funding? 46 Country-Based Pooled Funds 47 Fund Allocation Strategy Part 1 47 Fund Allocation Strategy Part 2 47 Organizational Capacity Assessment 48 CBPF Additional Resources 48 The Central Emergency Response Fund 48 Rapid Response Funds 48 Underfunded Emergencies 49 CERF Loans 49 The Financial Tracking Service 50 Analytical reports 50 Review Section 5.2: Professional Norms and Standards Professional Norms 58 Origin of the Code of Conduct and Ten Principles of Conduct 58 The Code of Conduct and Ten Principles of Conduct 59 Inter-Agency Standing Committee Resources 59 Professional Standards 60 The Sphere Project 60 Humanitarian Charter 60 Four Protection Principles 60 Core Humanitarian Standard 60 Minimum Standards 60 Accountability 61 Core Humanitarian Standard on Quality and Accountability 61 Review Unit 5 Answers Section 62 Unit 4 Answers Section 51 UNIT 5 INTERNATIONAL LAW AND HUMANITARIAN STANDARDS 52 Section 5.0: Introduction Unit 5 Overview 53 Radio Announcement 53 Welcome 53 What to Expect Section 5.1: International Humanitarian Law and Human Rights Law International Humanitarian Law 53 Origin of IHL 53 The Geneva Conventions 54 Common Article 3 54 Full Text of Common Article 3 54 Additional Agreements on IHL 55 Application of IHL 55 When and How Does IHL Apply? 55 Applying IHL to Non-Conventional Conflicts 55 Human Rights Law 56 International Court of Justice and International Criminal Court 56 More about the ICC 56 National Laws iv

5 Unit 0 Introduction to Building a Better Response WELCOME Welcome to the Building a Better Response e-learning course on the international humanitarian coordination system. This introductory unit will help you to take full advantage of everything this course has to offer. It introduces the scenario that frames the course and outlines the course s goals and structure. Let s get started. SCENARIO First, let s look at the scenario that frames the course. This scenario will be used to allow you to apply what you ve learned in a humanitarian crisis. In this scenario, you have just accepted a position as a program manager for the non-governmental organization Humanitarian Corps Worldwide, or HCW. HCW has been involved in development activities in the country of Olvitana for over a decade. Shortly after you arrive, Olvitana is hit by a major earthquake. The damage from the earthquake overwhelms the government s ability to respond, so HCW joins other humanitarian actors to assist in the response. In the scenario, you have several years of experience working on international development programs, but you have yet to work in a disaster of this scale. You ll have to learn how to do your work in a way that complements the overall response. As you progress through the course, you will meet five experts who are working on the ground in Olvitana. These experts will help you navigate the international humanitarian coordination system. You ll also learn that there are often other factors, such as underlying conflict, that may complicate a humanitarian response. As you progress through this scenario, you ll see how coordination with other humanitarian actors affects your ability to help the people of Olvitana respond to and recover from this devastating event. Through effective coordination, you and your colleagues at HCW will make sure that assistance targets those most in need, and that there is no duplication of services. Effective coordination will also help offer accountability to those affected, and ensure that there is a strategic response to the crisis. GOALS AND STRUCTURE This e-learning course aims to build the knowledge of NGO workers and other humanitarian actors in two areas: 1. the international coordination system that can be put into place to respond to large-scale emergencies-both natural disasters and conflict situations, and 2. the other elements of humanitarian work that form the foundation of humanitarian response. The e-learning course consists of five units. Each unit is divided into two or more sections. You may complete the course at any pace and in any order. Individuals who complete all five units will earn a certificate from the Humanitarian Academy at Harvard University. The units are: Unit 1: Foundations of Humanitarian Action Unit 2: International Humanitarian Coordination System Unit 3: The Cluster Approach Unit 4: Planning and Funding the Humanitarian Response Unit 5: International Law and Humanitarian Standards 1

6 THE COURSE PAGE Next, let s take a moment to review the course navigation and interface. backward by one slide. You can rewind or fast-forward within a slide by clicking and dragging in the seek bar. You can adjust the module s volume by clicking here, then adjusting the slider. At times, you will also see a question mark; click on this for additional information. This is the course page. Here, you can find the description and learning objectives of each unit. In addition to the e-learning units, the course contains a rich library of additional resources. You can access these materials by clicking the Resources link. Along the left side of the window you will see the sidebar with three tabs. The menu tab displays the contents of the section you are currently viewing. You can click a title in the menu tab to jump to that slide. The glossary tab contains a list of key terms you will encounter throughout the course. Click on any term to view its definition. Finally, you can click the Full Text tab to view a transcript of the audio you are hearing. You can take a break at any point. When you return, you can resume where you left off or start over from the beginning of the section. At the end of each section, you will find a slide like this one. You can continue to the next section, jump to a different section of the course, or just close the window and go back to the course page. The course page can also be used to keep track of which sections you have completed. Incomplete sections are indicated with a white check mark in a gray box. Completed sections are indicated with a blue check mark in a white box. You must view the entire contents of a section in order for it to be marked complete. Clicking on the title of any section will take you to a launch page. When you are ready to begin, click Enter. The e-learning will open in a new window. E-LEARNING PLAYER Once launched, you will see playback controls at the bottom of the window. Click this button to pause and resume play. On most slides, you can use these buttons to skip forward or 2

7 BACKGROUND This e-learning course is a product of the Building a Better Response project. This project aims to enhance the capacity of national and international NGO workers and other humanitarian actors to engage with the international humanitarian system in a manner that improves overall coordination and responds to the needs of crisis-affected populations. The project is producing a number of learning tools, including this e-learning course, to increase humanitarian actors knowledge of the international humanitarian coordination system. By doing so, the goal is to help NGOs staff and others working in the humanitarian field to better understand the system, and thus participate more fully. The Building a Better Response project is funded by the US Agency for International Development, Office of US Foreign Disaster Assistance, and is implemented through a consortium of International Medical Corps, Concern Worldwide, and the Harvard Humanitarian Initiative. BEFORE YOU BEGIN The coordination system that this course focuses on is commonly known as the international humanitarian coordination system. Keep in mind that this is just one of many different methods of coordination. Many countries and situations have their own models and methods for coordinating an emergency response. The aim of all coordination systems should be to support the role of national-level actors, including government and civil society, in their response. It is also important to note that many of the mechanisms discussed in this course only apply in nonrefugee situations. If an emergency involves a refugee response, different coordination structures may apply. All humanitarian actors, including NGOs, involved in an emergency response make decisions about the level of engagement they will choose with the existing coordination mechanisms. The information presented here is intended for NGOs and other humanitarian actors to make an informed decision about their strategic engagement with humanitarian coordination systems. CONCLUSION We hope this guide has prepared you to take full advantage of everything the Building a Better Response e-learning course has to offer. 3

8 Unit 1 Foundations of Humanitarian Action Section 1.0: Introduction UNIT 1 OVERVIEW resources are limited. Especially in times like this, coordination must be one of an NGO s priorities in order to have the most efficient and effective response. Alongside their provision of INTRODUCTION Welcome to Unit 1: Foundations of Humanitarian Action. life-saving aid, NGOs have a responsibility to coordinate both The humanitarian field is always evolving. Whether you are to make their own organizations work more effective and to a seasoned humanitarian worker with years of experience or contribute to the effectiveness of the wider response. Are you up to date on the situation here in Olvitana? brand new to the field, your contribution to a response may depend on your knowledge of the current state of humanitarian SITUATION REPORT action and the history of humanitarian response. Humanitarian Humanitarian Corps Worldwide Update: actors on the ground need to make difficult decisions, often It has been 24 hours since a magnitude 7.5 earthquake under time and resource constraints; knowledge of the hit Olvitana principles that are the foundation of humanitarian work can be Informal initial assessments estimate 3 million displaced an invaluable tool in meeting these challenges. This unit offers but this number is expected to rise with more information humanitarian workers a chance to increase their knowledge Olvitana Red Cross and other aid organizations are about these essential concepts. distributing relief supplies RADIO ANNOUNCEMENT WHAT TO EXPECT It has been 24 hours since a magnitude 7.5 earthquake hit Olvitana. The scene here is one of chaos and devastation. Thousands of Olvitani are reported dead and injured, and the government of Olvitana says as many as three million people may be homeless. Experts say those numbers are expected to rise. Access to fresh drinking water is limited and sanitation systems are down across the country. Nearly all communication systems and most major roads are badly damaged. Adding to the chaos are reports that most government services simply aren t functioning. Dozens of relief organizations are arriving with supplies, but the coordination among these groups and the Olvitana government isn t fully established. I will give you an overview of some of the foundations of humanitarian action. You may be familiar with some of this already, but it s the framework for our response and the foundation of your work, so it s worth reviewing. You will also encounter more detail on some of these topics in later units. We will discuss: Actors in Disaster Response The Humanitarian Imperative and Humanitarian Principles Humanitarian Reform WELCOME You must be the new staff member for Humanitarian Corps Worldwide. It s good to meet you. I m Nina, the deputy country director for Humanitarian Corps Worldwide. I ve been coordinating disaster relief for more than 20 years now. I can help get you oriented to the situation here in Olvitana. Let me explain a little about the organizations that are here and how we all work together. It is important you know how to coordinate and not add to the chaos. As you know, time and 4

9 Unit 1 Foundations of Humanitarian Action Section 1: Actors in Disaster Response Rely on its relationship with the NGO community, including the Red Cross/Red Crescent and any existing coordinating bodies. Here in Olvitana, the government, just like its citizens, is affected. Through our early assessments of the situation, we have found that most services and systems are damaged. Part of your job will be to find ways to work with whatever government structures still exist, instead of working around them or ignoring them. Remember, the international community is here to assist and help fill the gaps, not to replace the role of the Olvitana Government. OVERVIEW In a crisis, systems can break down. A huge range of communities and agencies are here to provide assistance. Regardless of an organization s size, experience, or resources, everyone who is here shares the responsibility for cooperating with one another and coordinating relief efforts. Coordination is a good way to maximize the effectiveness and efficiency of the overall relief operation. In the Olvitana response, we have representation from many disaster relief actors. The national government has the primary role in the initiation, organization, coordination, and implementation of humanitarian assistance within its territory. The scale of this disaster exceeds the government s ability to meet all of the needs of the affected population, so other actors have joined to support the response. National Government Agencies Local Relief Structures and Community-Based Organizations Non-Governmental Organizations (NGOs) Red Cross and Red Crescent Movement United Nations (UN) Agencies Military Private Sector Donors WHAT IS THE HCT? The Humanitarian Country Team (HCT) is a strategic and operational decision-making and oversight forum led by the Humanitarian Coordinator. Composition generally includes representatives from the UN, NGOs, and the Red Cross/Red Crescent Movement. The HCT is responsible for agreeing on common strategic issues related to humanitarian action. More information about the HCT will be provided in Unit 2. GOVERNMENT SELF-CHECK In a humanitarian emergency, who has primary responsibility for ensuring that the needs of the affected populations are met? A. The United Nations Office for the Coordination of Humanitarian Affairs (OCHA) B. Non-Governmental Organizations C. The National Government GOVERNMENT Humanitarian emergencies place a tremendous burden on national authorities. They re trying to deal with the emergency AND coordinate all the humanitarian organizations that want LOCAL RELIEF STRUCTURES AND to help. COMMUNITY-BASED ORGANIZATIONS That s one reason some countries have a national disaster It s important to remember that the very first responders management agency to respond to natural disasters. This agency can determine how best to coordinate and distribute are from the local community, and sometimes they ve already help, to monitor all the different organizations, and to make set up relief operations before any organization has even shown up. In most cases, they will also remain after the disaster, when sure they all meet agreed-upon standards. The national government may: Create a national disaster management authority to head coordination Work closely with the Humanitarian Country Team 5

