the consolidated appeal process (cap) cap section unocha/cap
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The Consolidated Appeal Process (CAP) CAP Section www.unocha.org/cap. Outline. Part I: Common Humanitarian Strategy. Consolidated Appeal Process Flash Appeals Third kind of appeals. Part II: Humanitarian Financing. Central Emergency Response Fund (CERF) - PowerPoint PPT PresentationTRANSCRIPT
1Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
The Consolidated Appeal Process (CAP)
CAP Sectionwww.unocha.org/cap
2Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Outline
Part I: Common Humanitarian StrategyPart I: Common Humanitarian Strategy
Central Emergency Response Fund (CERF) Common Humanitarian Response Funds
(CHFs) Emergency and Humanitarian Response
Funds – (ERFs/HRFs)
Part II: Humanitarian FinancingPart II: Humanitarian Financing
Consolidated Appeal Process Flash Appeals Third kind of appeals
3Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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)Consolidated Appeal Process (CAP)
Central Emergency Revolving (in 2005 ‘Response’) Fund (CERF)
Inter-agency Standing Committee (IASC)
4Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Flash Appeal
Consolidated Appeal
Issued within five days of the onset of an emergency for up to 3-6 months
Issued within 3-6 months of emergency, and annually as needed
Flash Appeals and Consolidated Appeals
5Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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.
6Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Elements of a Consolidated Appeal
Context & needs analysis Scenarios Strategic priorities Sector-specific response plan Monitoring plan
Inventory of projects necessary to accomplish the strategy
} Common Humanitarian Action Plan (CHAP)
+=
Consolidated Appeal
7Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
“The Common Humanitarian Action Plan (CHAP) should be the main
tool of humanitarian coordination.”
(Montreux Donors Retreat on the CAP, 2000)
8Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
Why do we need it ?Appeals bring aid organizations, donors and governments together to:
Each appeal:
9Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Humanitarian Financing – the basics
DEMAND:DEMAND:(Appeals for funding)
Agency appeals Consolidated Appeal Process
SUPPLY:SUPPLY:(Funding sources)
National government Civil society NGO funds Bilateral donors Multilateral donors Private sector Pooled funds
CERF Emergency Response Fund Common Humanitarian Fund
10Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
2012 Consolidated Appeals and comparable concerted humanitarian action plans (as of 29 Nov 2011)
11Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Consolidated and Flash Appeal Funding: 2001 - 2011
Year Number of Appeals
Requirements US$
Contributions US$
% covered
2001 18 2.56 billion 1.42 billion 55%
2002 19 4.37 billion 2.95 billion 67%
2003 21 5.22 billion 3.96 billion 76%
2004 32 3.42 billion 2.20 billion 64%
2005 25 5.98 billion 4.02 billion 67%
2006 22 5.06 billion 3.38 billion 67%
2007 30 5.14 billion 3.72 billion 72%
2008 22 7.09 billion 5.08 billion 72%
2009 22 9.71 billion 6.93 billion 71%
2010 19 11.25 billion 7.19 billion 64%
2011 21 8.90 billion 5.44 billion 61%
12Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
13Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
14Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Who is involved?
Resident/Humanitarian Coordinator
UN agencies
NGOs
Red Cross/Red Crescent Movement
Donors
Affected country government
15Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
ERC/USG (Valerie Amos): responsible to IASC, SG and GA for upholding resolutions and IASC policies
Key roles in the CAP (1)
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
Credit: UN Photo/Jean-Marc Ferré
16Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Cluster lead agencies: responsible for sectoral needs assessment
OCHA headquarters:
IASC-Agency headquarters: check the draft appeal (early Nov, back to CAP Section)
Key roles in the CAP (2)
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
OCHA New York: supports OCHA field office on substantive issues; does final editing on doc (incorporating comments from IASC agency HQs)
17Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Cluster leads are responsible to:
Key roles in the CAP (3)
leadvet
develop
monitor
consult
gather
advocate
update
revise
18Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Cluster Coordinators have a crucialcrucial 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!
19Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
20Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Why should NGOs participate in the appeal planning process?
