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5-YEAR EVALUATION OF THE CENTRAL EMERGENCY RESPONSE FUND COUNTRY STUDY: CAPE VERDE On Behalf of OCHA Authors: Angela Berry-Koch, MSc

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Page 1: Cape Verde Final - UNOCHA 5-Year Evaluation Country Report: Cape Verde 3 TABLE OF CONTENTS ! TABLE OF CONTENTS 3! ACRONYMS

 

 

 

5-YEAR EVALUATION OF THE CENTRAL EMERGENCY RESPONSE FUND COUNTRY STUDY: CAPE VERDE

 

 

On Behalf of OCHA

Authors: Angela Berry-Koch, MSc

 

 

 

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This  document  has  been  prepared  by  Channel  Research  as  part  of  the  5-­‐‑Year  Evaluation  of  the  CERF,  commissioned  by  OCHA.    

 

This  document  is  public  and  can  be  disseminated.  

 

Please  address  all  correspondence  to:  

 

Cecile  Collin,  

E-­‐‑mail:  [email protected]  

Tel:  +32  2  633  6529  

Fax:  +32  2  633  3092  

 

 

 

 

 

UN  General  Assembly  Resolution  60/124  sets  the  objective  of  the  upgraded  CERF:“…to  ensure  a  more  predictable  and  timely  response  to  humanitarian  emergencies,  with  the  objectives   of   promoting   early   action   and   response   to   reduce   loss   of   life,   enhancing  response   to   time-­‐‑critical   requirements   and   strengthening   core   elements   of  humanitarian   response   in   underfunded   crises,   based   on   demonstrable   needs   and   on  priorities  identified  in  consultation  with  the  affected  State  as  appropriate.  ”    

 

 

 Route  des  Marnières  45A,  1380  Ohain,    Belgium  

Tel  +32  2  633  65  29  Fax  +32  2  633  30  92  

www.channelresearch.com      [email protected]  

VAT  No  864  560  703  

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TABLE OF CONTENTS  

TABLE OF CONTENTS ............................................................................................................ 3  ACRONYMS .............................................................................................................................. 4  MAP 6  INTRODUCTION ....................................................................................................................... 7  1. CONTEXT ........................................................................................................................... 10  2. PROCESSES ...................................................................................................................... 14  3. OUTPUTS ........................................................................................................................... 17  4. OUTCOMES ........................................................................................................................ 19  5. CONTRIBUTION ................................................................................................................. 21  6. CONCLUSIONS .................................................................................................................. 22  ANNEX I. LINKS TO THE TERMS OF REFERENCE AND THE INCEPTION REPORT ....... 23  ANNEX II. CERF PROCESS DESCRIPTION ......................................................................... 24  ANNEX III. BIOGRAPHICAL NOTICE OF THE MAIN WRITERS ........................................... 26  ANNEX IV. INTERVIEWS ....................................................................................................... 29  ANNEX V. COUNTRY PROJECTS SUMMARIES .................................................................. 30  ANNEX VI. SELECTED PROJECTS WITH SCORES ............................................................ 31  ANNEX VII. BIBLIOGRAPHY .................................................................................................. 32  

 

 

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ACRONYMS  

Acronym   Details  

CAP   Consolidated  Appeals  Process  

CAR   Central  African  Republic  

CERF   Central  Emergency  Response  Fund  

CHF   Common  Humanitarian  Fund  

CDC   Centres  for  Disease  Control  ,  US  Government    

CNDS   Sanitary  Department  of  the  Nation  Center    

DAC   Development  Assistance  Committee  (of  the  OECD)  

DFID   Department  for  International  Development  (of  the  UK)  

DRC   Democratic  Republic  of  Congo  

DREF   Disaster  Emergency  Fund    (Red  Cross)  

ERC   Emergency  Relief  Coordinator  (the  head  of  OCHA)  

ERF   Emergency  Response  Fund  or  Expanded  Humanitarian  Response  Fund  

EU   European  Union  

FAO   Food  and  Agriculture  Organization  

FMU   Fund  Management  Unit  (UNDP)  

FTS   Financial  Tracking  Service  

GA   General  Assembly  (of  the  United  Nations)  

GPRS   Global  Poverty  Reduction  Strategy    

GHD   Good  Humanitarian  Donorship  

HC   Humanitarian  Coordinator  

HCT   Humanitarian  Country  Team  

HDI   Human  Development  Index  

HDPT   Humanitarian  and  Development  Partnership  Team  

HQ   Head  Quarters  

HRF   Humanitarian  Response  Fund  

LDC   Least  Developing  Country  

IDP   Internally  Displaced  Person  

IFRC   International  Federation  of  the  Red  Cross    

IASC   Inter-­‐‑Agency  Standing  Committee  

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Acronym   Details  

INGO   International  Non  Governmental  Organisations  

M&E   Monitoring  and  Evaluation  

MDG   Millennium  Development  Goal    

MDTF   Multi  Donor  Trust  Fund  

MSF-­‐‑S   Médecins  Sans  Frontières  Suisse  

NGO   Non  Governmental  Organisations  

NNGO   National  Non  Governmental  Organisations  

OCHA   United  Nations  Office  for  the  Coordination  of  Humanitarian  Affairs  

OECD   Organisation  for  Economic  Cooperation  and  Development  

PAF   Performance  and  Accountability  Framework  

PBF   Peace  Building  Fund  

RC   Resident  Coordinator  

RR   Rapid  Response  (CERF  funding  window)  

ToR   Terms  of  Reference  

UFE   Under-­‐‑funded  emergency  (CERF  funding  window)  

UK   United  Kingdom  

UN   United  Nations  

UNCT   United  Nations  Country  Team  

UNDP   United  Nations  Development  Programme  

UNDAF     United  Nations  Development  Framework    

UNFPA   United  Nations  Fund  for  Population  Activities  

UNHCR   United  Nations  High  Commissioner  for  Refugees  

UNICEF   United  Nations  Children’s  Fund  

UNOPS   United  Nations  Office  for  Project  Services  

USD   United  States  Dollar  

WASH   Water  Sanitation  and  Hygiene  

WHO   World  Health  Organization    

WFP   United  Nations  World  Food  Programme  

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MAP

 

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INTRODUCTION 1. This   country   report   examines   the   Central   Emergency   Response   Fund   (CERF)’s  

contribution   to   the   humanitarian   response   in   Cape   Verde   following   a   massive  outbreak  of  Dengue  Fever  in  late  2009.  It  is  one  of  16  case  studies  conducted  to  inform  the  5-­‐‑year  Evaluation  of  the  Central  Emergency  Response  Fund  (CERF).  Mandated  by  the  UN  General  Assembly,  the  5-­‐‑year  Evaluation  of  the  CERF  is  managed  by  OCHA’s  evaluation  section  (ESG),  and  conducted  by  Channel  Research.    

The  CERF  

2. The  Central  Emergency  Response  Fund  (CERF)  is  a  $500  million  fund  established  to  support   rapid   response   and   address   critical   humanitarian   needs   in   underfunded  emergencies.   The   CERF   is   managed   by   the   UN'ʹs   Under   Secretary   General   for  Humanitarian  Affairs  and  Emergency  Relief  Coordinator  (ERC),  and  supported  by  a  secretariat   and   by   other   branches   of   the   UN   Office   for   the   Coordination   of  Humanitarian  Affairs  (OCHA).  

 

Methodology    

Document  review  

3. This   country   report   was   conducted   as   a   desk   review,   and   no   field   visits   were  conducted.    The  documents  that  were  reviewed  consisted  of  the  project  submissions  from   the   two   agencies,   (WHO   and   UNICEF)   both   original   and   revised,   and   the  annual  report  from  the  Resident  Coordinator  of  the  UN  system.  Because  of  the  dearth  of  documentation,  additional  research  was  conducted  on  the  Dengue  Fever  outbreak  in  Cape  Verde,   primarily   by  website,   and   this   included  Red  Cross  movement   sites,  and   the  general  UN  sites   for   the   country.  Where   technical  questions  arose  as   to   the  nature   and   patterns   of  Dengue   outbreaks,   some   secondary   literature   searches  were  conducted.    

Interviews    

4. Only  the  CERF  Secretariat  was  interviewed  for  this  case  study.    

Constraints/Issues  

5. The  case  study  was  constrained  by  a  lack  of  formal  data  related  to  the  CERF.  The  two  project  proposals  were  relatively  brief,  and  monitoring  of  CERF  projects  depended  on  UN  agencies’   own  monitoring   system   in   the   absence   of   a   centralised  monitoring  of  CERF-­‐‑funded   projects.   Although   the   case   of   Cape   Verde   was   limited   ins   cope,  involving   two   agencies   only,   more   detail   of   documentation   on   process   (how   the  projects   were   designed)   and   on   outcomes,   (measurable   impact)   would   have   been  helpful.   Also   a   lack   of   minutes   or   records   of   meetings,   telephone   calls   and   email  exchanges  was  observed  within  the  provided  documentation.    There  were  also  poorly  referenced  citations  in  many  UN  projects  or  summary  documents  that  provided  facts  that  could  not  be  substantiated  from  original  sources.    