10 most international organizations have left. We should be sure we coordinate with the local groups and communities. They can provide the overall context and be partners in terms of providing assistance and maintaining good communications. Community-based organizations, or CBOs, know the area and can help figure out what s going on and provide guidance on what s needed. CBOS SELF-CHECK What value can CBOs bring to humanitarian response? (Select all that apply.) A. They know the local geography and culture B. They communicate will with the affected community C. They are the first to respond D. They are representative of the affected community NON-GOVERNMENTAL ORGANIZATIONS (NGOS) NGOs, both national and international, play a critical role in disaster response. In any one crisis, there may be hundreds of NGOs providing assistance. It is a diverse community: the scope and scale of each NGO s activities can vary according to their unique mission and the resources they have available. Some are faith based. And some not. Some are well known in the humanitarian community. Others are not. Many provide several kinds of programs, while others specialize in a single area such as mapping, telecommunications, water, or even veterinary services. NGOS SELF-CHECK Which of the following is NOT an NGO? A. Olvitana Islamic Relief B. Olvitana Development Association C. International Water Aid D. City Water Supply Company INTERNATIONAL RED CROSS AND RED CRESCENT MOVEMENT The International Red Cross and Red Crescent Movement consists of three main components: The International Committee of the Red Cross (ICRC) protects the lives and dignity of the victims of armed conflict and other situations of violence. National Red Cross and Red Crescent Societies exist in nearly every country in the world. National Societies support public authorities in their own countries and provide a wide variety of services, ranging from disaster relief and assistance for victims of war to first aid training and restoring family links. National Society volunteers are often the first on the scene when a disaster strikes. The International Federation of Red Cross and Red Crescent Societies (IFRC) is a global humanitarian organization that coordinates and directs international assistance following natural and man-made disasters in non-conflict situations. The IFRC works with National Societies in responding to catastrophes around the world. Its relief operations are combined with development work, including disaster preparedness programs, health and care activities, and the promotion of humanitarian values. RED CROSS AND RED CRESCENT MOVEMENT SELF-CHECK Which part of the Red Cross and Red Crescent Movement exists in-country during and between emergencies and works on humanitarian tasks specific to that country? A. International Committee of the Red Cross B. National Red Cross and Red Crescent Societies C. International Federation of Red Cross and Red Crescent Societies UN AGENCIES There are many UN agencies, but I will tell you about the ones you re likely to come across in a humanitarian operation. These agencies play leadership roles in humanitarian coordination at the global and country level. The Office for the Coordination of Humanitarian Affairs The UN High Commissioner for Refugees The World Food Programme The Food and Agriculture Organization The UN Children s Fund The World Health Organization, The International Organization for Migration, and The UN Development Programme The Office for the Coordination of Humanitarian Affairs (OCHA) is the part of the UN Secretariat responsible for bringing together humanitarian actors to ensure a coherent response to emergencies. OCHA also ensures there is a framework within which each actor can contribute to the overall response effort. OCHA s mission is to: Mobilize and coordinate effective and principled humanitarian action in partnership with national and international actors in order to alleviate human suffering in disasters and emergencies. Advocate the rights of people in need. Promote preparedness and prevention. Facilitate sustainable solutions. OCHA acts as the chief coordinator of relief operations in situations with internally displaced people. In refugee situations, the UN High Commissioner for Refugees, or UNHCR, leads coordination. UNHCR is mandated to lead and coordinate international 6

11 action to protect refugees and seek durable solutions for refugees worldwide. Following disasters, UNHCR coordinates efforts around protection, emergency shelter, and camp coordination and management. If people are moving for migration or economic reasons, the International Organization for Migration (IOM), is the designated lead for camp coordination and camp management. World Food Programme (WFP) has a lot of experience managing the logistics needed to acquire food and distribute it. WFP usually leads the coordination on three aspects of relief operations: food security, logistics, and emergency telecommunications. The UN Food and Agriculture Organization (FAO) works to improve nutrition, increase agricultural productivity, and improve the standard of living in rural populations. In relief efforts, they work with WFP to coordinate issues relating to food security. The UN Children s Fund, UNICEF, focuses specifically on children. They lead the coordination involving nutrition; education; and water, sanitation, and hygiene; and take a leadership role in child protection and on vaccination campaigns for children. The World Health Organization (WHO) is the UN s authority on global health research, norms, standards, and policies. They also provide technical assistance to countries on health matters. In disasters, WHO coordinates health activities. The UN Development Programme (UNDP) is usually the lead UN agency operating in a country when there is no crisis. When a crisis occurs, they work to help the country recover. The International Organization for Migration (IOM) works to help ensure the orderly and humane management of migration, promote international cooperation on migration issues, assist in the search for practical solutions to migration problems, and provide humanitarian assistance to migrants in need, including refugees and internally displaced people. UN AGENCIES SELF-CHECK Match the UN agency to its responsibility. 1. Logistics, telecommunication, food aid, cash transfers 2. Coordination of relief efforts 3. Global health issues 4. Education, nutrition, child protection 5. Issues relating to refugees, protection, emergency shelter, and camp coordination and management 6. Development activities typically operates before and after a crisis occurs A. WFP B. UNDP C. UNHCR D. UNICEF E. OCHA F. WHO MILITARY: NATIONAL AND INTERNATIONAL The military, both national and international, can help with rescue efforts or offer useful equipment such as boats and airplanes that can help distribute aid. Military participation in humanitarian operations can be complicated, especially when there is conflict going on. Help from the national military might be considered welcome, or as hostile interference, by citizens of the country, depending on their own views of the conflict. Same with military from other countries. The Oslo Guidelines were set out in 1994 and re-launched in They state that governments may offer their militaries and civil defense personnel for disaster relief. Use of military resources is a last resort, and if the national government accepts military assistance, their deployment should be time limited and under civilian control. The guidelines also state that when foreign military personnel are deployed for humanitarian response, they should be out of uniform as much as possible and shouldn t carry arms during the relief efforts. It s a good idea for NGO workers to check with their own organizations, because individual groups often have their own advice on how to engage with the military. The Inter-Agency Standing Committee has non-binding guidelines on the Use of Military or Armed Escorts for Humanitarian Convoys, too. MILITARY SELF-CHECK Can foreign military forces bring aid to disaster victims at the invitation of the UN? PRIVATE SECTOR Private companies work with all the agencies here. They sometimes provide the vehicles we drive or the airplanes we fly on. They may loan their employees out to other organizations working in the emergency. Sometimes, they even start up their own relief efforts, especially if they are based in countries that get hit by natural disasters frequently. Generally, in a crisis, it makes sense to use as many local resources as you can. That s why agencies may give out money for food, instead of the food itself. Then people spend that money locally, helping their own community. Every organization has a different relationship with the private sector. PRIVATE SECTOR SELF-CHECK Which of the following can private companies do? A. Provide relief goods B. Provide personnel C. Carry out relief operations D. Provide funds E. All of the above 7

12 DONORS Large international donors are present on the ground in a lot of major emergencies. They might have rapid assessment teams present or have staff available to facilitate grant making. It is important to coordinate with these donors to ensure aid is adequately focused on those most in need. ACCESS TO THE EMERGENCY We are working here with the permission of the government of Olvitana. You are allowed to be here to provide assistance, but it s the responsibility and sovereign duty of the government to coordinate what s going on and to ensure that its citizens are getting the best services possible. They lead the process unless their capacity is such that they ask the international community to take on that role. The government decides who can and can t get into the country. How this works depends on the situation and the agency. UN agencies that aren t already in the country have to wait for a request for assistance from the government. Otherwise, the UN doesn t have the right to provide help. NGOs don t have to be invited to respond, but NGOs that are not already present can be turned away when they try to enter the country, or be blocked by the government from working in a particular area. The Red Cross and Red Crescent Movement operates differently. The ICRC has an institutional mandate to act in international armed conflict. It may offer its services to governments in non-international armed conflicts, without this being considered interference in internal state affairs. National Societies and the IFRC often play more of a role in natural disaster response and may already be in the country. Through their networks of volunteers and staff, they can often respond very quickly. ACCESS SELF-CHECK With which of the following would you negotiate to get access to a disaster-affected population? A. Your own government B. Humanitarian Coordinator C. United Nations D. National government E. Donor agency ACTION STUDY Which of the following could NOT be an actor in disaster response? A. Disaster-affected communities B. Community-based organizations C. The government of the affected country D. Private sector organizations E. Non-governmental organizations F. International Committee of the Red Cross G. The United Nations H. All of the above could be actors in a disaster response 8

13 Unit 1 Foundations of Humanitarian Action Section 2: The Humanitarian Imperative and Humanitarian Principles HUMANITARIAN IMPERATIVE AND HUMANITARIAN PRINCIPLES HUMANITARIAN IMPERATIVE SELF-CHECK Of these items, which qualify as following the humanitarian imperative, and which do not? A. Surveying the local population to find out who is most in need B. Handing aid over to a local leader to distribute as they see fit C. Targeting aid to the most malnourished children first D. Asking your donor where they would like to see aid E. Working with the local political party to create a beneficiary list because they have good access to the community F. Negotiating with whomever it takes to get access to affected populations HUMANITARIAN IMPERATIVE AND HUMANITARIAN PRINCIPLES As I mentioned, there are many humanitarian actors and they are all different. A humanitarian emergency is too much for any one entity to handle on its own, so coordination is essential. I will get into the formal coordination mechanisms shortly, but the humanitarian imperative and humanitarian principles that underpin our work are a shared foundation for coordination. Humanitarian actors share a common goal: to provide life-saving assistance and protection to populations in need. Over time, the international humanitarian system has developed principles that guide the activities of these response HUMANITARIAN PRINCIPLES organizations and individuals. This starts with the humanitarian The humanitarian principles are humanity, neutrality, imperative. impartiality, and independence. Do you understand what I mean when I talk about the Let s review each one. humanitarian imperative? HUMANITY THE HUMANITARIAN IMPERATIVE The notion of humanity means that when we seek to assist, we treat individuals as human beings with dignity who should be respected. If someone s life is threatened, your job and the job of your organization are to find ways to ensure that lifesaving assistance and protection are provided as immediately as possible. The concept of the humanitarian imperative means that action should be taken to prevent or alleviate human suffering arising out of disaster or conflict, and that nothing should override this principle. If people here are going to trust you, if you want to be able to get where you need to go and do what you need to do, everyone has to believe that you re here for purely humanitarian reasons. That you only want to help the people affected by the disaster. This means that you should be thinking about how other people perceive you. So you have to think about what you say and do and how you dress and act. NEUTRALITY The principle of neutrality dictates that humanitarian actors must NOT take sides in hostilities or engage in controversies of a political, racial, religious, or ideological nature. 9

14 IMPARTIALITY Humanitarian aid must be delivered impartially, regardless of, for example, gender, race, or ethnicity. People should get assistance on the basis of need, and need alone. INDEPENDENCE Humanitarian actors must remain independent. They can never act as instruments of foreign policy. As an organization and as individuals, we need to act independently regardless of who is supporting us financially. We cannot be swayed by political, economic, military, or any other influences when we are working to provide assistance. HUMANITARIAN PRINCIPLES SELF-CHECK Match each humanitarian principle to the correct definition. 1. Dictates that humanitarian actors must NOT take sides in hostilities or engage in controversies of a political, racial, religious, or ideological nature. 2. Humanitarian aid must be delivered regardless of, for example, gender, race, or ethnicity. People should get assistance on the basis of need, and need alone. 3. When humanitarian actors seek to assist, they must treat individuals as human beings with dignity that should be respected. If someone s life is threatened, the job of humanitarian actors is to find ways to ensure that life-saving assistance and protection are provided as immediately as possible. 4. Humanitarian actors can never act as instruments of foreign policy, regardless of who is supporting them financially. They cannot be swayed by political, economic, military, or any other influences when working to provide assistance. A. Humanity B. Impartiality C. Independence D. Neutrality QUICK CHECK So, aren t impartiality, neutrality, and independence basically the same? FROM PRINCIPLE TO PRACTICE These humanitarian principles have practical operational relevance. They distinguish humanitarian action from the activities and objectives of other actors. This is important in gaining access to affected populations and in ensuring the safety of humanitarian personnel and the populations we are working to help. ACTION STUDY 1 What if the government of Olvitana offers you money to open a field hospital in an area dominated by the ruling government s political party, but your needs assessment shows that the area of greatest need is the adjacent district? Do you accept the funds? ACTION STUDY 2 You arrive at a small village devastated by the earthquake. You are the first international agency to get there, but there are already a number of local organizations and national organizations present and starting to organize relief. These include the local farmers association, the local branch of the ruling political party, the police, a community development group, and both the local church and mosque. Which of these groups would you NOT feel comfortable taking on as a potential local partner? (Select all that apply.) A. The local farmers association B. The local branch of the ruling party C. The police D. A community development group E. The local church F. The local mosque THE PRINCIPLES OF PARTNERSHIP Just as the humanitarian principles guide how we work as individuals and organizations, the Principles of Partnership address how the various organizations here collaborate to make sure we re all as efficient, effective, and accountable as possible. The Global Humanitarian Platform adopted the Principles of Partnership in 2007 to promote and enhance the role of partnership in humanitarian response. The Global Humanitarian Platform was a group of humanitarian actors, including the UN, NGOs, and the Red Cross/Red Crescent Movement, that came together to explore ways of enhancing the effectiveness of humanitarian response. There are five Principles of Partnership: equality, transparency, resultsoriented approach, responsibility, and complementarity. EQUALITY Equality requires mutual respect between members of the partnership irrespective of size and power. The participants must respect each other s mandates, obligations, and independence and recognize each other s constraints and commitments. Mutual respect must not preclude organizations from engaging in constructive dissent. TRANSPARENCY Transparency is achieved through dialogue (on equal footing), with an emphasis on early consultations and early sharing of information. Communications and transparency about what you are doing, including financial transparency, increase the level of trust among organizations. 10

