The Consolidated Appeal Process (CAP) CAP Section unocha/cap

1. The Consolidated Appeal Process (CAP) CAP Section www.unocha.org/cap

2. Outline Part I: Common Humanitarian Strategy • Consolidated Appeal Process • Flash Appeals • Third kind of appeals Part II: Humanitarian Financing • Central Emergency Response Fund (CERF) • Common Humanitarian Response Funds (CHFs) • Emergency and Humanitarian Response Funds – (ERFs/HRFs)

3. General Assembly Resolution 46/182, December 1991 Strengthening the coordination of humanitarian emergency assistance of the United Nations by: • Creation of the Emergency Relief Coordinator (ERC/USG) • Creation of DHA (became OCHA in 1998) • Consolidated Appeal Process (CAP) • Central Emergency Revolving (in 2005 ‘Response’) Fund (CERF) • Inter-agency Standing Committee (IASC)

4. Flash Appeals and Consolidated Appeals Flash Appeal Issued within five days of the onset of an emergency for up to 3-6 months Consolidated Appeal Issued within 3-6 months of emergency, and annually as needed

5. What is a CAP? The Consolidated Appeal Process is much more than an appeal for money. It is a tool used by aid organizations to plan, implement and monitor their activities - together.

6. Elements of a Consolidated Appeal • Context & needs analysis • Scenarios • Strategic priorities • Sector-specific response plan • Monitoring plan } Common Humanitarian Action Plan (CHAP) + Inventory of projectsnecessary to accomplish the strategy = Consolidated Appeal

7. “The Common Humanitarian Action Plan (CHAP) should be the main tool of humanitarian coordination.” (Montreux Donors Retreat on the CAP, 2000)

8. Why do we need it ? Appeals bring aid organizations, donors and governments together to: • present strategic approaches to humanitarian crises • plan, coordinate, implement & monitor response • appeal for funds cohesively • presents an action plan & set of projects • serves as a road map of required actions & funding needs • ensures funds are spent strategically, efficiently & with greater accountability Each appeal:

9. Humanitarian Financing – the basics • DEMAND: • (Appeals for funding) • Agency appeals • Consolidated Appeal Process • SUPPLY: • (Funding sources) • National government • Civil society • NGO funds • Bilateral donors • Multilateral donors • Private sector • Pooled funds • CERF • Emergency Response Fund • Common Humanitarian Fund

10. 2012 Consolidated Appealsand comparable concerted humanitarian action plans (as of 29 Nov 2011)

11. Consolidated and Flash Appeal Funding: 2001 - 2011

12. What warrants an Appeal? • Any crisis or disaster needing a humanitarian response that: • exceeds the capacity of the affected country’s government • exceeds the capacity and/or mandate of any one organization • An affected government may also formally request international assistance

13. What is the CAP’s rationale? • To avoid competing and overlapping appeals • To provide a framework for strategic, coordinated, and inclusive programming • To serve as an inventory of priority humanitarian project proposals, and a barometer of funding response

14. Who is involved? • Resident/Humanitarian Coordinator • UN agencies • NGOs • Red Cross/Red Crescent Movement • Donors • Affected country government

15. Key roles in the CAP (1) • ERC/USG (Valerie Amos): responsible to IASC, SG and GA for upholding resolutions and IASC policies Credit: UN Photo/Jean-Marc Ferré • Humanitarian Coordinator(HC): triggers appeal and leads the Humanitarian Country Team • OCHA field office: responsible to HC for leading appeal process and consultations; writing general parts of the doc; obtaining inputs from clusters

16. Key roles in the CAP (2) • Cluster lead agencies:responsible for sectoralneedsassessment • OCHA headquarters: • IASC-Agency headquarters: check the draftappeal (earlyNov, back to CAP Section) • OCHA New York: supports OCHA field office on substantive issues; does final editing on doc (incorporating comments from IASC agency HQs) • OCHA Geneva: provides day-to-day support and guidance to HCs and OCHA field offices; find facilitators for CAP workshops; formats / publishes / appeal documents; maintains FTS; develops CAP policy

17. Key roles in the CAP (3) • Cluster leads are responsible to: • vet • lead • update • consult • develop • gather • revise • monitor • advocate

18. Cluster Coordinators have a crucial role Involve all cluster participants Coordinate rapid needs assessments Set cluster strategy and priorities Lead & coordinate response plans Gather project proposals inclusively Vet projects transparently ALL VERY FAST!