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Analysis  

6. The   analysis   for   this   study   employed   the   CERF’s   Performance   and   Accountability  Framework  (PAF),  which  defines  a  set  of  indicators  at  each  level  according  to  a  logic  model  approach  as  a  means  of  clarifying  accountability  and  performance  expectations  around  a  core  set  of  agree  CERF  outputs,  outcomes  and  impacts.1  

Reporting  

7. The   drafting   of   this   report   benefited   from   comments   made   by   the   steering   and  reference  groups  on  the  first  country  study,  as  well  as  more  specific  comments  on  this  country  report.    

 

Key  definitions  

8. The  case  study  is  concerned  with  assessing  the  following2:    

• Relevance/appropriateness:   Relevance   is   concerned   with   assessing   whether   the  project   is   in   line   with   local   needs   and   priorities   (as   well   as   donor   policy).  Appropriateness   is   the   tailoring   of   humanitarian   activities   to   local   needs,  increasing  ownership,  accountability  and  cost-­‐‑effectiveness  accordingly.   (ALNAP  2006)  

• Effectiveness:  Effectiveness  measures   the  extent   to  which  an  activity  achieves   its  purpose,   or  whether   this   can  be   expected   to  happen  on   the  basis   of   the  outputs.  Implicit  within  the  criterion  of  effectiveness  is  timeliness.  (ALNAP  2006)  

• Efficiency:   Efficiency   measures   the   outputs   –   qualitative   and   quantitative   –  achieved   as   a   result   of   inputs.   This   generally   requires   comparing   alternative  approaches  to  achieving  an  output,  to  see  whether  the  most  efficient  approach  has  been  used.  (ALNAP  2006)    

 

Overview  

9. The  report  is  structured  as  follows:  

• Context:  A  description   of   the   humanitarian   context   of   the   country,   and  how   the  CERF  was  used.    

• Processes:  A  description  and  analysis  of  the  submission  process  for  the  CERF  and  the  prioritisation  and  selection  of  projects.  

                                                                                                               1     OCHA,   Performance   and  Accountability   Framework   for   the  Central   Emergency  Response   Fund   (OCHA,  

August  2010)  

2     These  criteria  are  defined  by  Beck,  T.  (2006);  Evaluating  humanitarian  action  using  the  OECD/DAC  criteria   for  humanitarian  agencies:  An  ALNAP  guide  for  humanitarian  agencies.   (Overseas  Development  Institute:  London,  March  2006)  

 

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• Outputs:   An   analysis   of   the   CERF’s   overall   contribution   to   the   country  programme,   its   timeliness   (timeframes),   level   of   donor   support,   and   interaction  with  other  funds.  

• Outcomes:  An  analysis  of  the  outcomes  of  the  CERF  process,  including  the  extent  to  which  CERF  projects  addressed  gender,  vulnerability,  and  cross-­‐‑cutting  issues.  

• Contribution:  An  analysis  of  the  CERF’s  contribution  to  meeting  time-­‐‑critical  live-­‐‑saving  needs,  including  evidence  for  the  extent  to  which  the  CERF  contributed  to  this  objective  set  by  the  General  Assembly.  

• Conclusions:  An  outline  of  conclusions  reached  by  the  evaluation  team.  

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1. CONTEXT 10. The   Cape   Verde   Islands   has   experienced   very   few   emergencies   or   disasters   in   its  

history  and  made  its  first  and  only  application  for  CERF  in  2009  as  a  result  of  a  severe  outbreak  of  dengue  fever.  Cape  Verde  is  an  archipelago  and  includes  10  islands  and  5  islets,   located  in  the  mid-­‐‑Atlantic  Ocean  some  450  kilometers  (about  300  mi.)  off   the  west  coast  of  Africa.  The  population  is  just  under  half  a  million  and  is  spread  over  a  mere  4,000  square  kilometres.  Cape  Verde   is  a   lower  middle-­‐‑income  country.  While  some   economic   progress   has   been   made   in   recent   years,   lifting   it   out   of   the   Least  Developing  Country   category,   there   is   a   growing   disparity   between   rich   and   poor,  and  women  especially  remain  highly  vulnerable.  3  

Dengue  outbreak  

11. In   the   last   three  months   of   2009,   Cape   Verde   suffered   its   first   outbreak   of   dengue  fever.  Within  a  matter  of  weeks,  it  spread  to  affect  11%  of  the  entire  population  in  the  capital   city   of   Praia.   On   November   4,   2009,   the   Central   Government   declared   a  national  epidemic  of  dengue,  based  on  a  total  of  11,000  confirmed  cases.    The  city  of  Praia  was  the  main  focus  of   the  epidemic.  By  the  end  of  December,  a   total  of  21,090  cases  were   confirmed  nationally,  with   14,476   cases   in   the   capital   city   of   Praia.4   The  epidemic   was   more   severe   in   Praia   because   of   inadequate   basic   sanitation   and  population   density.     Approximately   one-­‐‑fourth   of   the   country’s   total   population   is  concentrated  in  Praia.    

12. The   sudden   increase   of   cases   in   early  November   2009   on   some   of   the   Cape   Verde  islands,  put  an  enormous  strain  on  the  country’s  limited  health  services  capacity,  and  triggered   a   crisis.   Hospitals   lacked   health   workers   with   appropriate   experience   in  managing   cases   of   dengue.   Control   of   the   outbreak   was   mainly   based   on   vector  control,  in  order  to  stop  transmission  –  and,  the  management  of  severe  dengue  cases  to  save  lives.    

International  assistance  

13. Within  weeks  of   the  dengue  epidemic,   the  Government  of  Cape  Verde   launched  an  appeal   for   support   from   the   international   community   and   the  United  Nations.   UN  agencies   readily   responded   to   the   appeal.   The   United   Nations   Children’s   Fund  (UNICEF)  and  the  World  Health  Organization  (WHO)  deployed  technical  expertise  to  Cape  Verde.  In  particular,  WHO  facilitated  the  arrival  of  South-­‐‑South  expertise  from  Thailand,   Senegal   and   Brazil   to   support   Government   hospitals   and   doctors   in   case  management.  The  UNICEF  office  in  Senegal  contributed  mosquito  nets  to  be  used  in  hospitals  and  health  centres.  Additional  UNICEF  support   included  deployment  of  a  communications   expert   for   the   design   of   a   nationwide   campaign   to   inform   the  population  about  preventative  measures.5    

                                                                                                               3        United  Nations  Cape  Verde,  UN  website.  www.UN.org.cv  -­‐‑    Annual  Report  for  2009.  

4          Ibid.    

5          UNICEF  Proposal,  November  17,  2009.    

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Request  to  CERF  

14. As   the  epidemic  widened,  however,   the  support  proved   insufficient   to  cover  needs.  While  WHO   and   other   technical   partners   readily   identified   abandoned   houses   and  cisterns,  automobile  wrecks  and  the  sewage  treatment  station  as  major  points  of  risk  in   Praia,   insufficient   funding   was   available   for   specific   action   to   be   rapidly   taken.  UNICEF  and  WHO  then  worked  with  OCHA  in  formulating  a  timely  CERF  request,  which   was   swiftly   approved.  WHO   received   funds   from   the   CERF   to   support   the  Government   of   Cape  Verde   in   controlling   the   dengue   fever   outbreak   and  UNICEF  received   funds   for   vector   control.   6   The   table   below   shows   the   amounts   requested  from   the   CERF   and   provided   to   the   two   agencies,   and   the   dates   for   which  submissions  and  responses  were  made:      

 Table  2.  CERF,  time  from  submission  to  signature  of  Letter  of  Understanding  (LOU)      

TYPE   AGENCY  

TOTAL  REQUIRED  (FOR   DENGUE  RESPONSE)     TOTAL  CERF    

DATE  SUBMISSION  

DATE    ERC  APPROVAL  AND  LOU  SENT  

   DATE   LOU  SIGNED7  

RR   WHO   US$  600,000   US$  314,580   20  Nov.  *   25  Nov.    3  Dec  

 RR   UNICEF   US$  210,000   US$  159,758   20  Nov.*   25  Nov.    7  Dec  

Total       US$  810,000   US$  474,338          *   Note:   Original   first   submission   was   made   17   November,   and   revised   completed   20  November,  2009.      

Small  grant    15. The   chart   below   describes   the   activities   that  were   included   in   the   CERF   grant   and  

demonstrates  the  complementary  and  integrative  aspects  of  the  Dengue  management  strategy:      

 

 

 

                                                                                                               6 2010,  Annual  Report  of  the  Resident/Humanitarian  Coordinator  in  Cape  Verde.  Petra  Lantz,  reporting  period:  

December  2009  to  March  2010.      