15 RESULTS-ORIENTED APPROACH Effective humanitarian action must be reality-based and action-oriented. This requires result-oriented coordination based on effective capabilities and concrete operational capacities. RESPONSIBILITY Humanitarian organizations have an ethical obligation to each other to accomplish their tasks responsibly, with integrity, and in a relevant and appropriate way. They must make sure they commit to activities only when they have the means, competencies, skills, and capacity to deliver on their commitments. Decisive and robust prevention of abuses committed by humanitarians must also be a constant effort. COMPLEMENTARITY The diversity of the humanitarian community is an asset if we build on our comparative advantages and complement each other s contributions. Local capacity is one of the main assets to expand and on which to build. Whenever possible, humanitarian organizations should strive to make it an integral part of an emergency response. Any language and cultural barriers, if they exist, must be overcome. PRINCIPLES OF PARTNERSHIP SELF-CHECK 1 According to the Principles of Partnership, partnership requires (Select all that apply): A. Contracts B. Transparency C. Responsibility D. Equality PRINCIPLES OF PARTNERSHIP SELF-CHECK 2 Match each statement with the Principle of Partnership it represents. 1. Mutual respect, regardless of size and power. 2. Humanitarian action must be action-based and realistic. 3. Share information early and openly with partners. 4. Organizations have different strengths, so when different organizations work together, it makes the overall response stronger in more areas. 5. Only commit to activities you have the capacity to perform completely and appropriately. FROM PRINCIPLE TO PRACTICE Just like the humanitarian principles we discussed earlier, the Principles of Partnership are directly relevant in the field. These principles provide a framework for all international humanitarian actors to improve engagement with each other, as well as national actors and local civil society. ACTION STUDY 3 Here is part of a memorandum of understanding (MoU) between your NGO, Humanitarian Corps Worldwide (HCW), and a local partner organization, Olvitana Relief (OR), with whom you are going to work on a water and sanitation program. Match individual sentences to the Principle of Partnership the sentence is referring to. 1. HCW and OR undertake to share with each other all reports on their respective work and reports of meetings they have had with local officials. 2. Our work is focused on installing 100 latrines over the next three weeks to serve 4,000 people. 3. If either party finds they do not have the skills or resources to move forward on this project, they will immediately inform the other party and discuss ways of resolving the problem. 4. HCW enters into a partnership of mutual respect with OR to implement a water and sanitation program. 5. HCW will supply the tools and materials, and OR will negotiate local access and supply the local workers. A. Equality B. Results-Oriented Approach C. Transparency D. Responsibility E. Complementarity A. Results-oriented approach B. Responsibility C. Complementarity D. Transparency E. Equality 11

16 Unit 1 Foundations of Humanitarian Action Section 3: Humanitarian Reform Establishes Consolidated Appeals Process (CAP) to coordinate funding appeals Establishes Central Emergency Revolving Fund (CERF), a pooled donor fund of initially US$50 million Creates Inter-Agency Standing Committee, a central coordination platform for humanitarian UN organizations, NGOs, and the Red Cross and Red Crescent Movement. HUMANITARIAN REFORM The humanitarian field is evolving in an effort to improve how effectively and efficiently we can provide assistance to populations affected by humanitarian crisis. TIMELINE: HUMANITARIAN REFORM BEFORE 2005 Take a moment to explore the history of humanitarian reform before Red flags indicate a disaster or emergency. Blue flags indicate what measures were taken in response to these events : Genocide and civil wars in Rwanda and the Great Lakes region raise questions about willingness to act and reveal weaknesses in the management of relief operations : Several large-scale emergencies, including the 1997 Biafra crisis, earthquake in Peru, cyclone in East Pakistan, and 1997: Reviews recommend that the UN retain a standthe Indo-Pakistani war, highlight the need for coordination of alone, non-operational humanitarian coordination office. This humanitarian efforts. leads to the creation of OCHA : UN member states create the position of Disaster : Large-scale, highly visible crises, such as the Relief Coordinator and establish the Disaster Relief OrganiDarfur crisis and Indian Ocean tsunami, uncover further zation. This organization had a strong mandate to mobilize, limitations in the humanitarian response system. direct, and coordinate UN humanitarian assistance and to coordinate UN assistance with the activities of non-un actors : ERC initiates a new Humanitarian Reform in an : The Gulf War and refugee crisis highlight the attempt to strengthen coordination, financing, leadership, need for a more empowered humanitarian coordination entity, and partnership (added later) to provide more accountable, coordination with the military, and coordinated assistance for effective, and predictable humanitarian response. internally displaced people. FOUR PILLARS OF HUMANITARIAN REFORM 1991 And the Humanitarian Reform launched in 2005 identified four pillars. Take a moment to explore these. 1991: UN General Assembly adopts Resolution 46/182. This resolution establishes several important entities that remain cornerstones of humanitarian coordination. COORDINATION Transforms the position of Disaster Relief Coordinator The 2005 reform established the cluster approach, which into Emergency Relief Coordinator (ERC), who would is the main way humanitarian actors coordinate. Clusters are be responsible for coordinating and facilitating the humanitarian assistance of the UN system and serve groups of humanitarian organizations (UN and non-un) as a central focal point with governments and nongovernmental organizations 12

17 working in the main sectors of humanitarian action, e.g., shelter and health, who coordinate in order to avoid gaps and duplication in assistance to affected communities. They are created: when clear humanitarian needs exist within a sector when there are numerous actors within sectors when national authorities need coordination support Clusters provide a clear point of contact and are accountable for adequate and appropriate humanitarian response. Clusters promote partnerships between international humanitarian actors, national and local authorities, and civil society. LEADERSHIP If international humanitarian assistance is required, the Emergency Relief Coordinator may appoint a Humanitarian Coordinator (HC) to lead and coordinate the efforts of humanitarian organizations (both UN and non-un). The 2005 reforms aimed to strengthen the role and capacity of these Humanitarian Coordinators. HUMANITARIAN FINANCING The 2005 reforms strengthened the pooled funding mechanisms. The goal of this reform was to improve the predictability, flexibility, and timeliness of funding for humanitarian operations. PARTNERSHIP Partnership was added in UN, governments, NGOs, the Red Cross/Red Crescent, and local groups all need to work together and behave according to the Principles of Partnership. HUMANITARIAN REFORM SELF-CHECK Which of the following statements is FALSE? A. Clusters are groups of people who represent their different humanitarian organizations. B. Local government appoints the Humanitarian Coordinator. C. The finance pillar of Humanitarian Reform aims to improve the predictability, flexibility, and timeliness of funding. PILLARS OF REFORM SELF-CHECK You arrive at a big coordination meeting for the Olvitana earthquake crisis and overhear lots of conversations in the room. Match the statements below to which Humanitarian Reform pillar you think they are referring to. 1. I m going to get an application in tomorrow to the Country-Based Pooled Fund. 2. Great, can we work out a common work plan and sign an MOU to get the work started? 3. The Humanitarian Coordinator has many years of experience coordinating humanitarian response and is perfect for the job. 4. We are doing water programs, who should we be talking to? A. Leadership B. Coordination C. Partnership D. Humanitarian Financing 13 TRANSFORMATIVE AGENDA The actions launched under Humanitarian Reform in 2005 are still evolving and being improved. The late 2000s witnessed many humanitarian emergencies, including the Haiti earthquake and Pakistan floods in The response to these disasters exposed a number of weaknesses and inefficiencies with international humanitarian coordination and response. In response to these events, the Inter-Agency Standing Committee (IASC) created the Transformative Agenda: a set of recommendations to ensure that these shortcomings are addressed and to improve humanitarian response and accountability to affected people. The Transformative Agenda focuses on three key areas: better leadership, improved accountability to all stakeholders, and improved coordination. It also describes how the IASC will respond together to major emergencies that require a systemwide response. These are called Level 3 emergencies. In order to build the capacity of the prime actors supporting national response efforts, the Senior Transformative Agenda Implementation Team (STAIT) was created by the IASC s Emergency Directors Group in The STAIT provided

18 peer support to Humanitarian Coordinators (HCs) and Humanitarian Country Teams (HCTs) by sharing learnings and good practices, informing policy processes, and providing mission support. This was renamed Peer to Peer Support in 2017 and will continue to focus on supporting humanitarian leaders in the field in addition to strengthening implementation of the three pillars of the Transformative Agenda. To read more about the work this team is undertaking to support senior leadership in field operations, visit www. deliveraidbetter.org. TRANSFORMATIVE AGENDA SELF-CHECK Which of the following principles are central to the Transformative Agenda? Select all that apply. A. Leadership B. Accountability C. Coordination WORLD HUMANITARIAN SUMMIT While Humanitarian Reform and the Transformative Agenda represent two important steps for the humanitarian community, a subsequent event, the World Humanitarian Summit, has provided some reforms in notable areas. In 2016, the first-ever World Humanitarian Summit (WHS) was convened by the UN Secretary-General to bring stakeholders involved in humanitarian action together to commit to concrete actions aimed at enabling communities to better prepare for and respond to crises. The summit represented an opportunity for a variety of actors to discuss pressing challenges, share best practices, and brainstorm creative solutions. While many recommendations did not represent new ideas, the significance of the summit was that these issues were openly addressed and debated by humanitarians from around the world. Some priority trends that emerged from the WHS are: Protecting civilians and minimizing human suffering Including an affirmation that International Humanitarian Law (IHL) must be promoted and respected Leaving no one behind Confirmed support for the 2030 Agenda for Sustainable Development and a pledge to address specific issues such as forced displacement Finding a New Way of Working This includes finding ways to better connect humanitarian and development efforts to achieve collective outcomes Addressing disasters caused by natural hazards and climate change A new Global Partnership for Preparedness (GPP) was launched with the aim of improving readiness to future shocks Strengthening the resource base and increasing efficiency The Grand Bargain was introduced, a series of commitments made by donors and aid providers to harmonize reporting requirements, increase direct funding to local responders, and increase cash programming. CONCLUSION OK, let s review. We ve discussed: Actors in Disaster Response The Humanitarian Imperative and Humanitarian Principles Humanitarian Reform It s important for NGO workers to know the actors and humanitarian principles in any response in order to ensure that your own NGO is acting in a principled way, and to hold others accountable for their actions in humanitarian response. 14

19 Unit 1 Foundations of Humanitarian Action Unit 1 Answers Section SECTION 1 ACTORS IN DISASTER RESPONSE ANSWER: E. Private companies can assume many different roles in humanitarian response. GOVERNMENT SELF-CHECK ACCESS SELF-CHECK PRIVATE SECTOR SELF-CHECK ANSWER: C. Each state has the responsibility first and ANSWER: D. Organizations cannot enter a country foremost to take care of the victims of natural disasters and without official permission from the government. other emergencies occurring on its territory. Hence, the affected state has the primary role in the initiation, organization, coordination, and implementation of humanitarian assistance within its territory. OCHA may take the lead with the government s support if the government is not able to. SECTION 2 THE HUMANITARIAN IMPERATIVE AND HUMANITARIAN PRINCIPLES CBOS SELF-CHECK ANSWER: A, C, and D. CBOs are already on the ground, HUMANITARIAN IMPERATIVE SELF-CHECK so they are often the first to respond and familiar with the area. ANSWER: A, C, and F. These examples demonstrate the They can assist with needs assessment and communication, but humanitarian imperative s focus of ensuring aid goes to those it can t be assumed that they are representative of the affected who have the greatest need. community. HUMANITARIAN PRINCIPLES SELF-CHECK NGOS SELF-CHECK ANSWER: D. The NGO community is rich and diverse: An NGO could be faith based, have a very broad mandate, or focus on a specific area. A company cannot be an NGO. ANSWER: 1. D, 2. B, 3. A, 4. C QUICK CHECK No. Impartiality means relief must be guided solely on the basis of need, independence means humanitarian action RED CROSS AND RED CRESCENT MOVEMENT must be autonomous from influences of outside actors, and SELF-CHECK neutrality means humanitarian assistance must be provided ANSWER: B. The International Committee of the Red without taking sides in controversies. Cross is active primarily in situations of armed conflict; the International Federation of Red Cross and Red Crescent ACTION STUDY 1 Societies organizes relief assistance responding to large-scale ANSWER: No. Aid should be based on greatest need. emergencies. ACTION STUDY 2 UN AGENCIES SELF-CHECK ANSWER: B and C. By definition, the ruling party will be seen as partisan and may jeopardize your neutrality. Likewise, in many places the police are seen as partisan and it would be MILITARY SELF-CHECK best not to partner with them even though you might look to ANSWER: No. It is the national government that must them for protection. accept the assistance of a foreign military. ANSWER: 1. A, 2. E, 3. F, 4. D, 5. C, 6. B 15

