EP01ContingencyPlanning

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ContingencyPlanning

HCR

Emergency

Preparedness

Competency

01U

NHCR

01UNHC

R

01UN

HCR

EP

01

Distance Learning with UNHCR and theUniversity of Wisconsin Disaster Management Center

Prepared by UNHCR Emergency Preparedness and Response Sectionin collaboration with InterWorks and the UWDMC


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Contingency Planning

Distance Learning with UNHCR and theUniversity of Wisconsin Disaster Management Center

Prepared by UNHCR Emergency Preparedness andResponse Section in collaboration with

InterWorks and the UW-DMC

HCR

Emergency

Preparedness

Competency

EP

01

Self Study Module


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Acknowledgments

This course draws heavily on Contingency Planning: A Practical Guide for Field

Staffby the UNCHR Division of Programme and Operational Support. A number

of UNHCR officers generously gave their time to be interviewed during the

development of this course including, Maureen Connolly, Bernard Doyle, Lois

Purdham-Kidane, Alfonse Malanda, Kasidis Rochanakorn, Craig Sanders, John

Solecki, Bill Tall, and Alan Vernon. Other staff in the Emergency Preparedness andResponse Section also assisted in the process.

Cover photograph

InterWorks archive Field-level preparedness and contingency planning exercise

organized by UNHCR and the Jamaican Office of Disaster Preparedness and

Emergency Management in Jamaica, 1995.


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EP01

Table of Contents

Acknowledgments ............................................................................................................... ii

Welcome and Introduction ................................................................................................... v

UNIT 1: Contingency Planning Principles ............................................................................ 1

Unit 1 Pretest ...................................................................................................................... 3

Chapter 1: Planning for Contingencies ............................................................................... 5

Contingency Planning ......................................................................................................... 5

Why Plan? ........................................................................................................................... 6

Events Suitable for Contingency Planning ............................................................................ 7Planning Process.................................................................................................................. 8

Summary .......................................................................................................................... 13

Self-Assessment Questions ................................................................................................ 15

Chapter 2: Partners In The Planning Process ..................................................................... 19

Who Should Plan? ............................................................................................................. 19

The Benefits of Partnerships in Planning ............................................................................ 21

Contingency Planning as Consensus Building .................................................................... 21

Which Partners Are Involved? ............................................................................................ 22

Planning Resources ............................................................................................................ 24

Summary .......................................................................................................................... 25Self-Assessment Questions ................................................................................................ 26

Chapter 3: Initiating and Maintaining the Process ........................................................... 29

Initiating the Process ......................................................................................................... 29

Maintaining the Plan ......................................................................................................... 30

Planning Team Processes ................................................................................................... 33

Summary .......................................................................................................................... 35


UNIT 2: Contingency Planning Tools ................................................................................. 41

Unit 2 Pretest .................................................................................................................... 43Chapter 4: Contingency Planning Scenarios and Projecting Needs ................................. 45

Contingency Planning Scenarios ........................................................................................ 45

Generating Scenarios ........................................................................................................ 48

Projecting Needs ............................................................................................................... 49

Developing the Needs Table .............................................................................................. 52

Testing the Assumptions .................................................................................................... 56

Summary .......................................................................................................................... 57



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Contingency PlanningEP01

Chapter 5: Resource Assessment ........................................................................................ 61

Resource Inventories.......................................................................................................... 61

How to Prepare Resource Inventories................................................................................. 62

Physical Resource Inventories ............................................................................................. 63Human Resource Inventories ............................................................................................. 65

Sectoral Lists ..................................................................................................................... 68

Summary .......................................................................................................................... 70


Chapter 6: Identifying Service Gaps ................................................................................... 77

Identifying Potential Gaps ................................................................................................. 77

Timeline Gap Identification Sheets..................................................................................... 80

Summary .......................................................................................................................... 84


UNIT 3: Process and Plan Example ..................................................................................... 89Unit 3 Pretest .................................................................................................................... 91

Chapter 7: Starting the Process and Working With the Roundtable .............................. 93

Introduction ...................................................................................................................... 93

Initiation ........................................................................................................................... 94

Managing the Process ....................................................................................................... 97

Conducting the Roundtable .............................................................................................. 99

Other Functions of the Roundtable.................................................................................. 104

Summary ........................................................................................................................ 107

Self-Assessment Questions .............................................................................................. 108

Chapter 8: The Working Group and Sector Teams ......................................................... 111

Functions of the Working Group ..................................................................................... 111

Functions of the Sector Teams ......................................................................................... 116

Data Which Are Not Published in the Plan ....................................................................... 122

Summary ........................................................................................................................ 123

Self-Assessment Questions .............................................................................................. 124

Chapter 9: The Core Team: Preparing the Draft ............................................................. 129