 

 

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Table  1.    Project  Description:  Management  of  Dengue  in  Cape  Verde      

Sectors Objectives Expected Outcomes

Health •   To   provide   continuous   health  information   and   strengthen  surveillance   and   early   detection   and  confirmation   as   well   as   investigation  in  Dengue  affected  municipalities  and  Islands  

 

• An  adequate  surveillance  system  to   identify     target   areas   for  urgent   intervention   for   all  stakeholders  in  place;  

• Technical  teams  are  in  place  with  adequate   knowledge   for   early  detection,  diagnosis  and    prompt  referral   of   cases   requiring  supportive  clinical  care;  

• Laboratory   capacities  strengthened   for   case  confirmation   (including   co-­‐‑infection   of   dengue   and   A  H1N1)   and   severe   cases  monitoring.  

• To   contribute   to   the   coordinated  provision  of  essential   life  saving  care  of  severe  dengue-­‐‑affected  population  

 

• Essential   laboratory   equipment  and  medical   supplies   in  place   to  properly   diagnose   and   manage    DHF/DSS   cases   and   prevent  fatalities;  

• Adequate   and   trained   health  workers  and  experts  deployed  to  diagnose   and   support   DHF/DSS  and   co-­‐‑infection   case  management   and   prevent  fatalities;  

• Treatment   protocol   and   control  measure  guidelines  are  available  in  all  treatment  centres.  

WASH • To  support  physical  and  chemical  vector  control  interventions  to  reduce  vector   population   and   stop  transmission  chain.  

• Opened   concrete   inappropriate  cisterns  of  abandoned  houses  are  closed.  

• Waste   accesses   of   abandoned  houses  are  treated  and  closed.  

• Useless   automobile   wrecks  with  rainwater  storage  risk  are  moved  and  destroyed.  

• Rainwater  pockets  are  eradicated  or   treated   with   appropriate  equipment.  

• Critical   domestic   water   storages  are   treated   with   appropriated  equipment  and  closed.  

• Stagnant   water   at   the   sewage  

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treatment   station   of   Praia   is   net  protected.  

• Half   of   the   lamellar   decanter   of  the   sewage   treatment   station   is  put  in  stand  by  

• To   support   urgent   social  mobilization   to   prevent   bad   hygiene  practices   at   intra   and   extra  domiciliary  levels  

• Critical   vector   cottages   are  localised  trough  for  orienting  the  collective  intervention.  

• Adequate   social   control   vector  practices   messages   are   received  by  the  communities.  

• Adequate   social   control   vector  messages   are   understand   by   the  communities.  

• Adequate   social   control   vector  messages   are   practised   by   the  communities.  

• None   appropriated   control  vector  are  continually  adjusted.  

 

16. The  CERF  grant  to  Cape  Verde  represents  a  very  small  grant  compared  to  others,  and  it   also   involved   relatively   few   agencies.   The   charts   below   show   the   difference  between  distribution  of   funds  by   agency  of   total  CERF  over   the   four   years   and   the  distribution  in  Cape  Verde;  with  only  two  agencies  involved.      

 

Chart  1.  Global  Distribution  of  CERF  by  agency  compared  with  Cape  Verde    

 

 

 

 

 

 

The   two   projects   were   interlinked   and   complementary.   The   UNICEF   component   was   to  support  vector  control  (so  that  mosquitoes  who  pass  dengue  were  prevented  from  breeding)  and  WHO  was  to  support  early  case  detection,  proper  treatment  of  cases,  and  better  outreach  to   the   community.  WHO   and  UNICEF   coordinated   through   the   sector   system,  within   the  joint  UN  planning  mechanism  in  the  country.        

 

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2. PROCESSES

2.1 Appropriateness/Relevance 17. The   sudden   and   extreme   nature   of   this   dengue   outbreak   was   evident   by   its   rapid  

spread  and  high  fatality  rate  (4%  of  those  with  Hemorrhagic  Dengue  type).    However,  nearly  one  month  had  elapsed  by  the  time  the  full  process  had  been  completed:    from  the   submissions  being  completed   (17  November),   then   revised   (20  November),   then  sent  and  approved  by  the  USG  (25  November),  and  Letters  of  Understanding  (LOU)  were  signed  (7  December  and  10  December  for  WHO  and  UNICEF  respectively).8      

18. One   interesting   finding   in   the   literature   is   the   fact   that   the  LOU  was   signed  by   the  Deputy  Executive  Director  of  UNICEF  on  1  December   (Tuesday)  and   the  USG  only  on  7  December  (next  Monday).  It  is  unknown  why  it  took  more  than  a  week  for  this  process,   but   it   is   likely   because   agencies   were   using   their   own   funding   without  difficulty  and  hence  did  not  feel  the  urgency  to  ensure  these  processes  were  faster.        

19. The  literature  review  indicate  that  the  epidemic  was  declared  on  4  November,  which  would  indicate  that  the  CERF  request  was  actually  submitted  some  13  days  after  the  start  of  the  outbreak.  While  the  CERF  Secretariat  acted  quickly,  it  took  the  agencies  an  additional  two  weeks  to  sign  the  LOU  and  for  funds  to  be  dispersed.  Was  the  process  of  using  CERF  in  this  manner  appropriate  and  relevant  –  given  the  nature  of  such  a  sudden  and  rapidly  spreading  emergency?  Trends  over   time  suggest   that   cases  had  already   been   reduced   before   the   CERF   arrived,   and   no   subsequent   rise   in   dengue  cases  was   reported.   Thus,   the  CERF  process   seemed   both   appropriate   and   relevant  because  the  both  WHO  and  UNICEF  could  expend  funds  as  of  24  November,  when  the  grant  was  approved.        

20. In  addition,  common  trends  of  dengue  in  other  parts  of  the  world  show  a  peak  in  the  number  of  cases  within  weeks,  and  this  often  stays  high  for  several  months.9  Yet  this  was  not  the  case  in  Cape  Verde.  The  number  of  cases  was  reduced  to  almost  normal  within  five  weeks.  (See  following  Graph).  CERF  processes  enabled  a  resurgence  of  the  outbreak  to  be  prevented.      

2.2 Effectiveness 21. While  it  appears  that  staff  worked  quickly  on  the  ground  to  meet  the  Government’s  

requests   for   priority   actions10   (even  without   humanitarian   reform   structures),   some  comments  from  the  agencies  suggest  they  also  felt  the  submission  to  the  CERF  would  

                                                                                                               8     Source:  CERF  Secretariat  documents  provided  -­‐‑  scanned  letters  and  LOU  signed  by  agencies.      

9                Siquera  et  al.  Dengue  Fever,  Brazil  –  1981  –  2002.  Emerging  Infectious  Diseases,  www.cdc.gov.ed.  Vol  11,  No1.  Jan  2005.  Note:  most  Dengue  patterns  reach  a  height  within  weeks  and  either  plateau  or  eventually  reduce  for  various  reasons,  including  vector  cross  breeding  patterns  and  immunity  among  host  populations.  

10     The   UN   Resident/Humanitarian   Coordinator’s   Annual   Report   for   Cape   Verde,   covering   the   period  November   2009   to  March   2010,   states:   “UNICEF   and  WHO  worked  with  OCHA   in   formulating   a   timely  request,  which  was  swiftly  approved.”    

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have   been   more   effective   if   it   had   been   made   earlier.11   Perhaps   such   a   delay   was  because   CERF   experience   was   lacking   among   staff   in   Cape   Verde,   and   the   CERF  Secretariat  was  unable  to  deploy  staff  to  assist  in  the  preparation  of  the  submission.      

22. There  is  evidence,  in  the  project  submissions,  that  partners  were  effectively  consulted  in   the   submission   preparation.   Partners   included   the   “Câmara   Municipal”   (local  government   authorities   for   the   city   of   Praia),   the   Department   of   Environment   and  Sanitation,  the  Department  of  Civil  Protection,  along  with  local  NGOs  e.g.  Red  Cross  partnership.   At   the   executive   level,   when   the   outbreak   was   occurring,   a   daily  coordination  meeting  was  held  at  the  Sanitary  Department  National  Centre  (CNDS),  including   the   Ministry   of   Health,   National   Civil   Protection,   Câmara   Municipal  (Praia),  WHO  and  Pasteur  Institute,  as  well  as  other  health  partners  such  as  Médecins  Sans  Frontières  Switzerland  (MSF-­‐‑S).12    Thus  effective  coordination  mechanisms  were  in   place   to   support   the   formulation   and   monitoring   of   the   CERF   in   the   work   of  dengue  control.        

 

2.3 Efficiency 23. The  efficiency  of  the  CERF  process  appeared  to  be  strengthened  by  the  very  specific  

nature  of  the  request  and  the  limited  number  of  UN  agencies  involved.  With  the  very  specific   nature   of   the   crisis   (a  disease   outbreak)   and   the   few  UN  agencies   involved  (WHO  and  UNICEF),   the  proposals   could  easily  be  developed   in   coordination  with  the  respective  line  ministries.    