20 PRINCIPLES OF PARTNERSHIP SELF-CHECK 1 ANSWER: B, C, and D. Transparency, responsibility, and equality are required to have successful partnership. PRINCIPLES OF PARTNERSHIP SELF-CHECK 2 ANSWER: 1. E, 2. A, 3. D, 4. C, 5. B ACTION STUDY 3 ANSWER: 1. C, 2. B, 3. D, 4. A, 5. E SECTION 3 HUMANITARIAN REFORM HUMANITARIAN REFORM SELF-CHECK ANSWER: B. The Emergency Relief Coordinator appoints the Humanitarian Coordinator. PILLARS OF REFORM SELF-CHECK ANSWER: 1. D, 2. C, 3. A, 4. B TRANSFORMATIVE AGENDA SELF-CHECK ANSWER: A, B, and C. Leadership, accountability, and coordination are all central to the Transformative Agenda. 16

21 Unit 2 The International Humanitarian Coordination System Section 0: Introduction UNIT 2 OVERVIEW Informal initial assessments estimate 3 million displaced but this number is expected to rise with more information NGOs that were active before the earthquake have started assessments, and additional organizations are arriving Olvitana Red Cross and other aid organizations are distributing relief supplies There is a Humanitarian Coordinator and Humanitarian Country Team in place INTRODUCTION Each emergency response is unique, but when the scale of a disaster exceeds a government s capacity to respond, humanitarian organizations exist to assist in the relief effort. Due to the wide variety of humanitarian organizations, expertise, and relationships involved in any large emergency response, confusion and duplication of efforts cause real problems, and weaken response efforts. This unit is designed to address these challenges by equipping humanitarian workers with a common WHAT TO EXPECT understanding of the international humanitarian coordination Now that you re up to date on the situation, I want to talk system that exists to make humanitarian response more a little about our role in it. NGOs are here to serve the disasterefficient, predictable, and accountable. affected population and to meet the needs that the government might not be able to meet due to the stresses of the disaster. NGOs like ours are on the ground, in the midst of the crisis, RADIO ANNOUNCEMENT working side by side with the affected people to provide lifeit has been 48 hours since Olvitana was struck by magnitude saving aid. 7.5 earthquake. The earthquake has caused extensive damage There are many different kinds of organizations, including and displacement. The Olvitani Government has accepted national and international NGOs, that are here to provide offers of assistance from other governments, the United aid to those affected by this disaster. Other key actors in Nations, and other aid organizations, since the majority of humanitarian emergencies include the national government government services remain inoperable. Relief efforts and early and local authorities, the United Nations (UN), the Red Cross/ assessments are underway and more organizations, personnel, Red Crescent, local or other military forces, and the disasterand supplies arrive by the hour. However, access to the most affected community itself. affected population has been challenged by damaged roads and The international humanitarian coordination system is one infrastructure. way these many actors coordinate their activities in a disaster response. I ll describe some of the main components of the coordination system, including: WELCOME Office for the Coordination of Humanitarian Affairs I m Ziad, Emergency Response Director for Humanitarian Under-Secretary-General/Emergency Relief Coordinator Corps Worldwide. Are you up to date on the situation here in Inter-Agency Standing Committee Olvitana? Humanitarian Coordinator Humanitarian Country Team Clusters SITUATION REPORT NGO consortia HUMANITARIAN CORPS WORLDWIDE: It has been 48 hours since a magnitude 7.5 earthquake hit Olvitana 17

22 Unit 2 The International Humanitarian Coordination System Section 1: International Humanitarian Coordination System at the Global and Country Levels COORDINATION OF AID PROVISION Here is a map of Olvitana. As you can see, there are many NGOs providing aid in this country, in collaboration with national government agencies, community-based organizations, and the UN. All of these different organizations and agencies are providing aid to the regions of Olvitana that were affected by the earthquake, and are responding to the various needs of the affected population. Given the multitude of needs and organizations involved in this response, we need to coordinate. If we don t coordinate, we might all be over here serving this population, while not adequately meeting the needs of this group over here. This not only wastes resources by duplicating efforts, it can lead to serious problems, even deaths of people affected by disaster in these regions not being served. Coordination allows us to avoid these problems. If we coordinate well, NGOs and others providing assistance can share information about where they are working, what services they are providing, and what needs are in their areas of coverage. This allows us to provide aid where it is needed, to whom it is needed, in a timely fashion using our resources as efficiently and effectively as we can. Coordination involves everyone on the ground providing aid. Everyone from the affected country s national government to the UN, NGO aid workers like us, the Red Cross/Red Crescent, to community-based organizations; in order for coordination to work well, everyone has to participate. Coordinating with other humanitarian actors can seem challenging and timeconsuming at times; however, it helps increase our overall response capacity, and most importantly, it helps us to better respond to the needs of the people affected by the disaster. Coordination is most effective when national NGOs and other local response organizations are participating. Thus, efforts must be taken to ensure that coordination is inclusive of all humanitarian actors. COORDINATION SELF-CHECK Why is coordination important in a humanitarian crisis? A. Coordination allows those providing aid to people affected by disaster to share information B. Coordination helps ensure that all persons in need receive aid C. Coordination allows us to use our resources as efficiently and effectively as we can D. All of the above INTRODUCTION TO THE INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM It is important to remember we are here only with the permission of the national government. In addition to local communities and local authorities, the national government was among the first to respond to this disaster. In situations like this, or if the scale of the disaster simply exceeds the ability of local and national authorities to manage on their own, the international humanitarian coordination system provides a framework to coordinate the various humanitarian actors who can support and supplement the existing national capacity. While other coordination systems do exist, the international humanitarian coordination system being described here involves humanitarian actors coordinated under the InterAgency Standing Committee. Are you familiar with the international humanitarian coordination system? It operates at a global and country level, both during and between disasters. It helps us better meet needs of populations affected by humanitarian crises. This coordination system is designed to make sure we are as effective as possible. Thus, it is very important to understand it well. 18

23 Global Level IASC (Inter-Agency Standing Committee) Global Clusters National Level Humanitarian Country Team In-Country Clusters THE INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM Here is a chart that shows the main components of the humanitarian coordination system. Take some time to learn about each component and its role. The main components are: Office for the Coordination of Humanitarian Affairs Under-Secretary-General/Emergency Relief Coordinator Inter-Agency Standing Committee Humanitarian Coordinator Humanitarian Country Team Clusters NGO consortia OFFICE FOR THE COORDINATION OF HUMANITARIAN AFFAIRS (OCHA) The Office for the Coordination of Humanitarian Affairs, or OCHA, is part of the United Nations (UN) Secretariat. It is responsible for bringing together humanitarian actors to ensure a coherent response to emergencies. OCHA also ensures there is a framework within which each actor can contribute to the overall response effort. OCHA s mission is to: Mobilize and coordinate effective and principled humanitarian action to alleviate human suffering in disasters and emergencies. This is done in partnership with national and international actors. Advocate the rights of people in need. Promote preparedness and prevention. Facilitate sustainable solutions. During an emergency response, OCHA plays a key role in coordination and information management. NGOs should ensure that they are accessing the up-to-date information, such as situation reports, maps, etc., that OCHA is providing. 19

24 OCHA SELF-CHECK Match each humanitarian response activity in Olvitana to the part of OCHA s mandate it corresponds with: 1. Mobilize humanitarian action in partnership with national & international actors 2. Promote preparedness and prevention 3. Advocate the rights of people in need 4. Facilitate sustainable solutions A. Communicates with press and media in order to speak out on behalf of the affected population B. Works with NGOs and the government of Olvitana to develop contingency planning C. Works to transition recovery efforts from international organizations to local entities D. Organizes a forum that includes all humanitarian actors working in Olvitana EMERGENCY RELIEF COORDINATOR (ERC) The head of OCHA is the Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator (ERC). The ERC is responsible for the oversight of all emergencies requiring UN humanitarian assistance. He or she also acts as the focal point for governmental, intergovernmental, and non-governmental relief activities. The ERC also plays a critical advocacy role in specific crises and in the promotion of humanitarian action. The ERC also leads the Inter-Agency Standing Committee (IASC). In a country affected by a disaster or conflict, the ERC, in consultation with the IASC, may appoint a Humanitarian Coordinator (HC) to ensure response efforts are well organized. The ERC, in consultation with the IASC Principals determines when a humanitarian crisis requires a systemwide response. This decision is based on the criteria of scale, complexity, urgency, capacity, and reputational risk. When the ERC determines these criteria have been met, he or she declares a Level 3, or L3, emergency. This commits IASC organizations to mobilizing the resources and establishing the systems necessary to contribute to the response in a way that complements each agency s capacity and supports inter-agency coordination. IASC PRINCIPALS IASC Principals are the heads of all IASC member agencies or their representatives. Their responsibilities include: Making strategic and policy decisions that have systemwide implications Advocating common humanitarian principles, collectively or individually, on behalf of the IASC Bringing issues to the attention of the Secretary-General and the Security Council through the Emergency Relief Coordinator ERC SELF-CHECK 1 Which of the following are true of the ERC? (Select all that apply) A. Is responsible for selection of Humanitarian Coordinators B. Is based in-country to oversee humanitarian operations C. Plays a critical advocacy role in a disaster D. Leads the IASC ERC SELF-CHECK 2 Match each activity to the part of the ERC s role it corresponds with: 1. Responsible for oversight 2. Serves as focal point 3. Plays critical advocacy role A. Works to connect the activities of intergovernmental, governmental, and non-governmental organizations B. Oversees the work of the Humanitarian Coordinator C. Advocates for better access to affected areas & works to improve the security situation INTER-AGENCY STANDING COMMITTEE (IASC) The Inter-Agency Standing Committee (IASC) is a unique inter-agency forum for coordination, policy development, and decision-making involving the key UN and non-un humanitarian partners. It was established in June 1992 in response to General Assembly Resolution 46/182. UN agencies are permanent members and others have standing invitations to participate. The IASC is the only decision-making group related to humanitarian response that includes UN agencies, the World Bank, the International Committee of the Red Cross (ICRC), the International Federation of the Red Cross and Red Crescent Societies (IFRC), and NGOs. NGOs have access to this high-level decision-making body through their representation by the NGO consortia. IASC SELF-CHECK 1 True or False? The IASC is a group of UN agencies. IASC SELF-CHECK 2 True or False? The IASC creates guidelines and policies to guide the work of humanitarian actors. IASC SELF-CHECK 3 True or False? The IASC is active exclusively during emergencies. 20

25 NGO CONSORTIA NGO membership organizations, known as NGO consortia, are a vital part of the international humanitarian coordination system. These organizations represent many different NGOs and are very active in the international humanitarian coordination system. There are many NGO consortia actively participating in humanitarian response at the global and national levels. Three of these consortia are part of the Inter-Agency Standing Committee. They are: The International Council of Voluntary Agencies, or ICVA InterAction, and The Steering Committee for Humanitarian Response, or SCHR. InterAction is a consortium of American NGOs. ICVA is a global network of NGOs. SCHR includes a small group of NGOs, IFRC, and ICRC. These consortia represent the interests of their members, both humanitarian and development NGOs, at the IASC and other forums. These consortia often help coordinate their members advocacy and policy work but are not typically involved directly in field operations or coordination. In addition to the three NGO consortia participating in the IASC, there are a wide variety of other global and regional NGO consortia. These groups provide for their members a platform for coordination in areas such as policy, advocacy, capacity strengthening, and technical expertise. Often there are nationally based consortia of NGOs working in a country year-round many times undertaking crucial advocacy or policy work. Because they re based in the country, they may know a lot more than international organizations about the local area and context. This information can be useful to humanitarian actors, and can help to involve the community in assessments and programming. NGO CONSORTIA SELF-CHECK True or False? The Steering Committee for Humanitarian Response, InterAction, and the International Council for Voluntary Agencies represent NGOs at the Inter-Agency Standing Committee. HUMANITARIAN COORDINATOR (HC) When a country is affected by a major disaster or conflict, one of the earliest steps in the international humanitarian response is the appointment of a Humanitarian Coordinator, or HC. The Emergency Relief Coordinator (ERC) selects the HC from a small pool of qualified professionals, and his or her appointment is approved by the Inter-Agency Standing Committee, or IASC. Staff from NGOs may apply to be part of the HC pool. In many countries, the person best suited for the role of HC is the current UN Resident Coordinator, who coordinates development operations for all UN agencies in a given country. This is because a Resident Coordinator, or RC, is accredited by the government and has built relations with it that are deemed to be conducive to negotiate internal humanitarian action. Once appointed, the HC is responsible for leading and coordinating the efforts of all UN and non-un humanitarian organizations. He or she is charged with leading this effort while ensuring that the entire response is principled, timely, effective, efficient, and contributing to longer-term recovery efforts. The HC has a long list of specific duties and responsibilities. What follows is a brief overview of these functions. For detailed information on the HC s roles and responsibilities, see the IASC s Terms of Reference for the Humanitarian Coordinator. The HC reports directly to the ERC and serves as the ERC s representative in the country or region concerned. The HC establishes and leads the Humanitarian Country Team, or HCT, which is the response effort s primary strategic and operational decision-making and oversight forum in-country. The HC is supported by the UN Office for the Coordination of Humanitarian Affairs and the HCT. The HC, as the leader of the HCT, is responsible for the following: Assessing the situation, identifying the priority needs, and analyzing the capacity of national authorities and civil society to respond Ensuring as a priority that lives are saved and life-saving assistance and protection are provided Forming a recommendation of which clusters should be activated and which organizations should lead them and sharing this recommendation with the ERC and IASC for approval Mobilizing the humanitarian community to deliver an effective response to identified priority needs Agreeing on the regularity and content of initial information updates Determining common advocacy messages for national authorities, donors, and media Knowing the responsibilities of the HC is useful in order to hold HCs accountable for performing their duties in emergency response. 21