19. Agency/NGO role • Be proactive in the process • Participate in sectoral needs assessment • Help to develop sector response plan • Present realistic project proposals • Engage individually with donors • Report on activities

20. Why should NGOs participate in the appeal planning process? Donor requirement Cluster membership Access to pooled funds Visibility

21. HC office role • lead • support • decision-maker • participate • trigger • ensure • liaise • advocate

22. Agency HQ role Supporting their field teams in the elaboration of the appeal: • Substantively reviewing the document and projects during HQ review • Advocating for funding • Reporting to FTS

23. Humanitarian presence in CAR 2012

24. Needs analysis – CAR 2012

25. Sample Strategic Priority Strategic Objective 2: Protect conflict-affected people, particularly IDPs and others whose rights have been violated, by: • providing assistance • responding to violations and advocacy while intensifying campaigning against the culture of impunity • helping reinforce existing legislation • promoting International Humanitarian Law and Human Rights Law • restoring the dignity of survivors and community-based structures

26. Sector Response Plans - Elements • Description of priority needs in each sector • Outline of response priorities for each sector • Sector objectives (no more than five; SMART *) • Sector wide indicators (no more than five) • Sector response strategy • Brief sector monitoring and evaluation strategy * Specific / measurable / achievable / relevant / time-framed

27. Sectoral response plan summary [1]Including spontaneous returnees, who are still considered to be IDPs due to the lack of security and durable solutions.

28. Projects Vetting Prioritization

29. Project Vetting ‘‘Each CAP, and therefore each project selected for the CAP, should truly deserve 100% funding’’ Therefore, all projects must: • be based on assessed needs • address a strategic priority • be feasible for the proposing organization • be feasible within the CAP-time frame • be reasonably budgeted

30. Project Vetting: case study from Somalia Project criteria set at CAP workshop Sector coordination groups agree on sector objectives and priorities TECHNICAL REVIEW: Sector chairs + NGO rep Organizations submit projects Project included SENIOR REVIEW: Country Reps of UN agencies + 2 NGO reps Project rejected

31. Sample Criteria for Project Prioritization temporal criteria organizational criteria other context-specific criteria demographic criteria gender-marker criteria geographic criteria sector criteria

32. Table II: Requirements per priority level Consolidated Appeal for Central African Republic 2012 as of 15 November 2011 http://fts.unocha.org Compiled by OCHA on the basis of information provided by appealing organizations. Priority Original Requirements ($) 20,313,085 IMMEDIATE 80,599,110 HIGH MEDIUM , , 33,545,539 134,457,734 Grand Total Good practice:

33. An inclusive, coordinated programme cycle

34. CAP: Key-Dates January Programme Kick-Off Conference (mid Jan) Local launches Global Launch of the Consolidated Appeal (end Nov) October April CAP Field-Workshop: (Aug/Sept) Mid-Year Conference (mid July) July

35. Flash Appeals

36. GA Resolution 46/182 “For emergencies requiring a consolidated response, the Secretary-General should ensure that an initial Consolidated Appeal covering all concerned organizations of the system, prepared in consultation with the affected State, is issued within the shortest possible time…”

37. What is a Flash Appeal? strategic humanitarian response plan tool for coordination, planning, and programming contains: • specific • sectoral • response • plans and • projects • rapid needs • assessment • information can be incorporated into CAP, if emergency continues and needs persist common humanitarian action plan addresses acute needs for up to six months

38. Indicative time frame from crisis onset

39. Example of a project summary box

40. The Result • FIRST EDITION: • compromise between speed and precision: the early first edition not based on comprehensive information

41. SECOND EDITION: (or revision) is prepared when better info is available—usually 4-6 weeks later. It may also include more early recovery programmes which could not be assessed in time for the first edition

42. Revising Flash Appeals • Revisions are necessary because flash appeals are written within a short timeframe and use incomplete information • Revisions take place within four weeks of the publication of the original appeal (using the Online Project System (OPS)) • Revisions also accomplish the following: • Update sector/cluster response plans • Reprioritize humanitarian response activities • Analyze funding • Advocate for donor support • Present up-to-date information • Outline progress made • Assess the effectiveness of current strategy

43. Third kind • Sensitivities with governments • Transitional appeals • Regional Response Plans

44. STRENGTHENING HUMANITARIAN RESPONSE LEADERSHIP CAPACITY &PREDICTABAILITY FINANCING PARTNERSHIPS Part II: Humanitarian Financing

45. For further information regarding: • Consolidated Appeal Process (CAP): www.unocha.org/cap • Financial Tracking Service (FTS): http://fts.unocha.org • Online Project System (OPS): http://ops.unocha.org • Inter-agency Standing Committee (IASC): www.humanitarianinfo.org/iasc