24. Moreover,  efficiency  appeared  to  be  supported  by  the  small  size  of  Cape  Verde,  and  the   existence   of   significant   partnerships   in   the   country   arising   from   the   UNCT’s  strong   history   of   interagency   coordination   within   the   development   context   (e.g..  UNDAF  and  One  UN).13  This  probably  had  a  positive  impact  on  the  efficiency  of  the  process   in   the   coordination,   identification   of   priorities,   and   formulation   of   the  proposals.   However,   because   the   structures   existed   for   longer   term   planning,   they  were  not  necessarily  adapted  to  a  rapid  response.      

25. However,   it   is   worth   noting   that   the   International   Federation   of   the   Red   Cross  (IFRC)’s  Disaster   Emergency  Response   Fund   (DREF),   for   example,  was   used   in   the  first  weeks  of  the  crisis  whereas  the  CERF  funding  arrived  only  after  the  peak  of  the  epidemic   (see   graph   below).   This   comparison   is   crude   and   may   be   misleading  because   the  DREF  amount  was   far  smaller,14   the  mechanism  is   rather  different   from  

                                                                                                               11              UN  One.    Report  on  the  Health  Reform  Process.    February,  2010  (http://www.un.cv/files/SP8.pdf)  

12     UNICEF,  Dengue  Outbreak,  Original  Application,  17  November,  2009.      

13                http://www.un.cv/dao.php#10  

14     The  amount  was  small  and  only  US$  152,624  in  DREF  was  raised  to  support  450  Red  Cross  volunteers  that  provided  community-­‐‑based  promotion  and  sanitation  support.    It  is  likely  that  this,  along  with    CERF  had  a  positive   outcome   on   the   reduction   of   the   outbreak.   See   IFRC   Website:    http://www.ifrc.org/docs/appeals/09/MDRCV001do.pdf  

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the  CERF,  and  as  suggested  above,  UNICEF  and  WHO  used  the  CERF  to  reimburse  other  funding  used  to  jump-­‐‑start  their  operations.15  

 

 

 

Graph  1.      

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

26. Nevertheless,   some  agency  staff   felt   that   the   submission   should  have  been  made  20  days  earlier  and  this  would  have  been  more  efficient.  There  is  little  in  the  literature  to  pinpoint  why   the   team  waited.     In  all   likelihood,   it  was  due   to  staff   inexperience   in  using  the  CERF,  a   lack  of  emergency  personnel  among  UN  agencies   in  Cape  Verde,  and  low  awareness  that  the  CERF  could  be  used  in  a  disease  outbreak,  where  use  of  CERF  is  not  as  common  as  in  other  types  of  disaster.    

 

                                                                                                               15     Comments  from  UNICEF  and  WHO  staff  on  original  draft  f  this  report.    

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3. OUTPUTS

3.1 Appropriateness/Relevance 27. The  CERF  outputs  were  appropriate  and  relevant  insofar  as  they  seemed  strategic  to  a  

disease  crisis,  with  high  a  mortality   risk  and   the  need   to  stop   the  disease  spreading  through  better  vector  control  and  case  management.  The  CERF  was  granted  in  full  to  WHO  and  UNICEF  according   to   their   estimated   requirements.  WHO  assessed   total  funding   requirements   at   US$   600,000,   then   requested   and   received   US$   314,580  toward   this.   UNICEF   assessed   total   funding   requirements   at   US$   210,000,   then  requested   and   received  US$   159,758   toward   this.   Both   agencies  were   implementing  activities   for   which   they   have   special   expertise   and   which   were   technically  appropriate  to  the  crisis.    

28. The  outputs  were  also  appropriate  to  the  geographical  dimension  of  the  outbreak.  As  dengue   has   no   vaccine   and  would   impact   all   populations   and   age   groups   equally,  WHO   geared   its   activities   toward   more   efficient   disease   detection,   control   and  treatment,   to  reach  the   total  population  that  would  be  at  risk.  This   included  354,771  people   (among   them   58,022   children   and   189,960   females)   living   in   high   epidemic  zones  in  the  capital  and  on  a  few  islands.    UNICEF  targeted  its  sanitation  and  vector  control  activities  to  poorest  groups  in  Praia  city  only  -­‐‑  and  this  included  a  coverage  of  127,524   people,   of  which   14,583  were   children   and   65,305  were   females.     Thus,   the  interventions,  the  target  areas  and  the  specific  life  saving  nature  of  the  outputs  were  all  appropriate  and  relative  to  the  crisis.  

3.2 Effectiveness 29. The  incidence  of  dengue  had  already  been  reduced  by  the  time  the  funds  arrived,  due  

to  various  interventions:  the  DREF  (Red  Cross  grant);  arrival  of  international  experts  borrowed   from  other   countries;   concerted   efforts   by   the  Government  using   its   own  funds  (the  Government  gave  US$  500,000  to  the  efforts),  and  the  borrowing  of  funds  in  a  private  loan  arrangement  by  the  municipality.16  Thus  the  CERF  was  effective  only  in  so  far  as  all  other  partners  were  compliant  and  committed  to  supplementing  CERF  funding   with   other   funding   sources,   and   had   confidence   that   CERF   approval  indicated  the  funding  would  be  disbursed  in  the  near  future.    

30. Further,  the  CERF  funded  the  WHO  support  to  permanent  laboratory  structures  that  would   serve   the   country   to   prevent   a   resurgence   of   dengue   in   the   future   (through  early   case   detection)   and   also   other   possible   diseases   that   might   threaten   the  population  in  the  future,  such  as  H1N1  and  other  communicable  diseases.    Thus,  the  outputs   were   both   effective   in   stemming   the   immediate   outbreak,   but   also   in  preventing   future   possible   disease   spread.   Indeed,   a   literature   search   on   events  following   the  outbreak   showed   that  no   further  dengue  outbreaks  were   experienced  later  on  in  the  year  during  the  June  to  October  rainy  season.  17      

                                                                                                               16     RC/HC  Annual  Report  on  use  of  CERF.  March  2010.    

17       Ibid.    

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3.3 Efficiency 31. The  CERF  outputs  were  efficient,  because  the  spread  of  Dengue  Fever  was  prevented,  

and   thus,   lives   were   saved.   The   choice   of   partnerships   was   well   articulated   in   the  proposals  and  appropriate  to  the  context.  Expertise  from  various  sources  were  pooled  and   in   the   case   of   UNICEF,   over   a   three  month   period,   CERF-­‐‑supported   activities  were  implemented  by  the  “Câmara  Municipal”  of  Praia  and  “Civil  Protection”.      

32. The  choice  of  the  Municipality  of  Praia  as  the  main  executor  of  the  sanitation  aspect  of  the   project   contributed   to   the   efficiency   of   the   outputs,   and   directly   implemented  through  a  collaboration  of  its  internal  services  with  environment  and  sanitation,  Civil  Protection,   fire-­‐‑fighters,   the  police,   the  army,   local  NGOs,  and  communities   leaders.  In   addition,   some   1,000   staff,   and   20   appropriate   and   functioning   vehicles   with  adequate  equipments,  were  made  available  for  the  implementation  of  CERF  funds.    

33. In  the  case  of  WHO,  expertise  was  brought  in  and  seven  staff  hired  in  order  to  train  local   health   staff   and   to   improve   the   management   of   the   disease   at   all   levels:  community,   early   detection   (laboratory   strengthening),   case   management   and  treatment,   epidemiology   and  prevention.   Forty   health   personnel  were   thus   trained.  The   laboratory   capacity  of   the   country   received  major   support  with   equipment  and  supplies   through   the   CERF,   which   would   have   increase   the   efficiency   in   the  management  of  future  outbreaks  of  both  this  and  other  diseases.          

34. Cross-­‐‑cutting   issues,   such  as  gender  and  environment,  were  automatically   included  in  project  outputs,  given  the  nature  of  working  with  the  most  vulnerable  populations  to  prevent  vector  control  as  well  as  early  case  detection  and  management.  Given  the  gender  disparity  in  Cape  Verde  and  the  precarious  state  of  women,  the  projects  were  able  to  efficiently  target  to  geographical  areas  with  highest  risk  groups.        

35. Using  CERF  funds  for  paying  international  staff  experts  by  WHO  was  important  for  bolstering  the  capacity  for  case  detection  and  management  of  the  disease.  This  will  be  the  case  where  an  emergency  presents  the  demand  for  high-­‐‑level  technical  staff  that  is  not   found   in   the   local   situation.   The   CERF   allowed   for   the   prompt   deployment   of  essential  international  staff,  and  their  presence  appeared  to  have  a  multiplying  effect  in  strengthening  local  capacities.          