26 HC SELF-CHECK 1 True or false? The Humanitarian Coordinator is appointed by the Emergency Relief Coordinator. HC SELF-CHECK 2 True or False? The Humanitarian Coordinator leads the Humanitarian Country Team. HC SELF-CHECK 3 Which of the following parts of this scenario does NOT describe the role of the Humanitarian Coordinator and Humanitarian Country Team? A. Immediately after the earthquake, the Humanitarian Coordinator and Humanitarian Country Team coordinate assessments throughout the affected region to assess the situation, determine needs, and identify existing capacities for the humanitarian response. B. They identify health, water and sanitation, and nutrition as immediate needs, and suggest that the relevant clusters be immediately activated. C. They disburse funds to relevant NGOs active in each of the clusters. D. In collaboration with these clusters, they develop a plan for provision of services to the affected population. HUMANITARIAN COUNTRY TEAM (HCT) Shortly after his or her appointment, the Humanitarian Coordinator establishes the Humanitarian Country Team, or HCT, if one is not in place. The HCT is the response effort s primary strategic and operational decision-making and oversight forum in-country. HCTs are composed of a wide variety of organizations, though the number of organizations involved and which ones are represented varies greatly from country to country. The primary criterion that should be met for an organization to join the HCT is operational relevance. In other words, an organization may join the HCT only if it is significantly involved with the relief effort in-country. An HCT should include UN agencies, OCHA, national and international NGOs, and, subject to their individual mandates, components of the International Red Cross and Red Crescent Movement. While representatives of Member States and regional bodies, including donors, are not members of HCTs, the HC/HCT should ensure regular, consistent engagement with these representatives. Once established, the HCT has several specific responsibilities during a crisis: Members of the HCT work together to develop an overall strategy and specific plans for the relief effort. The HCT works with the HC to form a recommendation on which clusters should be activated, and once approved, establishes those clusters in-country. Members of the HCT work to mobilize resources and advise the HC on allocation of resources from in-country humanitarian pooled funds, where they exist. The HCT is responsible for agreeing on policies and standards that all team members should strive to adhere to. The HCT is also charged with promoting adherence to international standards and guidelines, such as the humanitarian principles, Principles of Partnership, and IASC guidelines. Whenever possible, the HCT should support and work with existing coordination mechanisms, including national NGO consortia and national government disaster management agencies. NGOs play a unique role on the HCT, and so they should always be invited to participate. They provide an operational voice on the HCT and will represent NGOs that are not on the team. For many national NGOs, the HCT provides an entry point to the international humanitarian coordination system, and can form the basis for continuing relationships and longterm improvement in response capacity. HCT SELF-CHECK 1 True or False? The Emergency Relief Coordinator leads the Humanitarian Country Team. HCT SELF-CHECK 2 True or False? The Humanitarian Country Team determines priorities and strategies for humanitarian assistance in a conflict or crisis-affected country. HCT SELF-CHECK 3 Which of the following might be represented on the Humanitarian Country Team? Select all that apply. A. National Government B. The International Organization for Migration C. The United Nations D. National and international NGOs E. The Red Cross/Red Crescent Movement F. Donors HCT SELF-CHECK 4 True or False? The main criterion for participation on the Humanitarian Country Team is level of funding by international donors. THE CLUSTER APPROACH The cluster approach is the primary tool humanitarian actors use to improve coordination. There are global clusters, which are always active, and in-country clusters, which are activated as needed during a crisis. A cluster is a group of humanitarian organizations from the same sector of humanitarian action. A cluster can include any number of UN agencies, NGOs, Red Cross/Red Crescent, and at the national and subnational level relevant government agencies. By working together, these organizations are not only 22

27 able to provide better assistance to affected populations, they are also better equipped to coordinate their work with actors outside of their sector. At the global level, there are 11 clusters total, and each one has a designated global lead agency, or two co-lead agencies. These global leads are responsible to the Emergency Relief Coordinator, or ERC, through their agencies. The global lead agency is usually designated as the in-country lead agency when a country-level cluster is activated, though this will vary depending on the location of the emergency and which organizations are most active in that area. The head of an incountry cluster lead agency is accountable to the Humanitarian Coordinator, or HC. Global clusters work to maintain system-wide preparedness and technical capacity for emergency humanitarian responses. As they are always active, they help to ensure greater predictability and more effective inter-agency responses in their particular sectors. Global cluster lead agencies are responsible for strengthening field response through policy setting, developing standards, establishing best practices, and providing operational support to in-country clusters. In-country clusters are temporary, and are only activated when there is insufficient coordination capacity at the country level in order to avoid gaps and duplication in assistance to affected communities. To determine which clusters should be activated and who should lead them, the HC and the Humanitarian Country Team will look at initial assessments and form a recommendation. This recommendation is sent to the ERC, who submits it to the Inter-Agency Standing Committee and global cluster lead agencies for approval. Once approved, clusters are established so that humanitarian organizations can coordinate resources, prioritize activities, and define their respective roles and responsibilities. NGO participation in clusters at both the global and country levels is crucial. As NGOs can bring the operational perspective in their respective areas of work, participation in policy development at the global level is important to ground the policies in the reality of field-level operations. At the country level, NGOs have a responsibility to participate in clusters to ensure that their programs are not duplicative and to help shape country-level strategy in their sectors. CLUSTER APPROACH SELF-CHECK True or False? When a country-level cluster is activated, the global lead agency is always designated as the in-country lead agency, as well. MORE ON L3 EMERGENCIES An L3 emergency is a major sudden-onset humanitarian crisis triggered by natural disasters or conflict that requires system-wide mobilization. As mentioned earlier, when the ERC declares an L3 emergency, IASC organizations are committed to mobilizing the resources and establishing the systems necessary to respond to the emergency in a way that complements each agency s capacity and supports inter-agency coordination. The designation of an L3 emergency is based on the analysis of five criteria: Scale, which refers to the size of the affected areas, the number of affected or potentially affected people, and the number of countries affected; Urgency, which considers the importance of population displacement, the intensity of armed conflict, and crude mortality rates; Complexity, which examines the multi-layered aspect of the emergency, if multiple countries are affected, the presence of a multitude of actors, lack of humanitarian access, and high security risks to staff, among other things; Capacity, which takes into account low national response capacity, the status of the affected country as weak or fragile, and the fact that needs may outweigh the capacity of existing country and regional offices to respond. Conversely, high country-level or international capacity may offset the other criteria when considering L3 declaration. Reputational risk, which gives consideration to media and public attention and visibility, as well as expectations on the humanitarian system by donors, the public, national stakeholders, and partners. L3 EMERGENCY SELF-CHECK 1 A major earthquake has hit Olvitana. Based on the criteria of scale, urgency, complexity, capacity, and reputational risk, the Emergency Relief Coordinator, in consultation with the IASC, has just declared a Level 3 (L3) emergency and appointed a Humanitarian Coordinator in Olvitana. 1. Size of affected areas, number of affected/potential affected, number of countries affected 2. Importance of population displacement, intensity of armed conflict, crude mortality rates 3. Multi-layered emergency, multiple affected countries, presence of a multitude of actors, lack of humanitarian access, high security risks to staff, etc. 4. Low national response capacity, weak/fragile state, needs outweigh the capacity to respond 5. Media and public attention and visibility; expectations on the humanitarian system by donors, the public, national stakeholders, and partners A. Reputational risk B. Complexity C. Urgency D. Scale E. Capacity 23

28 L3 EMERGENCY SELF-CHECK 2 What is the significance of declaring an L3 emergency? A. L3 designation allows the government to mobilize its military to support search and rescue resources. B. L3 designation is just an official declaration for any emergency. C. L3 designation commits IASC organizations to mobilize resources and triggers a number of measures, including ensuring that a system-wide response is established. This is done in a way that complements each agency s capacity and supports inter-agency coordination. D. All of the above REVIEW OF THE INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM You have just reviewed the main components of the international humanitarian coordination system, including: Office for the Coordination of Humanitarian Affairs Under-Secretary-General/Emergency Relief Coordinator Inter-Agency Standing Committee Humanitarian Coordinator Humanitarian Country Team Clusters NGO consortia INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM SELF-CHECK Match the actors in the international humanitarian coordination system to how their responsibilities would help the response in Olvitana. 1. Developed guidelines on how to address genderbased violence & how to approach human rights issues in natural disasters 2. Supports the Olvitana government and the HC with the coordination of national & international humanitarian actors in the response 3. After assessing the situation in Olvitana, identified priorities for humanitarian response & recommended which clusters should be activated 4. Leads the Olvitana HCT 5. NGOs working in Olvitana are represented by certain NGOs on the HCT, chosen through the local NGO forum 6. Appointed HC of Olvitana A. Emergency Relief Coordinator B. IASC C. Humanitarian Country Team D. OCHA E. Humanitarian Coordinator F. NGO Consortia ACTION STUDY 1 What should be the main concern for the new Humanitarian Coordinator in Olvitana? A. Ensuring that lives are saved and life-saving assistance and protection is provided B. Conducting situation assessments, identifying priorities, and analyzing capacity to respond C. Making recommendations on which clusters to activate D. All of the above 24

29 ACTION STUDY 2 Prior to the earthquake, the government of Olvitana had been working to coordinate a variety of activities to address the development needs in the country. Now, their support is further required to respond to the impact of the recent earthquake. The UN Children s Fund (UNICEF) is supporting the government-led response in coordination with other UN agencies and international and national NGOs. The Olivitana Red Crescent Society (ORCS) is conducting an initial assessment and providing emergency health support. The International Federation of the Red Cross (IFRC), in support of ORCS, is closely monitoring the situation and coordinating with the International Committee of the Red Cross (ICRC) and other NGOs present in the country to ensure resources and support services are available when required. Why is it important for the Government of Olivtana, UNICEF, ORCS, IFRC, and other international and national NGOs to coordinate their assessments and programs? A. Coordination allows all those providing aid to the people affected by the disaster to share information. B. Coordination helps ensure that all persons in need receive aid. C. Coordination allows us to use our resources as efficiently and effectively as we can. D. All of the above ACTION STUDY 3 With the scale of the crisis that the Government of Olvitana has to carefully manage, resources and coordination capacity have been stretched thin. This has led the Government to invite international actors to assist with coordination through the cluster approach. What is the main function of the cluster approach? A. Clusters are the primary tool that humanitarian actors use to improve operational coordination B. Clusters are a funding mechanism for humanitarian response C. Clusters exist to permanently replace government services D. Clusters do all of the above ACTION STUDY 4 Seven clusters are currently involved in the response to the earthquake in Olvitana. How many clusters are there at the global level? A. As many as are needed. B. 11 C. 7 D. None. Clusters only exist at the country level. CONCLUSION I hope this helped you understand what the major parts of the international humanitarian coordination system are, and how they interact with each other. Understanding the international humanitarian coordination system helps us to more effectively engage with the system, as well as hold the system accountable when it is not performing according to these standards. 25

30 Unit 2 The International Humanitarian Coordination System Unit 2 Answers Section SECTION 1 INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM AT THE GLOBAL AND COUNTRY LEVELS COORDINATION SELF-CHECK NGO CONSORTIA SELF-CHECK ANSWER: True. These member organizations (consortia) represent the interests of their members, both humanitarian and development NGOs, at the IASC and other forums. HC SELF-CHECK 1 ANSWER: True. The Humanitarian Coordinator is appointed by the Emergency Relief Coordinator. ANSWER: D. Coordination allows everyone providing HC SELF-CHECK 2 aid to share information, helps ensure that all persons in need ANSWER: True. The Humanitarian Coordinator leads the receive aid, and allows humanitarian actors to use resources Humanitarian Country Team. efficiently and effectively. HC SELF-CHECK 3 OCHA SELF-CHECK ANSWER: C. The Humanitarian Coordinator and Humanitarian Country Team can make recommendations ERC SELF-CHECK 1 about how funds should be dispersed; however, they themselves ANSWER: A, C, and D. The ERC leads the IASC, is do not disperse funds. responsible for selection of the Humanitarian Coordinator, and HCT SELF-CHECK 1 plays a critical advocacy role, but is NOT based in-country. ANSWER: False. The Humanitarian Coordinator leads ERC SELF-CHECK 2 the Humanitarian Country Team, not the Emergency Relief Coordinator. ANSWER: 1. B 2. A 3. C ANSWER: 1. D, 2. C, 3. A, 4. B HCT SELF-CHECK 2 IASC SELF-CHECK 1 ANSWER: True. The Humanitarian Country Team does ANSWER: False. UN agencies are members, but the IASC determine priorities and strategies for humanitarian assistance also includes NGO consortia, IFRC, World Bank, and others as in a conflict or crisis-affected country. The Humanitarian standing invitees. Country Team includes the cluster lead agencies and selected IASC SELF-CHECK 2 operational partners involved in the response, and it is within ANSWER: True. The IASC does create guidelines and the framework of this strategic decision-making forum that the policies to guide the work of humanitarian actors. Examples overall humanitarian response operation is guided and led. include guidelines on how to address gender-based violence, HCT SELF-CHECK 3 and how to approach human rights issues in natural disasters. ANSWER: A, B, C, D, E, and F. All of the listed parties IASC SELF-CHECK 3 might be represented on the Humanitarian Country Team. ANSWER: False. The IASC works on an on-going basis to HCT SELF-CHECK 4 improve coordination and humanitarian action. ANSWER: False. The main criterion for participation on the Humanitarian Country Team is operational relevance. 26