Cluster membership
Donor requirement Visibility Access to
pooled funds
21Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
HC office role
lead support
trigger
liaise
participate
ensure
advocate
decision-maker
22Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
23Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Humanitarian presence in CAR 2012
24Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Needs analysis – CAR 2012
25Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Sample Strategic Priority
providing assistance responding to violations and advocacy while intensifying campaigning against the culture of impunityhelping reinforce existing legislation promoting International Humanitarian Law and Human Rights Law restoring the dignity of survivors and community-based structures
Indicator Target
Percentage of IDPs and percentage of people with specific needs who have access to registration, urgent response to human rights violations, and basic services
75% (IDPs) and 100% (people with specific needs)
Increased number of cases of human rights violations referred to the judiciary system and the number of convictions
400 reported cases and 150 convictions
Improvement of the safety of the environment with increased awareness of human rights among all relevant actors and IDPs being located in secure environments, protected from potential attacks with adequate physical protection
A decrease in the number of attacks on civilians
Strategic Objective 2:
Protect conflict-affected people, particularly IDPs and others whose rights have been violated, by:
26Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
27Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Sectoral response plan summaryCluster/Sector lead agency(s) UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES
Co-lead UNITED NATIONS PEACE-BUILDING SUPPORT OFFICE IN THE CENTRAL AFRICAN REPUBLIC
Cluster/Sector member organizations
UNFPA, OCHA, UNICEF, UNDP, BONUCA, DRC, IRC, COOPI, ACF, IMC, UNESCO, JUPEDEC, ADEM, ACAT, AFJC, LCDH, AJJC, High Commissioner for Human Rights and Good Governance and all relevant government ministries
Number of projects 18
Cluster/Sector objectives Enhanced security and physical integrity of PoCs by creating a conducive protection environment. Improve the administration of justice by ensuring access to fair processes and procedures. Provide support for the establishment of a favourable environment for durable solutions wherever possible. Promote effective mobilization of and enhanced partnership with PoCs and local NGOs, associations and actors engaged in safeguarding the rights of PoCs.
Number of beneficiaries 216,000[1] IDPs (108,000 children, 54,000 men and 54,000 women)spontaneous returnees, victims of violations specifically based on gender and identity, and people with special needs
Funds required $13,978,066
Funds Required per priority level
Immediate: $8,713,474 High: $5,264,592
Contact information [email protected]
[1] Including spontaneous returnees, who are still considered to be IDPs due to the lack of security and durable solutions.
28Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Projects
Vetting Prioritization
29Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Project Vetting
‘‘Each CAP, and therefore each project selected for the CAP, should truly deserve 100% funding’’
Therefore, all projects must: be based on assessed needs address a strategic priority be feasible for the proposing organization be feasible within the CAP-time frame be reasonably budgeted
30Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Project Vetting: case study from Somalia
Project criteria set at CAP workshop
Sector coordination groups agree on sector objectives and priorities
TECHNICAL REVIEW:Sector chairs + NGO rep
SENIOR REVIEW:Country Reps of UN agencies
+ 2 NGO reps
Organizations submit projects
Project included
Project rejected
31Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Sample Criteria for Project Prioritization
organizational criteria
demographic criteria
geographic criteria
sector criteria
temporalcriteria
gender-marker criteria
other context-specific
criteria
32Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Priority
Compiled by OCHA on the basis of information provided by appealing organizations.
Table II: Requirements per priority level
Consolidated Appeal for Central African Republic 2012
as of 15 November 2011
http://fts.unocha.org
Original Requirements ($)
20,313,085
IMMEDIATE
80,599,110
HIGH
33,545,539, ,
MEDIUM
Grand Total 134,457,734
Good practice:
33Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
An inclusive, coordinated programme cycle
34Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
January
October April
July
CAP: Key-Dates
Programme Kick-Off Conference
(mid Jan)
Mid-Year Conference (mid July)
Local launches
Global Launch of the Consolidated Appeal
(end Nov)
CAP Field-Workshop: (Aug/Sept)
35Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Flash Appeals
36Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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…”
37Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
What is a Flash Appeal?
strategic humanitarian response plan
tool for coordination, planning, and programming
contains:
rapid needs assessment information
common humanitarianaction plan
specific sectoral response plans and projects
addresses acute
needs for up to six months
can be incorporated into
CAP, if emergency continues and needs persist
38Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Indicative time frame from crisis onset
Day 1 HC/RC triggers appeal, in consultation with HCT and government
Day 2-3 HC/RC and HCT establish strategic priorities, planning assumptions, and criteria
Day 1-3 Clusters/sectors conduct rapid needs assessment and prepare sectoral response plans with partners to input to appeal
Day 4 RC/HC, with support from OCHA, consolidates response plans into appeal
Day 5 OCHA CAP section shares draft with IASC HQs for 24 hour-review
Day 6-7 OCHA CAP section processes & electronically publishes appeal
39Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Example of a project summary box
SHELTER CLUSTER $
OXFAMPHL-09/S-NF/27810
Project Title Emergency Shelter and NFIs Assistance to Affected Population in Bulacan, Rizal, Laguna, Cavite, and in NCR if required
1,000,000
Objective Provide emergency shelter and NFIs to families whose houses have been destroyed to ensure privacy and dignity, particularly for women and children
Beneficiaries 10,000 families (55,000 people) The target group for the programme includes women-headed households, daily wage labourers, landless (both urban and rural)
Partners PDRN
40Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
The Result
FIRST EDITION:
compromise between speed and precision: the early first edition not based on comprehensive information
41Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
42Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
43Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
Third kind
Sensitivities with governments
Transitional appeals
Regional Response Plans
44Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
PARTNERSHIPSC
AP
AC
ITY
&
PR
ED
ICT
AB
AIL
ITY
FIN
AN
CIN
G
LE
AD
ER
SH
IP
STRENGTHENING HUMANITARIAN
RESPONSE
Part II: Humanitarian FinancingPart II: Humanitarian Financing
45Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section
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
46Office for the Coordinationof Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal Process) Section