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4. OUTCOMES

4.1 Appropriateness/Relevance 36. The  CERF  was  an  appropriate  means  of   responding   to   the  phase  of  a  major  disease  

outbreak,  and  the  outcomes  were  relevant  to  the  needs  of  the  emergency.  As  soon  as  the  CERF  funding  was  approved  on  23  November,  both  WHO  and  UNICEF  were  able  to  sustain  support  for  activities  that  had  already  been  initiated  –  and  the  Government  and  partners  were  able  to  respond  accordingly.18    

37. For  UNICEF,   outcomes  were   also   relevant   to   sustaining   reduction   of   the   outbreak:  surveillance  and  assessment  of  vector  breeding,  provision  of  equipment  and  activities  required  for  vector  control,  and  construction  materials  to  fill-­‐‑in  spaces  where  standing  water  could  support  vector  breeding,  as  well  as  sanitation  treatments.      

38. Overall,   the   CERF   was   appropriate   in   terms   of   the   total   funding   outcome   for  responding   to   the  dengue  outbreak  and  represented  some  half  of  all   funds  received  by  the  UN  to  respond  to  the  crisis.  The  table  below  describes  the  CERF  grant  relative  to  humanitarian  needs  and  total  funds  raised  by  the  UN  system:  

 

Table    2.  Overview  of  Humanitarian  Funding  and  CERF  RR  grant  in  Cape  Verde      

Amount  required  for  the  humanitarian  response:    

$1,309,169  

Total  amount  received  for  the  humanitarian  response:    

$973,507    

Breakdown  of  total  country  funding  received  by  source:    

a)  CERF  $474,338    

b)  COUNTRY  LEVEL  FUNDS  and    OTHER  RAISED  (Bilateral/Multilateral)  $499,169    

Source:  Annual  Report  on  CERF,  UN  RC/HC  in  Cape  Verde,  March  2010.  

 

4.2 Effectiveness 39. Especially   in   the   area   of   health,   some   of   the   goals   of   the  CERF  were   adjusted   over  

time,   given   that   the   outbreak   had   been   contained   by   the   time   the   CERF   arrived.  According  to  WHO,  outbreaks  of  further  disease  spread  were  prevented  by  the  CERF  –   increasing   UN   effectiveness   in   future   life-­‐‑saving   activities.   WHO   was   able   to  strengthen   the   laboratory   and   general   epidemiological   capacities   in   the   country.  

                                                                                                               18     Lantz  Petra,  Annual  Report  of  the  Resident/Humanitarian  Coordinator  on  the  Use  of  CERF  grants.  Period  

December  2009  to  March  2010.    

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UNICEF   was   able   to   reduce   all   vector   breeding   points,   including   through   its  community  education  and  outreach  programmes  of  the  municipality.  19      

4.3 Efficiency 40. Achieving   the  efficiency  of  outcomes  was  hampered  by   the  unpredictable  nature  of  

the  crisis.  By  the  time  this  disease  outbreak  was  detected  in  Cape  Verde,  there  was  a  very  small  timeframe  in  which  to  prevent  it  from  becoming  an  epidemic,  especially  in  the  crowded  conditions  and  amongst  vulnerable  populations  in  Praia.  However,  the  fact   that  CERF  was  available,  even  if   late,  did  allow  the  Cape  Verde  Government  to  take  out  a  private  loan  to  buy  the  equipment  needed  to  reduce  vector  breeding.        

41. One   observation   from   UNICEF   reported   an   increase   in   the   costs   of   construction  material   in   the   middle   of   the   project.20     This   may   indicate   a   local   inflation   due   to  demand  due  to  the  emergency,  leading  to  increased  costs  for  the  project  with  lowered  efficiency.   Bidding   and   correct   UN   procedures   need   to   be   always   used   in   any  situation   where   CERF   funds   are   used,   even   if   they   are   used   to   reimburse   a   loan.    Given  the  limited  scope  of  the  desk  review  and  limitations,  there  was  an  inability  to  confirm  if  a  standard  UNICEF  type  bidding  procedures  was  used  by  the  government,  using  private  loans.  If  not,  this  could  create  an  “artificial  inflation”.          

                                                                                                               19       Barbazan,P,  Yoksan,  S,  Gonzalez,  JP,  Dengue  hemorrhagic  fever  epidemiology  in  Thailand:  description  and  

forecasting  of  epidemics.  Microbes  and  Infection,  Volume  4,  Issue  7,  June  2002,  Pages  699-­‐‑705    

20       UNICEF,  Cape  Verde,  Monitoring  Report  (included  in  Annual  Report),  March  2010.    

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5. CONTRIBUTION 42. The  CERF  was  definitely  used   appropriately   to  meet   time-­‐‑critical   life-­‐‑saving  needs.  

Cape  Verde  was  overwhelmed  with   the  dengue  outbreak.  Hospitals  were  operating  with   limited  number   of   health  workers  with   little   or   no   experience   in  managing   of  severe  dengue  cases.  When  the  disease  reached  Praia,  given  its  crowded  conditions,  a  full  epidemic  was  occurring.    

43. Dengue  haemorrhagic  fever  and  shock  syndrome  are  an  immediate  threat  to  life  and  carried   a   high   fatality   rate   in   Cape   Verde:   4%   of   all   people   died   who   had   the  hemorrhagic  form  of  the  disease.  Early  detection  and  bringing  patients  to  the  hospital  for  appropriate  case  management  was  one  of  the  primary  ways  to  save  lives,  and  this  was  strongly  improved  through  the  WHO  CERF  grant.      

44. Equally,   lives   were   saved   through   the   UNICEF   component   of   the   CERF   where  prevention  activities  eliminated  all  places  for  the  vector  to  breed  (abandoned  cars  and  other  useless  water  depositories)  as  well  as  the  closing  of  cisterns.    

45. CERF   funds  also   contributed   to  preventing   further   loss  of   life,   though   stopping   the  resurgence  of  the  disease  during  the  rainy  months  of  June  through  October  2010.21    

                                                                                                               21       Although   the   documents   included   in   this   desk   review   did   not   include   the   period   after   March   2010,  

examination   of   health   statistics   under   UN   UNDAF   reporting   for   Cape   Verde,   (www.UN.cv)   showed   no  second   dengue   outbreak   reported.   Thus   the   late   funding   could   have   reduced   the   possibility   of   a   later  outbreak,  which  would  be  equally  life  saving.        

 

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6. CONCLUSIONS 46. A  primary  constraint  of  the  CERF  in  Cape  Verde  was  a  lack  of  experience  within  the  

UN  Country  Team  in  responding  to  emergencies,  and  a  lack  of  familiarity  with  CERF  procedures   and   parameters.   If   there   had   been   a   request   at   the   earliest   sign   of   a  potential   outbreak,   rather   than   after   it   had   already   erupted,   then   CERF  may   have  been   more   effective   in   preventing   mortality.   However,   the   UN   waited   for   the  Government   to  declare  an  epidemic,  and   thus   the   requirements  were   identified   late  into   the   process,   leading   to   the   need   for   Government   and   UN   agencies   alike   to  borrow  funds  for  response,  until  CERF  was  disbursed.      

47. Cape  Verde  had  never   experienced   a  dengue  outbreak  before   and   the  UN  Country  Team  lacked  experience  about  the  disease  and  its  potential  devastation.  This  raises  an  interesting   paradox:   in   order   for   CERF   to   be   fully   effective   and   used   efficiently,   it  must  be  identified  as  necessary  early  in  the  crisis,  in  many  cases  by  technicians  with  little   experience   of   emergency   funding   mechanisms.   As   the   CERF   Secretariat   said,  reflecting  on  this  problem  in  Cape  Verde,  “a  medical  doctor  is  not  normally  trained  in  management”.  Funds  arrived  late   in  Cape  Verde  because  the  request  was  made  late  in  the  progression  of  the  outbreak,  and  because  LOUs  took  too  long  to  sign.  This  may  indicate   a   need   for   managers   of   all   agencies   at   all   levels   to   recognize   that   CERF  submissions   for   rapid   response   to   disease   outbreaks   are   more   urgent   than   normal  submissions.    

48. A   major   drawback   of   the   CERF   is   that   it   lacks   stringent   controls   (bidding   etc.)  normally  applied  in  UN  agency  procurement  procedures.  Without  bidding,  or  a  more  formal  process,  some  loss  of  funds  might  occur.  Whether  the  inflation  of  construction  material  costs  was  “natural”  in  Cape  Verde  due  to  normal  inflationary  trends,  or  due  to   artificial   pricing,   needs   to   be   examined   by   the   UNCT.   It   may   be   important   to  ensure  that  fair  procurement  practices  are  in  place  for  all  CERF  funded  procurement.    

49. Complementary   funding  mechanisms   also  need   to  be  better   studied  between  CERF  and  other  potentially  efficient  response  mechanisms,  especially  in  disease  outbreaks.  It   is   recommended   that   greater   dialogue   occur   between   CERF   managers   and   the  IFRC,  and  ways  be  developed  to  use  these  funds  in  a  complementary  manner  when  such   a   crisis   occurs.   This   can   occur   at   local   country   level,   in   future   preparedness  planning   as  well   at   central   levels   for   better   complementary   emergency   response   in  general.      