31 CLUSTER APPROACH SELF-CHECK ANSWER: False. The Humanitarian Coordinator selects the cluster lead agencies in consultation with the Humanitarian Country Team based on the agencies coordination and response capacity, as well as the location and level of its operational presence and/or ability to increase coordination and response capacity. The selection of the cluster lead agency ideally mirrors the global-level arrangements, but this is not always possible, and in some cases other organizations may be better placed to take the lead. L3 EMERGENCY SELF-CHECK 1 ANSWER: 1. D, 2. C, 3. B, 4. E, 5. A L3 EMERGENCY SELF-CHECK 2 ANSWER: C. When the Emergency Relief Coordinator declares a disaster to be an L3, the IASC organizations are committed to mobilize resources and establish a systemwide response, if one isn t already underway. The response complements each agency s capacity and supports inter-agency coordination. INTERNATIONAL HUMANITARIAN COORDINATION SYSTEM SELF-CHECK ANSWER: 1. B, 2. D, 3. C, 4. E, 5. F, 6. A ACTION STUDY 1 ANSWER: D. The primary concerns of the Humanitarian Coordinator involve all of the listed duties, including ensuring lives are saved, conducting assessments, and recommending which clusters to activate. ACTION STUDY 2 ANSWER: D. Coordination is important, as it ensures efficient resource use, helps ensure all persons in need receive aid, and allows those providing that aid to share information with one another. ACTION STUDY 3 ANSWER: A. Clusters are the primary tool that humanitarian actors use to improve coordination, but do not provide direct funding or permanently replace government services. ACTION STUDY 4 ANSWER: B. There are 11 global clusters. Unit 3 contains a much more detailed look at the cluster approach. 27

32 Unit 3 The Cluster Approach Section 0: Introduction UNIT 3 OVERVIEW SITUATION REPORT It has been 72 hours since a magnitude 7.5 earthquake hit Olvitana Initial assessments indicate that approximately 50,000 people have been killed and 3 million displaced The Emergency Relief Coordinator has declared an L3 emergency in Olvitana Clusters that already existed are meeting and additional clusters are likely to be activated Humanitarian Corps Worldwide is participating in the WASH, Nutrition, and Health clusters INTRODUCTION When a humanitarian response requires the coordination of multiple actors working in multiple sectors, a single coordination system can make the response more efficient. With decision making occurring at the local and international level, humanitarian actors face numerous collective responsibilities. This unit explores and explains how the cluster approach is employed to make humanitarian response more efficient and effective. RADIO ANNOUNCEMENT It has been 72 hours since Olvitana was hit by the magnitude 7.5 earthquake. With the majority of government services damaged or inoperable, the Olvitani government has announced that they have accepted offers of assistance from the UN and outside aid organizations. The humanitarian crisis in Olvitana has now been designated a Level 3 emergency by the Emergency Relief Coordinator with the Office for the Coordination of Humanitarian Affairs (OCHA). We have yet to see if these developments will help the Olvitani. Access to fresh drinking water continues to be a widespread problem, while some improvement is reported with restoring sanitation and communication systems. Officials are working with humanitarian aid agencies to get a better understanding of the extent of the damage, assess the needs of survivors, all the while dealing with the immediate demands of directly providing aid and shelter to victims of this disaster. WHAT TO EXPECT I heard you mention that this was your first cluster meeting. The Reference Module for Cluster Coordination at the Country Level is a great resource for information on the cluster approach and how it improves coordination, leadership, and accountability in humanitarian action. Understanding the cluster approach will help you coordinate your work with other humanitarian organizations on the ground here in Olvitana. I have a copy of the reference module here, and it s available online. I can explain some of the important parts of the cluster system, including: Global and country-level clusters Cluster structure and management Roles and lead agencies for each of the 11 clusters WELCOME OK, any more questions? Great! That concludes today s WASH cluster meeting everyone. We ll see you all at the next meeting. Hi, I don t think we ve met. I m Leila, WASH cluster coordinator. Are you up to date on the situation here in Olvitana? 28

33 Unit 3 The Cluster Approach Section 1: Global and Country-Level Clusters THE CLUSTER APPROACH When a crisis occurs, hundreds of organizations and thousands of individuals may participate in the humanitarian response. In the past, there was no clear way for these groups to organize their activities. This lack of coordination led to duplication in some areas of the response and gaps in others. To address these issues, humanitarian actors around the globe came together and, in 2005, introduced several major reforms to the humanitarian system. This Humanitarian Reform initiative focused on improving coordination, financing, leadership, and partnership to make humanitarian response more predictable and more effective. The cluster approach is a coordination tool, introduced as part of this process. The cluster approach is the primary tool humanitarian actors use to address coordination gaps in non-refugee situations. There are global clusters, which are always active, and country-level clusters, which are activated as needed during a crisis. A cluster is a group of humanitarian organizations from the same sector of humanitarian action who coordinate in order to avoid gaps and duplication in assistance to affected communities. By participating in clusters, humanitarian actors, including both national and international NGOs, can better coordinate activities within their sector and coordinate that with the work happening in other sectors. The goal is to provide better assistance to affected populations. GLOBAL CLUSTERS There are 11 global clusters: Camp Coordination and Camp Management; Early Recovery; Education; Emergency Telecommunications; Food Security; Health; Logistics; Nutrition; Protection; Shelter; and Water, Sanitation, and Hygiene. Each cluster has a designated lead agency or two co-lead agencies. These global leads are accountable to the Emergency Relief Coordinator. Global clusters work to maintain system-wide preparedness and technical capacity for emergency humanitarian responses. As they are always active, they help to ensure greater predictability and more effective inter-agency responses in their particular sectors. Global clusters, under the direction of their global lead agencies, carry out three main activities: Standards and Policy-Setting: Global cluster partners work together to develop and disseminate minimum standards for actors in their sector to adhere to. They also guide the improvement of the humanitarian response by setting global policies, providing guidelines for successful operations, and consolidating sets of best practices. Building Response Capacity: Global cluster partners also work to ensure that humanitarian actors in their sector are prepared for future emergencies. This includes training staff and assisting in the development of emergency response systems at the local, national, regional, and international levels. Global cluster partners are also responsible for compiling information on which staff members and what resources should be ready for mobilization in the event of a sudden-onset emergency, or if an existing crisis grows in scale. Some global cluster partners even establish stockpiles of materials in strategic locations so that resources can be put to use right away during an emergency. Operational Support: Finally, global cluster partners provide operational support to their counterparts at the country level. (More information on in-country clusters will be provided shortly.) Operational support includes: Conducting needs assessments Providing technical expertise to partners in the field Supplementing the logistical capacity of country-level clusters Deploying personnel and material resources where needed, in order to supplement efforts coordinated at the country level Advocating in support of in-country cluster partners It s important to note that the global Protection cluster differs from other global clusters in one key way. While it still has a lead agency the United Nations (UN) High Commissioner for Refugees and it carries out the same three primary activities as all the other clusters, the work of the Protection cluster is divided into four Areas of Responsibility, or AoRs. 29

34 Each AoR has its own focal point agency, the functions and responsibilities of which are identical to those of a global cluster lead agency. When the four AoRs carry out their activities at the country level, they are generally referred to as sub-clusters of Protection. This will be examined in greater detail later. NGO participation in clusters at the global level is important to bring an operational field-based voice to the initiatives launched at the global level. NGOs can benefit from the tools, guidance, and other support generated at the global level. Because many of the policies initiated at the global level have implications for all humanitarian actors, it is important for NGOs to play a part in their development. GLOBAL CLUSTER SELF-CHECK Which of the following are true about global clusters? Select all that apply. A. Each cluster is limited to only one lead agency. B. Global clusters may provide operational support by providing technical expertise to partners in the field. C. Global clusters develop and disseminate minimum standards for their sector. D. Global clusters train staff to ensure that humanitarian actors in their sector are prepared for future emergencies. COUNTRY-LEVEL CLUSTER CORE FUNCTIONS When a disaster occurs, country-level clusters may be activated as a way to improve coordination during the response. In-country clusters are temporary, and are only activated when there is insufficient coordination capacity at the country level. To determine which clusters should be activated and who should lead them, the Humanitarian Coordinator (HC) and the Humanitarian Country Team (HCT) will look at initial assessments and form a recommendation. This recommendation is sent to the Emergency Relief Coordinator, who submits it to the Inter-Agency Standing Committee (IASC) and global cluster lead agencies for approval. Once approved, clusters are established so that humanitarian organizations can coordinate resources, prioritize activities, and define their respective roles and responsibilities. The global lead agency is usually designated as the incountry lead agency when a country-level cluster is activated, though this will vary depending on the location of the emergency and which organizations are most active in that area. Though each cluster addresses a different aspect of the response, there are six core functions all clusters share: Support Service Delivery: Cluster members assist each other when identifying needs and providing services. Inform the HC and HCT s Strategic Decisions: Cluster members contribute to needs assessments, response gap analysis, and identification of cross-cutting issues. This information is passed on to the Humanitarian Coordinator and Humanitarian Country Team. Plan and Implement Strategy: Cluster members are responsible for developing sectoral plans, and for making sure these plans adhere to relevant standards and guidelines, as well as for clarifying funding requirements and agreeing cluster contributions. Advocacy: Cluster members support the Humanitarian Country Team by identifying advocacy concerns, and by undertaking advocacy on behalf of the cluster, affected people, and cluster participants. Monitoring and Evaluation: Cluster members contribute to coordination performance reports and recommend corrective action to cluster strategies. Contingency Planning, Preparedness, and Capacity Building: Cluster members might also contribute to the implementation of the Emergency Response Preparedness (ERP) approach where the risk of a future disaster is high. Each cluster is also responsible for integrating early recovery into their work from the very beginning of the emergency response. ERP In 2015, the IASC released a draft of the Emergency Response Preparedness (ERP) approach for field testing. The primary aim of this approach is to ensure critical assistance is delivered immediately after the onset of a humanitarian emergency. The draft guidance provides practical instructions on preparing to respond to potential emergencies with appropriate humanitarian assistance. GLOBAL VS. COUNTRY LEVEL SELF-CHECK Note which activity would be performed by the global cluster or in-country cluster. A. Strengthen system-wide preparedness and technical capacity B. Define roles and responsibilities of humanitarian actors to minimize gaps and overlaps C. Activated temporarily based on need and existing capacity D. Establish and maintain human resources and material resources E. Develop and disseminate standards F. Apply existing standards G. Active during and between disasters H. Analyze needs and decide cluster priorities following a disaster CLUSTER ACTIVATION There are 11 clusters, but only certain clusters are activated in any given emergency. Clusters are activated depending on what is needed and what coordination capacity already exists, based on the HCT s analysis of humanitarian need and 30