50. One  positive  outcome  of   this  crisis   for   the  UN  agencies   in   the  country,  according  to  comments  of  UNICEF  staff  now  in  Cape  Verde,  is  that  emergency  preparedness  and  response   areas   are   now   included   in   the   ongoing   consultation   between   the   UN  Country  Team,  and  humanitarian  considerations  are  now  integrated  in  the  workings  of   the   UN   in   the   country.   It   is   recommended   that   the   CERF   aspects   of   emergency  response  be  incorporated  in  any  emergency  training  undertaken  at  the  country  level,  and,   especially   given   anticipated   staff   turnover,   a   Lessons   Learned   exercise   be  undertaken  on  how  CERF  was  used  in  Cape  Verde,  why  it  worked  or  did  not  work,  and  how  its  use  could  be  strengthened  in  the  event  of  any  future  disasters.    

 

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ANNEX I. LINKS TO THE TERMS OF REFERENCE AND THE INCEPTION REPORT  

The  Terms  of  Reference  and  the  Inception  Report  are  not  annexed  here  due  to  their   length.  They  can  be  found  at:  

 

Terms  of  reference:    

http://www.channelresearch.com/file_download/294/CERF_5YREVAL_Final_TOR_07.11.2010.pdf    

http://www.channelresearch.com/file_download/294/CERF_5YREVAL_Final_TOR_Appendix_V_07.11.pdf  

 

Inception  report:    

http://www.channelresearch.com/file_download/297/CERF-­‐‑5-­‐‑yr-­‐‑Evaluation-­‐‑Inception-­‐‑Report-­‐‑v200.pdf    

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ANNEX II. CERF PROCESS DESCRIPTION RAPID RESPONSE GRANT PROCESS B1. Although   there   is   a  preference   for   applications   from  a   country   team,   a  UN  agency   can  

make  a  request  for  CERF  rapid  response  window  funding  at  any  time  (e.g.  WFP  did  so  in  December  2009  in  Kenya).  The  only  requirement,  checked  by  the  CERF  Secretariat,  is  that  the   request   be   endorsed   by   the   Humanitarian   Coordinator   (HC)   or   the   Resident  Coordinator  (RC)  in  the  absence  of  an  HC.  Such  one-­‐‑off  requests  are  relatively  rare,  and  the  bulk  of  CERF  rapid  response  funding  goes  to  joint  requests  by  several  UN  agencies.    

B2. The  Emergency  Relief  Coordinator  may  also  take  the  initiative  of  suggesting  to  the  HC  or  RC  the  possibility  of  requesting  CERF  rapid  response  funding  (OCHA  2006;  2011).    This  happens  only  rarely,  for  example  after  the  2010  earthquake  in  Haiti  when  many  UN  staff,  including  top  ranking  ones,  died  and  most  UN  buildings  were  destroyed,  in  Pakistan  at  the  onset  of  the  2010  floods,  and  in  DRC  for  Equateur  Province  in  2010.  

B3. If  requested  by  the  UN  country  team,  an  informal  indication  may  be  given  by  the  CERF  Secretariat   as   to   the   likely   scale  of   the  CERF  envelope   for   the  particular   crisis.  There   is  normally   a   maximum   limit   of   US$30   million   for   any   one   emergency   or   crisis   (United  Nations  Secretariat,  Secretary-­‐‑General’s  bulletin,  2006,  2010)  but  it   is  extremely  rare  that  the   full   amount   is   allocated.   The   2010   Pakistan   floods   are   an   example.   Three   RR  allocations  were  made,  the  first  two  of  which  at  the  initiative  of  the  ERC  in  August  2010.  The   initial   allocation,   at   the   onset   of   the   floods,  was   revised   up   from   an   initial   US$10  million  to  US$16.6  million  in  consultation  with  the  HC  and  rapidly  followed  by  a  second  one  of  US$13.4  million  (i.e.  a  total  of  US$30  million).  The  CERF  finally  provided  close  to  US$42  million  for  the  response  to  the  floods.  

B4. The  CERF   Secretariat   prefers   to   see   a   draft   request   prior   to   agreeing   informally   on   an  envelope.   At   a   minimum,   the   CERF   Secretariat   has   to   be   aware   of   the   beneficiary  numbers,  justification,  funding  levels,  and  types  of  projects,  before  discussing  the  size  of  a  submission.  The  CERF  Secretariat  often  consults  with  the  ERC  on  potential  envelopes.  

B5. Joint  applications  are  prepared  by  the  country  team  with  the  UN  agencies  discussing  the  amount  to  be  allocated  to  each  cluster  (or  agencies  where  clusters  do  not  exist),  and  each  cluster  lead  agency  preparing  proposals  in  consultation  with  cluster  members.  The  level  of   formality   of   this   process   varies   a   lot,   depending   on   how   the   HC   manages   the  prioritisation  process.    

B6. The  CERF  Secretariat  reviews  the  proposals,  frequently  leading  to  adjustments  relating  to  budget  issues.  The  CERF  can  make  substantive  comments,  but  it  is  assumed  that  the  HC  and  HCT/clusters  have  the  technical  expertise  to  determine  what  the  urgent  needs  are  as  well   as   the   capacities  of   the   agencies  on   the  ground.  Once   the  Secretariat   signs  off,   the  grants  are  reviewed  and  authorised  by  the  Emergency  Relief  Coordinator  and  the  agency  in  question   signs  a  Letter  of  Understanding22  with   the  UN  Secretariat   for   the   release  of  the  funds.  

                                                                                                               22   From   second   quarter   of   2011   an   umbrella   LoU   has   been   introduced   and   agencies   will   counter-­‐‑sign   an  

approval  letter  from  the  ERC,  instead  of  signing  a  LoU  for  each  grant.  

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UNDERFUNDED EMERGENCY GRANT PROCESS

B7. Allocations   from  the  CERF  underfunded  emergencies  window  (UFE)  are  made  twice  a  year,  and  the  two  rounds  coincide  with  the  global  Consolidated  Appeal  Process  (CAP)  launch  and  the  CAP  mid-­‐‑year  review.  Allocations  are  made  to  both  CAP  and  non-­‐‑CAP  countries   with   no   predefined   division   between   these.   The   criteria   for   selection   of  countries   for   UFE   funding   are   the   degree   of   funding   shortfall,   the   severity   of  humanitarian   needs,   and   type   of   activities   and   the   implementation   capacity.   The   ERC  selects  between  17  and  24  countries  a  year  for  underfunded  emergency  support  with  the  bulk  of  funds  (typically  two  thirds)  allocated  during  the  first  round.  

B8. For   CAP   countries,   the   CERF   Secretariat   undertakes   an   analysis   of   humanitarian  indicators   combined   with   an   analysis   of   the   level   of   funding   support   for   the   CAP  (analysis   at   sector   level   for   each   CAP).   For   the   first   underfunded   round   the   previous  year’s  CAP  funding  data  is  used  for  the  analysis  whereas  the  funding  levels  at  the  CAP  mid-­‐‑year  review  serve  as  reference  for  the  second  allocation.    

B9. For   non-­‐‑CAP   countries,  UN   agencies’   headquarters   are   invited   to   vote   on  which   non-­‐‑CAP   emergencies   they   regard   as   the   most   underfunded.   The   voting   process   is  supplemented   with   details   from   each   agency   on   their   ongoing   humanitarian  programmes  in  the  proposed  countries  and  the  funding  levels  of  these.    

B10. The  CERF  Secretariat  combines  analysis  of  CAP  and  non-­‐‑CAP  countries  and,  based  on  the  UFE  criteria,  prepares  a  ranked  list  of  country  candidates  for  the  ERCs  consideration  and  decision.  The  ERC  decides  of  the  list  of  countries  for  inclusions  and  on  the  funding  envelope   for   each.   The   selected   countries   and   proposed   allocation   envelopes   are  discussed  with  agency  headquarter  focal  points.    

B11. The  amount  decided  by  the  ERC  is  notified  to   the  RC/HC  in  a   letter   in  which  the  ERC  may  direct  the  allocation,  or  parts  of   it,   to  particular  underfunded  sectors  or  regions  in  order   to   facilitate   prioritisation   and   speed   up   the   process.   The   RC/HC   will   have   to  confirm  that  the  funds  are  needed  and  can  be  implemented  according  to  the  stipulated  timeline  and  against  the  proposed  activities.    

B12. At   the   country   level,   the   allocation   process   is   similar   for   the   preparation   of   a   rapid  response  allocation.  The  only  other  differences  for  underfunded  emergencies  is  that  the  grants   for   the   first   annual   round  must   be   implemented   by   31   December   of   the   same  calendar   year   and   for   the   second   annual   round   by   30   June   of   the   next   calendar   year  (OCHA  2010).  Again,  agencies  can  ask  for  a  no-­‐‑cost  extension.  

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ANNEX III. BIOGRAPHICAL NOTICE OF THE MAIN WRITERS

 

John  Cosgrave   is   an   independent   evaluator   based   in   Ireland.  He  has  more   than   30  years  of  experience  of  humanitarian  action  and  development   in  nearly  60  countries.  His   initial   academic   training   was   in   engineering,   and   he   holds   three  masters   level  degrees  (in  engineering,  management,  and  social  science).  

After  two  decades  managing  projects  and  programmes  for  NGOs  in  the  aftermath  of  natural   disasters   and   complex   political   emergencies   John   became   a   freelance  consultant   specialising   in   the   evaluation   of   humanitarian   action   in   1997.   Since   1997  John  has  led  a  great  many  evaluations,  mostly  of  humanitarian  action,  and  including  many  joint  evaluations  of  humanitarian  action  and  several  funding  studies,  for  a  wide  variety  of  clients  including  the  UN,  Donors,  and  NGOs.  

John   was   the   Evaluation   Advisor   and   Coordinator   for   the   Tsunami   Evaluation  Coalition   and   is   used   to   working   on   politically   complex   evaluations.   He   has   well  developed  evaluation  skills  and  trains  on  humanitarian  evaluation  both   for  ALNAP  and   for   the   World   Bank   supported   International   Program   for   Development  Evaluation   Training   (IPDET).   John   combines   training   with   evaluation   and   brings  examples  from  evaluation  practice  into  the  classroom,  including  for  ALNAP  and  the  IPDET.  John’s  writing  includes  the  ALNAP  pilot  guide  for  Real-­‐‑Time  Evaluation.  

Recent   writing   by   John   include:   Responding   to   earthquakes:   Learning   from   earthquake  relief   and   recovery   operations.   (ALNAP   and   Provention,   2008)   and   the   ALNAP   Real-­‐‑Time  Evaluation  pilot  guide.    

 

Mrs  Marie   Spaak   is   an   independent   consultant   since   2008  who   has  worked   in   the  humanitarian   field   since   1992,   mostly   with   DG   ECHO   and   OCHA.   She   has   been  based  in  the  field  (former  Yugoslavia,  Great  Lakes  emergency,  Bangladesh,  Indonesia,  Russian  Federation,  Haiti  in  2009  notably)  and  worked  in  both  Brussels  (ECHO)  and  Geneva   (OCHA).   She   has   in-­‐‑depth   knowledge   of   the   UN   humanitarian   reform  process,   disaster   preparedness   and   response,   field   coordination   mechanisms   and  inter-­‐‑agency   processes,   and   direct   experience   of   different   types   of   pooled   funding  mechanisms   (Indonesia,   Indian  Ocean   tsunami,   Somalia,  Haiti).   She   is   also   familiar  with  donor  perspectives  due  to  her  experience  with  DG  ECHO  and  more  recently,  an  independent  mapping  of  humanitarian  donor   coordination  at   the   field   level   carried  out  with  Channel  Research  in  2009,  for  which  DRC  and  Sudan  were  a  case  study.  

She  is  a  Belgian  national  and  fluently  speaks  and  writes  French,  English  and  Spanish.  She  holds  a  B.A.  in  Anthropology  from  Bryn  Mawr  College,  USA,  and  subsequently  studied   international   development   cooperation   (Belgium)   and   project   cycle  management  (Spain).  

 

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M.   Jock   Baker   began   working   as   an   independent   consultant   in   1999   following   a  career   of   over   fifteen   years   in   a   series   of   field-­‐‑based   assignments   with   the   United  Nations,   including   the   United   Nations   Development   Program   (UNDP),   United  Nations  High  Commission  for  Refugees  (UNHCR),  World  Food  Program  (WFP),  and  the  Office   for   Coordination   of  Humanitarian  Assistance   (OCHA).  Mr.   Baker  works  part-­‐‑time  as  CARE  International’s  Programme  Quality  &  Accountability  Coordinator  at   the  CARE   International   Secretariat   in  Geneva,   Switzerland  where   he   is   the   focal  point   for   CARE’s   accountability,   program   quality,   disaster   risk   reduction   and  transition   programming.   Mr.   Baker   has   led   a   number   of   thematic   reviews   of  organizational   policy   in   addition   to   participating   in   and   leading   a   number   of  assessments,   appraisals,   participatory   reviews   and   evaluations   and   he   is   skilled   in  workshop  design  and  facilitation.    He  holds   a  BSc   in  Biological   Sciences   from   the  University   of  Edinburgh   and   a  MSc  degree  in  Economics  from  the  London  School  of  Economics  &  Political  Science.  Mr.  Baker’s  assignments  as  an  independent  consultant  include  Team  Leader  for  and  Evaluation   of   UNHCR’s   Kosovo   Women’s   Initiative,   Senior   Evaluator   for   an  Interagency   Real-­‐‑Time   Evaluation   of   Cyclone   Nargis   commissioned   by   UNOCHA,  Micro-­‐‑Finance   Specialist   &   Conflict   Analyst   for   an   Asian   Development   Bank  appraisal   in  eastern  Sri  Lanka,   contributing  author/editor   for   the  Sphere  Handbook,  technical  reviewer  for  the  World  Bank’s  Post-­‐‑Conflict  Trust  Fund,  Transition  Adviser  in   Rwanda   for   the   Program   on   Negotiation   at   Harvard   Law   School,   disaster  management   technical   adviser   for   CBS   Film   Productions   Inc.,   IDP   Relief   &  Reintegration  Adviser   for   the  Government   of   the   Philippines   and  Local   Integration    Specialist    for  UNHCR  in  Indonesia.      Mr.  Baker  has  also  managed  or  led  a  number  of  humanitarian  evaluations  for  CARE  International,   including   an   interagency   evaluation   for   INGO   tsunami   responses,   an  interagency   evaluation   following   hurricane   Stan   in   Guatemala   in   2005   and   an  evaluation  of  CARE  Bangladesh’s  response  following  Cyclone  Sidr.    Mr.  Baker  is  also  CARE   International’s   representative   to   ALNAP   and   was   a   member   of   the   OECD-­‐‑DAC  team  which  peer  reviewed  WFP’s  evaluation  function  in  2007.      

Angela   Berry-­‐‑Koch   brings   34   years   of   humanitarian   experience   to   this   evaluation.  She  has  worked  as  a  staff  member  for  over  twenty  years  with  UNHCR  ,  UNICEF  and  OCHA.  This  consultant  brings  a  wealth  of  experience  in  nutrition,  food  security  and  child   protection   issues,   and   has   authored   numerous   important   guidelines   and  manuals   for   the  UN  system  at   large.    She  has  also  provided  consultancy  services   in  reproductive   health   and   HIV/AIDS   to   UNDP,   UNFPA   and   UNIFEM   in   various  country   offices,   primarily   in   Latin   America.   With   a   Masters   in   Science   in   Human  Nutrition  from  London  School  of  Hygiene  and  Tropical  Medicine,  she  is  an  expert  in  areas   of   food   security   and   food   aid   as  well   as   nutrition   in   humanitarian   situations,  having   forged   the   first   consultations  on  human  dietary   requirements  and  standards  of   food   aid   in   emergencies   in   the   1980’s.     In   the  past   years   she  has   revised  various  guidelines   for   the   UN   system,   including   the   UNHCR/WFP   food   assessment  guidelines   in   emergencies.   Ms.   Berry-­‐‑Koch   has   authored   many   publications,  including  those  related  to  use  of  famine  foods  used  in  the  Horn  of  Africa,  deficiency  disease   syndromes   in   refugee   populations,   and   human   rights   of   displaced  

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populations  in  Latin  America.                

 

Mrs  Cécile  Collin  is  a  permanent  area  manager  of  Channel  Research  for  5,5  years  in  charge   of   Francophone   clients   and   the   UN.   She   is   experienced   in   undertaking  complex   consultancies   missions,   evaluations,   mid   term   review   and   impact  assessments   related   to   international   assistance,   emergencies   and   post   disaster  support.  She  has  been  a  consultant  in  more  than  16  missions,  most  of  them  in  Africa,  notably   the  Democratic   Republic   of   Congo   and  Central  African   Republic   including  governance,  interventions  in  unstable  context,  peace  building,  protection  and  human  rights.   She   has   practical   experience   of   developing   and   implementing   policies   and  strategies  in  the  areas  of  multi-­‐‑sectoral  initiatives.      

In   2006,   she   created   Channel   Research   Burundi,   subsidiary   of   Channel   Research  Belgium   in   the   Great   Lakes   with   the   aim   to   promote   African   expertise   and   local  capacity   building.   She   took   part   notably   to   the   CHF   evaluation   in   Central   African  republic,   evaluation   of   Conflict   Prevention   and   Peace   Building   Programme   for   11  donors,   bilateral   and   multilateral   in   Eastern   DRC,   evaluation   of   post-­‐‑disaster  programmes   of   the   AFD   (Agence   Française   de   Développement),   a   fact   finding  mission  in  Central  African  Republic  and  evaluation  of  rapid  humanitarian  assistance  using  Norwegian  6x6  military  trucks  for  NORAD.    