35 coordination capacity on the ground, in consultation with national partners. The criteria for cluster activation are: A sharp deterioration or significant change in the humanitarian situation leads to response and coordination gaps Evaluation of existing national response and coordination capacity shows inability to appropriately meet needs in a manner that respects humanitarian principles, due to the scale of need, number of actors involved, and/or the need for a more complex, multi-sectoral response. There is a process for cluster activation: Based on these criteria, the HC agrees with the HCT which clusters should be activated. The HC selects cluster lead agencies in consultation with the HCT. Upon agreement with the HCT, the HC notifies the Emergency Relief Coordinator, outlining the recommendations and rationale for activation and suggesting cluster lead agencies. The Emergency Relief Coordinator shares this proposal with the IASC Principals and global cluster lead agencies for approval within 24 hours. Once approved, the HC informs the relevant parties, and clusters are established and begin to meet. ACTIVATION SELF-CHECK 1 True or False? Clusters are activated based on their capacity to respond, and on the availability of resources for that cluster. ACTIVATION SELF-CHECK 2 Place the steps into order in a timeline in the order they occur in cluster activation. First, a large-scale emergency occurs Last, clusters are established and begin to meet. A. The Emergency Relief Coordinator shares the proposal for cluster activation with the IASC Principals for approval within 24 hours. B. The Humanitarian Coordinator and the Humanitarian Country Team agree on which clusters to activate. C. Evaluation shows that humanitarian needs exceed national response and coordination capacity. D. The Humanitarian Coordinator recommends activation of certain clusters to the Emergency Relief Coordinator. CLUSTER DEACTIVATION Clusters are a time-bound coordination solution. The aim should be to resume or establish national coordination mechanisms. The Humanitarian Coordinator and Humanitarian Country Team regularly review the clusters to determine whether they are still necessary for coordination. Not all clusters have to be transitioned or deactivated at the same time. In a sudden-onset emergency, clusters are reviewed within three months of activation. In protracted crises, clusters are reviewed annually. The deactivation of clusters is considered when there is a decrease in humanitarian need, which consequently reduces associated response and coordination gaps, and/or when the national structures acquire sufficient capacity to coordinate and meet residual humanitarian needs in line with humanitarian principles. Four principles should guide and inform the process of cluster transition or deactivation: The process is initiated and led by the HC, in consultation with the HCT, collaborating with national authorities wherever possible. They are based on assessment of national capacity. They take into account the context, including the scale of remaining needs and the ability of successor mechanisms that are identified to take over the coordination to respond in line with humanitarian principles. They are guided by early-recovery and resilience-building objectives. The process for deactivation of clusters is very similar to the process for activation. Under leadership of the Humanitarian Coordinator, the Humanitarian Country Team notes which clusters have successfully transferred effective coordination responsibilities to national counterparts and recommends deactivation. The Humanitarian Coordinator provides a summary of the review to the Emergency Relief Coordinator and national authorities, outlining which clusters are to transition and subsequently be deactivated. The Emergency Relief Coordinator shares this note with the IASC Principals, Emergency Directors Group (EDG), and global cluster lead agencies for their approval. Once approved, the Humanitarian Coordinator informs relevant partners of the agreed arrangements. DEACTIVATION SELF-CHECK 1 Match the type of situation to the review period for deactivation by dragging the review period to match the disaster type. 1. Sudden Onset Emergency 2. Protracted Crisis A. Annually B. 3 months DEACTIVATION SELF-CHECK 2 Which of the following are considerations in deactivation of a cluster? Select all that apply? A. National coordination and response capacity has increased 31

36 B. Operational presence has decreased C. Humanitarian need has decreased D. Cluster funds have run out E. Security has worsened and it is no longer safe to provide aid F. Six months have passed since the emergency DEACTIVATION SELF-CHECK 3 Place the steps into a timeline in the order they occur in cluster deactivation. First, evaluation shows a decrease in humanitarian need, and increased capacity of national structures to meet humanitarian needs according to humanitarian principles. Then Last, cluster activities transition from cluster to national counterparts, and the cluster is deactivated. A. The Humanitarian Coordinator recommends deactivation of the cluster to the Emergency Relief Coordinator and national authorities. B. The Humanitarian Country Team recommends deactivation of clusters that have successfully transferred responsibilities to national counterparts. C. The Emergency Relief Coordinator transmits the deactivation recommendations to the IASC Principals, and shares them with the EDG and global cluster co-lead agencies for their approval. CORE COMMITMENTS Though all clusters are structured differently, cluster members all share the responsibility of providing timely, effective assistance. This requires a commitment of time and resources of all partners, including NGOs, as well as a good understanding of the cluster system as a whole. The IASC s Reference Module for Cluster Coordination at the Country Level includes a list of all cluster partners core commitments. The minimum commitments for participation in clusters include: Commitment to the humanitarian principles, the Principles of Partnership, cluster-specific guidance and internationally recognized program standards Commitment to mainstream protection in program delivery Readiness to participate in actions that specifically improve accountability to affected people Demonstrated understanding of the duties and responsibilities associated with membership of the cluster Active participation in the cluster and a commitment to consistently engage in the cluster s collective work Capacity and willingness to contribute to the cluster s response plan and activities Commitment to mainstream key programmatic crosscutting issues Commitment by a relevant senior staff member to work consistently with the cluster to fulfil its mission Commitment to work cooperatively with other cluster partners to ensure an optimal and strategic use of available resources Willingness to take on leadership responsibilities in subnational or working groups as needed Undertake advocacy, and disseminate advocacy messages Ensure the cluster provides interpretation so all cluster partners are able to participate COSTS AND BENEFITS OF CLUSTER COORDINATION For NGOs, participation in a cluster brings with it certain benefits and certain challenges. Participation requires a significant commitment of time and human resources on the behalf of all participating partners this can be especially tough for smaller NGOs with fewer staff and tighter budgets, as well as for national or local-level NGOs who may have more barriers to their participation than international NGOs. In addition, some organizations might find that their contributions to a cluster benefit the overall response, but offer no benefit to the organization itself. However, the benefits of participation in the cluster system are well worth the cost, especially when considered from the point of view of the affected population. In-country clusters can coordinate activities on the ground, helping different organizations to avoid duplication. The information sharing components of the cluster system lead to better needs assessment, which helps to save lives and conserve resources. Global clusters help distribute standards and best practices among a wide variety of organizations, improving the overall quality of humanitarian action. In short, the cluster system helps humanitarian actors save lives and livelihoods, and that is well worth the challenges it brings with it. An increased knowledge of the guidance surrounding the proper operation of the cluster system can help NGOs hold the clusters accountable to function well and achieve their stated goals. This can mean addressing our concerns to the cluster coordinator or the HC. When clusters do not work in an effective manner, it is the responsibility of cluster partners, including NGOs, to take steps to improve the functioning of the cluster. ACTION STUDY Imagine it is six months after the Olvitana earthquake. The Humanitarian Country Team and the currently active clusters conduct an assessment. The national government s road repair and health facilities repair programs have been extremely effective. The health facilities are adequately staffed with a combination of local hires and national volunteers to fill in any gaps. Though many health issues remain, national health capacity is estimated to have returned to 80% of previous function, with a likely progression to 100% over the next six months. 32

37 The Health cluster might proceed in which of the following ways: A. Continue Health cluster activities based on areas where need remains, and develop a plan for transition of all health service provision to the national government as national facilities completely recover. B. Deactivate the Health cluster immediately and reassign staff to other clusters. C. Plan to continue Health cluster activities indefinitely and transition to development activities. 33

38 Unit 3 The Cluster Approach Section 2: Cluster Structure and Management CLUSTER LEAD AGENCIES There is a designated cluster lead agency (or co-lead agencies) for each cluster at the global level. This agency is responsible for working with other partners to develop coordinating mechanisms, set standards and best practices, and support data collection and analysis. The same agency is usually the cluster lead when clusters are activated in-country. However, this may vary depending on the agency s experience and presence at country level. The head of each in-country cluster lead agency joins the Humanitarian Country Team. When participating on the Humanitarian Country Team, these individuals are responsible for representing their clusters in addition to their organizations. The Humanitarian Country Team includes representatives from many different organizations that are working in the response. Members of the Humanitarian Country Team work together to plan and lead the overall response. Cluster lead agencies are also the provider of last resort for their sector. Where necessary, and depending on access, security, and availability of funding, the cluster lead, as provider of last resort, must be ready to ensure the provision of services required to fulfill critical gaps identified by the cluster and reflected in the Humanitarian Coordinator-led Humanitarian Response Plan. SHARED LEADERSHIP Sharing leadership of clusters between UN, NGO, Red Cross/Red Crescent Movement, and other humanitarian actors, including national government agencies, strengthens the overall response. Shared leadership improves partnership, advocacy, and information sharing, and ensures stronger engagement and better coordination. Shared leadership is particularly effective in remote field locations with a limited or non-existent UN presence. In such instances, NGOs with a strong and consistent presence are well-positioned to provide a leadership role in coordination. In addition to access, NGO cluster leadership can offer technical expertise, different approaches on accountability to affected people, and long-term community involvement and understanding. Sharing leadership requires actors to clearly define roles and responsibilities, including complementary roles of cluster lead agencies, cluster coordinators, and cluster participants. The appropriate and transparent sharing of leadership among different actors is a true reflection of the interdependency of the humanitarian community to ensure an effective strategic response. CLUSTER LEADERSHIP SELF-CHECK 1 True or false? When there are critical gaps in the humanitarian response, the cluster lead agency is responsible for working to address that need. CLUSTER LEADERSHIP SELF-CHECK 2 True or false? Shared leadership strengthens the response and makes transition to national leadership smoother. CLUSTER LEADERSHIP SELF-CHECK 3 True or false? The head of each designated in-country cluster lead agency joins the Humanitarian Country Team, or HCT. CLUSTER MANAGEMENT Every disaster is different and requires a different type of response. The specific structure of how clusters are managed and led can vary. Sometimes clusters need to organize smaller groups to address specific issues within their cluster. Other times, clusters need to work together on issues that affect the work of multiple clusters. Let s look at some other elements of the cluster approach, including the ways work is organized within a cluster and how we strive to coordinate between clusters. SAGS AND TWIGS Every disaster is different, so there is no single model for cluster management. One model that has been effective is the creation of Strategic Advisory Groups, or SAGs, complemented by forums for broader information exchange. The SAG is often chaired by the cluster coordinator and is responsible for developing and adjusting the strategic framework, priorities, 34

39 and work plan for the cluster. In addition to operational UN and NGO representatives, SAG members have included representatives from: governments, donors, national NGO forums, Red Cross and Red Crescent Movement, and the UN Office for the Coordination of Humanitarian Affairs (OCHA). SAG membership must be representative of the overall cluster partnership, but should also be limited to ensure they can work efficiently. SAGs will be formed based on the context and the need to ensure the leadership required to manage the cluster, and not all clusters will have them. Technical Working Groups (TWGs or TWiGs) are taskoriented and time-limited groups of technical experts. They are created as needed to solve specific issues, for example agreeing on minimum standards and formulating appropriate technical practices. TWiGs are coordinated by a focal point or technical advisor. SAGS AND TWIGS SELF-CHECK As part of the Olvitana emergency relief effort, the Water, Sanitation, and Hygiene (WASH) cluster will create to guide the direction of the cluster. A. A Cluster Review Committee B. A Strategic Advisory Group C. District Focal Points D. None of the above SUB-CLUSTERS Within any of the 11 clusters, sub-clusters may be created to focus on a specific issue or geographic area. Sub-clusters might be created to deal with a specific issue related to a specific disaster. For example, if a particular disaster affected a very large proportion of children, a sub-cluster on child protection might be created. When a response takes place in a very large or remote area, sub-clusters might be created to coordinate cluster activities on a sub-national level. This improves response time from decision to implementation and allows adaptation to local circumstances. SUB-CLUSTERS SELF-CHECK When are sub-clusters created? (Select all that apply.) A. When there is a need to focus on a specific issue, such as gender-based violence B. When there is a need to focus on a geographic area, such as a regional sub-cluster C. When there are too many clusters INTER-CLUSTER COORDINATION Many aspects of disaster response cannot be addressed by one cluster. Just as it is important to coordinate within a cluster, it is important to coordinate work across clusters. This is called inter-cluster coordination. Inter-cluster coordination can occur at three levels: In the Humanitarian Country Team, the cluster lead agencies represent their clusters and work together on the overall strategic plan for the response Groups of clusters coordinate implementation of specific strategic objectives Inter-cluster coordination forums that bring together all clusters and other relevant actors to address strategic and operational issues these are generally organized by OCHA Inter-cluster coordination roles and responsibilities include: Ensuring sector roles and responsibilities are clearly defined Closing potential gaps and eliminating duplications Facilitating the development of the Humanitarian Response Plan 35

40 Unit 3 The Cluster Approach Section 3: Roles and Lead Agencies for the 11 Clusters THE CLUSTER APPROACH IN ACTION Now that you ve learned about the cluster approach more broadly, let s look at some of the activities of each cluster. There are 11 clusters: Camp Coordination and Camp Management; Early Recovery; Education; Emergency Telecommunications; Food Security; Health; Logistics; Nutrition; Protection; Shelter; and Water, Sanitation, and Hygiene. Health WHO Food Security WFP & FAO Logistics WFP Emergency Telecommunications WFP Prevention Education UNICEF & Save the Children Protection UNHCR M it Early Recovery UNDP Shelter IFRC/ UNHCR n Pr e pa re d ne s s Disaster 36 Re n s po Re ti o co ve ry iga Water, Sanitation and Hygiene UNICEF Camp Coordination and Camp Management IOM/UNHCR se R e c o n st r u c t i o n Nutrition UNICEF

41 CAMP COORDINATION AND CAMP MANAGEMENT (CCCM) The goal of the Camp Coordination and Camp Management, or CCCM, cluster is to improve living conditions for displaced persons by facilitating protection and services in camps and camp-like settings. The cluster also works toward long-term solutions for the affected populations, ensuring organized closure and phase-out of camps. In conflict situations, the lead agency for the CCCM cluster is the UN High Commissioner for Refugees, or UNHCR. In emergencies caused by natural disasters, the CCCM lead agency is the International Organization for Migration, or IOM. EMERGENCY TELECOMMUNICATIONS The goal of the Emergency Telecommunications Cluster is to provide timely, predictable, and effective information, communication, and technology services to support the humanitarian community in carrying out its work. If requested, within 48 hours of a disaster, the Emergency Telecommunications Cluster provides basic security communications services and shared voice and internet connectivity to all humanitarian actors in the field. The cluster lead for Emergency Telecommunications is the World Food Programme (WFP). NUTRITION The goal of the Nutrition cluster is to safeguard and improve the nutritional status of affected populations. This cluster coordinates supplemental and therapeutic feeding programs that target those who are ill or in need of additional nutrition. The Nutrition cluster lead is the United Nations Children s Fund (UNICEF). EARLY RECOVERY The goal of the Early Recovery cluster is to support on-going humanitarian assistance operations while also supporting longer-term recovery of affected populations. Early recovery includes many things: the restoration of basic services, livelihoods, shelter, governance, security and the rule of law, environment, and social dimensions, including the reintegration of displaced populations as soon as this is feasible. The cluster lead for Early Recovery is the United Nations Development Programme (UNDP). FOOD SECURITY The goal of the Food Security cluster is to strengthen food security responses in crisis situations, support early recovery of local food production and markets, and enhance national capacity. They might do this by monitoring how food aid affects local farmers or markets, for example, or by finding ways to support local farmers and markets by buying food for disasteraffected populations nearby, whenever possible. The cluster leads for Food Security are the World Food Programme (WFP) and the Food and Agriculture Organization (FAO). 37 PROTECTION The goal of the Protection cluster is to protect the rights of the crisis-affected population regardless of age, gender, social, ethnic, or religious background. They also help ensure humanitarian actors consider protection concerns as they go about their work. The global lead agency for the Protection Cluster is the UN High Commissioner for Refugees (UNHCR). However, the global Protection cluster is responsible for ensuring effective response in several specialty areas, known as Areas of Responsibility, or AoRs. Each AoR has its own focal point agency, the functions and responsibilities of which are identical to those of a global cluster lead agency. The AoRs and their focal point agencies are: Child Protection, headed by the UN Children s Fund, or UNICEF Gender-Based Violence, headed by the UN Population Fund (UNFPA) and UNICEF Housing, Land, and Property, headed by Norwegian Refugee Council Mine Action, headed by the UN Mine Action Service Even though these specialty areas are called AoRs at the global level, they are typically referred to as sub-clusters at the country level. EDUCATION The goal of the Education cluster is to ensure children and youth affected by the disaster have as little disruption in their education as possible. The Education cluster may implement emergency education systems such as schools in camps, and work with local and national authorities to restore permanent education systems where these have been disrupted. The cluster leads for Education are the UN Children s Fund (UNICEF) and an NGO called Save the Children. HEALTH The goal of the Health cluster is to identify the health needs of the affected population and determine the most efficient and effective ways to address these. They work to prevent health issues such as disease outbreaks from occurring, and to address them when they do. The cluster lead for Health is the World Health Organization (WHO). SHELTER The goal of the Shelter cluster is to provide basic and immediate shelter needs to disaster-affected populations. This includes tents, insulation materials, other temporary emergency shelter solutions, and shelter-related non-food items. They may also address longer-term shelter support, housing construction and reconstruction, and settlement support such as site planning and urban planning. In natural disasters, the Shelter cluster lead is the International Federation of Red Cross and Red Crescent

42 Societies (IFRC). In situations involving armed conflict, the cluster lead is the United Nations High Commissioner for Refugees (UNHCR). LOGISTICS The goal of the Logistics cluster is to ensure efficient logistics of humanitarian operations. Members of this cluster are largely focused on transportation and resource management. The Logistics cluster works to ensure that the humanitarian operation is flowing smoothly and successfully, and provides information and technical training on logistics. The cluster lead for Logistics is the World Food Programme (WFP). WATER, SANITATION, AND HYGIENE (WASH) The goal of the WASH (water, sanitation, and hygiene) cluster is to coordinate agencies that work on water delivery, storage, and treatment. The WASH cluster also coordinates agencies that promote safe disposal of human waste and that promote general hygiene. The cluster lead for WASH is the UN Children s Fund (UNICEF). CLUSTER SYSTEM SELF-CHECK Match each cluster to its responsibility. 1. Logistics 2. Nutrition 3. Emergency Shelter 4. Camp Coordination & Camp Management 5. Health 6. Protection 7. Food Security 8. Emergency Telecommunication 9. Early Recovery 10. Education 11. Water, Sanitation, and Hygiene A. Disease prevention B. Disposal of human waste C. Operational support such as transportation D. Voice and Internet connectivity E. Therapeutic feeding programs F. Shelter and shelter-related non-food items G. Protect safety of population H. Support recovery of food markets I. Restore schools J. Restore livelihoods K. Coordinate service delivery in camps CROSS-CUTTING ISSUES A cross-cutting issue affects all areas of concern and has an impact in more than one cluster. Examples of cross-cutting issues include: age, gender, environment, and accountability to affected populations. It is the responsibility of each cluster to consider how to address these cross-cutting issues in that cluster s activities. For current information on cross-cutting issues, please refer to humanitarianresponse.info. CROSS-CUTTING ISSUES SELF-CHECK Which of the following could be among the crosscutting issues addressed by all clusters during an emergency? A. Age B. Gender C. Environment D. Disabilities E. Accountability to affected persons F. All of the above 38

43 REVIEW Now that you ve reviewed the basics of the cluster approach, let s start thinking about how it affects our work. Here is a question for you to consider. ACTION STUDY The earthquake has affected a large number of elderly men and women. Younger family members would typically care for the elderly in Olvitana, but many of them have been injured or killed in the earthquake. Though food aid and water are available in adequate amounts, the community has noted that the elderly, particularly disabled elderly, are unable to walk to the distribution centers. Some neighbors are assisting by delivering rations and collecting water for them; however, all of the affected people are struggling with taking care of their own families and themselves. Which of the following are true? A. An Elderly cluster can deal with these issues well, and should be activated B. This is primarily a health issue, and should be managed by the Health cluster C. As age is a cross-cutting theme, all clusters should dedicate some time and thought to how to address the issues faced by the elderly in the disaster CONCLUSION I hope this review of the cluster approach has been helpful. The cluster approach is the main mechanism for coordination within the humanitarian coordination system. By participating in clusters, humanitarian actors, including both national and international NGOs, can better coordinate activities within their sectors and coordinate that with the work happening in other sectors. The goal is to provide better services to affected populations. 39

44 Unit 3 The Cluster Approach Unit 3 Answers Section SECTION 1 GLOBAL AND COUNTRY-LEVEL CLUSTERS must be ready to ensure the provision of services required to fulfill critical gaps identified by the cluster and reflected in the Humanitarian Coordinator-led Humanitarian Response Plan. GLOBAL CLUSTER SELF-CHECK CLUSTER LEADERSHIP SELF-CHECK 2 ANSWER: True. Sharing leadership allows multiple entities ANSWER: B, C, and D. Global clusters may provide to contribute their relative strengths. Sharing leadership with operational support by providing technical expertise to partners in the field, develop and disseminate minimum standards for national government strengthens the response and makes their sector, and train staff to ensure that humanitarian actors transition to national capacity smoother. in their sector are prepared for future emergencies. CLUSTER LEADERSHIP SELF-CHECK 3 GLOBAL VS. COUNTRY LEVEL SELF-CHECK ANSWER: True. The head of each in-country cluster lead agency joins the Humanitarian Country Team, where they Answers A, D, E, and G belong under the Global heading. Answers B, C, F, and H belong under the In-Country heading. participate in strategic decisions on the response. SAGS AND TWIGS SELF-CHECK ACTIVATION SELF-CHECK 1 ANSWER: B. A Strategic Advisory Group, or SAG, can ANSWER: This statement is false. Clusters are activated guide the WASH cluster in Olvitana. based on the need of the affected community and existing national coordination and response capacity. ACTIVATION SELF-CHECK 2 ANSWER: The correct order is C, D, B, A. SUB-CLUSTERS SELF-CHECK ANSWER: A and B. Sub-clusters can be created to focus on a specific issue or geographic area. DEACTIVATION SELF-CHECK 1 SECTION 3 ROLES AND LEAD AGENCIES FOR THE 11 CLUSTERS ANSWER: 1 matches with B, 2 matches with A. DEACTIVATION SELF-CHECK 2 ANSWER: The correct order is B, A, C. CLUSTER SYSTEM SELF-CHECK ACTION STUDY ANSWER: 1. C, 2. E, 3. F, 4. K, 5. A, 6. G, 7. H, 8. D, 9. J, ANSWER: A. Olvitana s capacity is recovering, but as long 10. I, 11. B as there is still need, the Health cluster should remain active. CROSS-CUTTING ISSUES SELF-CHECK SECTION 2 CLUSTER STRUCTURE AND MANAGEMENT ANSWER: F. All of these issues are cross-cutting, and should be addressed by all clusters during an emergency. ACTION STUDY ANSWER: C. As a cross-cutting issue, all clusters should dedicate some time and thought to how to address the issues True. The cluster lead agency is the provider of last resort. faced by the elderly in the disaster. Where necessary, and depending on access, security, and availability of funding, the cluster lead, as provider of last resort, CLUSTER LEADERSHIP SELF-CHECK 1 40

45 Unit 4 Planning and Funding the Humanitarian Response Section 0: Introduction UNIT 4 OVERVIEW INTRODUCTION In a large humanitarian response, a cooperative and transparent structure for planning and action is necessary for incorporating all the expertise and resources available into a single multifaceted relief effort. This unit addresses planning and funding humanitarian response. Specifically, this unit covers the Humanitarian Programme Cycle, pooled funding mechanisms, and the main mechanisms for tracking and reporting humanitarian funding. RADIO ANNOUNCEMENT It has been ten days since a magnitude 7.5 earthquake struck Olvitana. Experts estimate 50,000 dead and millions displaced. The crisis in Olvitana has been declared a Level 3, or L3, emergency, and the international community is responding. International aid organizations that were already working in Olvitana have now been joined by over 200 additional organizations from around the world. International governments are sending financial support and supplies. WELCOME Hi, I m June, finance officer here at Humanitarian Corps Worldwide. Let s look at the larger picture of how planning for an emergency response takes place in the international coordination system. We ll then look at how non-governmental organizations (NGOs) can access humanitarian funding to implement the plan. Are you up to date with the situation in Olvitana? SITUATION REPORT Humanitarian Corps Worldwide Update: It has been 10 days since Olvitana was hit by a magnitude 7.5 earthquake Initial rapid assessments have been completed and humanitarian actors are now following up with more detailed and more sectoral assessments Initial assessments indicate that approximately 50,000 people have been killed and 3 million displaced The Emergency Relief Coordinator has declared an L3 emergency in Olvitana The Humanitarian Response Plan was finalized a few days ago Funds have been released from the CERF WHAT TO EXPECT In this unit, we will discuss: The Humanitarian Programme Cycle Pooled humanitarian funding mechanisms And some of the main mechanisms for tracking and reporting humanitarian funding 41

46 Unit 4 Planning and Funding the Humanitarian Response Section 1: The Humanitarian Programme Cycle THE HUMANITARIAN PROGRAMME CYCLE STEPS OF THE HUMANITARIAN PROGRAMME CYCLE (HPC) The process that organizes the response to humanitarian emergencies is called the Humanitarian Programme Cycle (HPC). The HPC is a coordinated series of actions undertaken to help prepare for, manage, and implement humanitarian response. It consists of a number of elements coordinated in a seamless manner, with one step logically building on the previous and leading to the next. The Humanitarian Programme Cycle is intended to be a collective, consultative process that creates an environment in which all those involved in a response can see their role in relation to others. Processes that are inclusive and consultative generate better planning decisions, more robust cooperation, greater accountability, and legitimacy. It s important for NGOs to understand the elements of the HPC so that they can fully participate in the phases of the emergency response alongside other humanitarian actors. Let s look at an overview of all of the elements of the HPC. After we ve reviewed the cycle as a whole, we will look in more detail at some of the elements that NGOs are likely to encounter. These are the phases in the Humanitarian Programme Cycle: 1. needs assessment and analysis 2. strategic response planning 3. resource mobilization 4. implementation and monitoring 5. operational review and evaluation Preparedness is also an important part of effective response and should be incorporated throughout the cycle. In order to implement the HPC effectively, there are two elements at the heart of the cycle. 1. Effective coordination with national and local authorities and humanitarian actors. Responding to the needs of affected people is at the heart of humanitarian response, and coordination facilitates that response. 2. Information management -- Information management underpins each phase of the HPC and helps connect phases by carrying enriched information from one to another. It is important that organizations participating in the response collect and share information, including the 4Ws of who is doing what, where, and when. Let s take a moment to look at each element of the cycle. 42