As  a  consultant,  Mrs  Collin  benefits   from  a  good  knowledge  of  different  evaluation  and   impact   assessment  methodologies   as  well   as   of   general   skills   in   organizational  and   financial  analysis,  economics,   communication  and  management,  as  a  graduated  in   Social   sciences   and   economics   (BA)   and   business   administration,   performance  monitoring  (MA).  Mrs  Cécile  Collin  is  a  French  national  and  speaks  English,  French,  Italian  and  German.  

 

Mrs  Annina  Mattsson  is  a  full-­‐‑time  area  manager  and  evaluator  at  Channel  Research.  She   has   experience   in   the   evaluation   of   humanitarian   aid,   peace   building   and  development   programmes   in   the  Middle  East,  Africa,   and   South  Asia.  Working   for  Channel  Research,  Mrs  Mattsson  has  gained  experience  of   large  multi-­‐‑donor,  multi-­‐‑sector   and   multi-­‐‑country   evaluations.   She   was   a   key   team   member   in   the   Sida  commissioned  follow-­‐‑up  evaluation  of  the  linkages  between  relief,  rehabilitation  and  development  in  the  response  to  the  Indian  Ocean  tsunami,  the  joint  donor  evaluation  of  conflict  prevention  and  peace  building   initiatives   in  Southern  Sudan  and  has   just  finished  managing  and  working  on  the  OCHA  funded  evaluation  of  the  CHF.  A  part  from  being  an  evaluator,  she   is  also  advising  organizations  on  their  monitoring  and  evaluation  systems.    

Mrs   Mattsson   has   carried   out   short-­‐‑   and   longer   term   missions   to   Bangladesh,  Indonesia,   Jordan,   Kenya,   Kosovo,   Liberia,   Maldives,   Palestinian   Territories,   Sierra  Leone,  Sri  Lanka,  Sudan,  Thailand,  Uganda  and   the  United  Arab  Emirates.  She   is   a  Finnish  citizen,  based  in  Dubai,  and  speaks  fluent  Finnish,  Swedish,  English,  Spanish  and  French,  while  she  is  conversational  in  colloquial  Arabic.  

 

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ANNEX IV. INTERVIEWS Note:  No  persons  were    met  in  Desk  Reviews.    

Cape Verde Number Location

CERF Secretariat 1 (Interview and written comments.)

New York

OCHA

NGO 0

UN staff (Written comments from UNICEF and WHO.)

Cape Verde and New York/Geneva

Cluster Lead N/A

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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ANNEX V. COUNTRY PROJECTS SUMMARIES  

Agency – Window – Sector – Grant amount – Project number and emergency type Di

sbur

sem

ent y

ear

Days

to d

isbur

sem

ent

Title Activities (note: the text is unedited apart from removal of surplus carriage returns and tabs)

Revie

wed

UNICEF - RR - Water

and sanitation -

US$159,758 (09-

CEF-064) -

2009 98 Response to a massive Dengue

outbreak in Cape Verde

450 opened concrete inappropriate cisterns of abandoned houses are closed 300

waste accesses of abandoned houses are treated and closed 500 useless automobile

wrecks with rainwater storage risk of are moved and eradicated 700 rainwater pockets

are eradicated or treated with appropriate equipment 5,000 critical domestic water

storages are treated with appropriated equipment and closed 1,200 m2 of stagnant

water at the sewage treatment station of Praia is net protected 50% of the lamellar

decanter of the sewage treatment station is put in stand by 100% of critical vector

cottages are localised trough for orienting the collective intervention 95% of adequate

social control vector practices messages are received by the communities 90% of

adequate social control vector messages are understand by the communities 80% of

adequate social control vector messages are practised by the communities 100% of

none appropriated control vector are continually adjusted in a participative and gender

approach

Y

WHO - RR - Health -

US$314,580 (09-

WHO-069) -

2009 99 Response to a massive Dengue

outbreak in Cape Verde

An adequate surveillance system for rapid identification of target areas for urgent

intervention for all stakeholders in place Technical teams are in place with adequate

knowledge for case investigation Laboratory capacity strengthened for case

confirmation and sever cases monitoring Essential laboratory equipment and supplies

in place to manage DHF/DSS and severe co-infection cases Adequate and trained

health workers and experts deployed to support case management Treatment protocol

and control measure guidelines are available in all treatment centres

Y

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ANNEX VI. SELECTED PROJECTS WITH SCORES

 

Proj

ect ,

ag

enci

es, s

ecto

r, bu

dget

A

ctiv

ity

Doc

umen

ts

avai

labl

e

Gen

der M

arke

r

Rea

sons

for

scor

e

Vuln

erab

ility

mar

ker

Reas

on fo

r Sco

re

Cros

s-cu

tting

m

arke

r

Reas

on fo

r sco

re

CV: 09-CEF-064-RR. UNICEF: Water and sanitation - $159,758

• 450 opened concrete inappropriate cisterns of abandoned houses are closed. - - • 300 waste accesses of abandoned houses are treated and closed. - - • 500 useless automobile wrecks with rainwater storage risk of are moved and eradicated. - - • 700 rainwater pockets are eradicated or treated with appropriate equipment. - - • 5,000 critical domestic water storages are treated with appropriated equipment and closed. - - • 1,200 m2 of stagnant water at the sewage treatment station of Praia is net protected. - - • 50% of the lamellar decanter of the sewage treatment station is put in stand by. - - • 100% of critical vector cottages are localised trough for orienting the collective intervention. - - • 95% of adequate social control vector practices messages are received by the communities. - - • 90% of adequate social control vector messages are understand by the communities. - - • 80% of adequate social control vector messages are practised by the communities. - - • 100% of none appropriated control vector are continually adjusted in a participative and gender approach.

Initial and final proposals, overarching proposal, RC report

1 The proposal discusses targetting women and children who are said to be at risk due to the type of clothing worn. (Short clothing increased the risk of mosquito bites).

0 No particular attention to any vulnerable group other than Women and Children

0 No partiuclar attention to cross cutting issues, although there is number of abandoned car wrecks suggest that there are serious environmental and urban sanitation management concerns

CV: 09-WHO-069-RR. WHO: Health - $314,580

• An adequate surveillance system for rapid identification of target areas for urgent intervention for all stakeholders in place - - • Technical teams are in place with adequate knowledge for case investigation - - • Laboratory capacity strengthened for case confirmation and sever cases monitoring - - • Essential laboratory equipment and supplies in place to manage DHF/DSS and severe co-infection cases - - • Adequate and trained health workers and experts deployed to support case management - - • Treatment protocol and control measure guidelines are available in all treatment centres

Initial and final proposals, overarching proposal, RC report

0 No specific attention to gender.

0 No particular attention to any vulnerable group

0 No particular attention to cross-cutting issues even though the capacity limits in hospitals suggest the HR is a major issue

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ANNEX VII. BIBLIOGRAPHY  Application  Template  for    Resident/Humanitarian  Coordinators,    CERF  grants  2009,  Lanz  Petra,  Cape  Verde.        

  OCHA,  Performance  and  Accountability  Framework  for  the  Central  Emergency  Response  Fund  (OCHA,  August  2010)  

 Beck,  T.  (2006);  Evaluating  humanitarian  action  using  the  OECD/DAC  criteria  for  humanitarian  agencies:  An  ALNAP  guide  for  humanitarian  agencies.  (Overseas  Development  Institute:  London,  March  2006)    

  United  Nations,  OCHA  and  UNICEF.  LOU  letters  scanned,  and  signed  by  agencies.  2009      Siquera  et  al.  Dengue  Fever,  Brazil  –  1981  –  2002.  Emerging  Infectious  Diseases,  www.cdc.gov.ed.  Vol  11,  No1.  Jan  2005.    

  UNICEF,  2010.  Report  within  the  UN  Resident/Humanitarian  Coordinator’s  Annual  Report  for  Cape  Verde,  covering  the  period  November  2009  to  March  2010  

  Cape  Verde  -­‐‑  UN  One.    Report  on  the  Health  Reform  Process.    February,  2010  (http://www.un.cv/files/SP8.pdf)  

    UNICEF  Original  Project  Submission,  November  17,  2009.       UNICEF  Final  Project  Submission,    November  20,  2009         WHO,  Original  Project  Submission,  November  17,  2009         WHO,  Final  Project  Submission,  November  20,  2009          

WHO,  2010.  Report  within  the  RC/HC  Annual  Report  of  the  Resident/Humanitarian  Coordinator  in  Cape  Verde.  Reporting  period:  December  2009  to  March  2010.    UNICEF,    2010.  Report  within  the  RC/HC  Annual  Report  of  the  Resident/Humanitarian  Coordinator  in  Cape  Verde.  Reporting  period:  December  2009  to  March  2010.    Barbazan,P,  Yoksan,  S,  Gonzalez,  JP,  Dengue  hemorrhagic  fever  epidemiology  in  Thailand:  description  and  forecasting  of  epidemics.  Microbes  and  Infection,  Volume  4,  Issue  7,  June  2002,  Pages  699-­‐‑705.