Introduction .................................................................................................................... 129

Specific Components Prepared by The Core Team ........................................................... 132

Summary ........................................................................................................................ 134Self-Assessment Questions .............................................................................................. 135

Epilogue: What Happened in Ruritania? .......................................................................... 137

Enrollment, Final Examination and Course Evaluation .................................................. 139


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EP01

Welcome and Introduction

Welcome to this self study course on Contingency Planning (EP-01). This course is divided into

three units.

o Unit One examines the contingency planning process and the advantages and limitationsof planning exercises. Some possible mechanisms for initiating the contingency planning

process are also described.

o Unit Two deals with the basics of contingency planning. This unit covers scenariogeneration, needs projection, resource assessment, and the identification of service gaps.

o Unit Three presents an example of a contingency planning process, referring to theprinciples and tools that may be used to develop each component of the plan.

This course supports UNHCRs Career Management System (CMS) as a training aid in this specific

competency area. Contingency Planning is one of the competencies required for emergency

preparedness: its code within the UNHCR competency catalogue is EP-01.

Learning Objectives for this Course

After taking this self-study course, you will be able to:

o give examples of the uses and limits of contingency planning and adescription of its place in the planning continuum

o describe the importance of the contingency planning process

o demonstrate some of the skills needed to prepare and maintain

contingency plans

o analyse the quality and usefulness of example contingency plans.

This course is not intended as a recipe book or template for contingency planning and the

approaches suggested are by no means exhaustive. Every situation is different and a solution that

works well in one country or situation may be inappropriate in another. By considering the

guidance offered in the course, you should be able to decide on the best approach for the

situation for which you are planning.


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Organisation of this Course

This course is divided into three units. Each unit has three chapters dealing with the themes

relating to that unit.

Unit One focuses on the principles of contingency planning.

Chapter 1 introduces contingency planning, shows its relationship to other

forms of planning in the emergency continuum and describes the types of

events suitable for contingency planning.

Chapter 2 examines the involvement of partner agencies in the planning process.

Chapter 3 looks at ways to initiate and maintain the contingency planning process.

Unit Two provides a selection of tools useful for contingency planning exercises.

Chapter 4 describes how to develop contingency plan scenarios andproject needs accordingly.

Chapters 5 demonstrates methods for cataloguing resourcesboth physical and human.

Chapter 6 draws upon the previous two chapters to identify gaps that require management

action or signal the need to revise the plan.

Unit Three develops an example contingency plan. It draws on the principles of Unit One and uses

the tools of Unit Two in the preparation of a contingency plan for a fictional country, Ruritania.

This approach illustrates the links between the contingency planning process and the plan. It

emphasises that there is no one correct way to plan.

Chapter 7 looks at initiating the planning process and working with the roundtable.Chapters 8 reviews the functions and responsibilities of the working group and the sector

teams.

Chapter 9 examines the role of the core team, including editing the plan in preparation for

review.

How to Use this Course

Self-study is more demanding than traditional classroom instruction in that each learner has to

provide her or his own framework for study instead of having it imposed by the course or work-

shop timetable. One of the problems with self-study courses is that people begin with great

enthusiasm at a pace that they cannot sustain. The best way to undertake this distance education

course is to plan your own study schedule over a pre-set period by thinking ahead, and making

your own schedule for study.

The course is designed to take approximately 16 hours to complete. This includes the time for

reading, reflecting, answering the questions in the text, and taking the final exam.


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EP01

Pre-tests

The pre-tests included at the beginning of each Unit allow you to test your general knowledge

about planning for refugee and displaced population emergency situations. These two tests consistof 20 true/false questions each. Taking these tests before beginning each unit should stimulate you

to compare your own thoughts about emergency response planning to those presented in the text.

Also, the pre-test allows you to quickly determine how much you already know about the ideas

presented here, and can help you to see which parts of the course you can move through more

quickly or those you may need to spend more time on. If you score very well on all of the pre-tests,

it is likely that you do not need to take this course for the purpose of learning new information,

although it may be a useful review.

Instant Feedback: Self-assessment questions, exercises and worksheets

A drawback to self-study is that instant feedback from the instructor or your colleagues is not

possible. To address the need for feedback, each chapter has five true-false questions and five

multiple-choice questions. Exercises are found throughout the chapters to help you get the most

from the materials. Each chapter concludes with a summary of key points as a review.

Final Examination

As a final complement to the self-assessment tests and problems which are included in the course

text, there is a final examination administered by the University of WisconsinDisaster Management

Center (UWDMC). When you have completed all the self-assessment tests and activities to your

satisfaction, you may request a final examination package.

Using the REQUEST FOR FINAL EXAMINATION form which accompanies these course materials, you

will nominate a proctor to give you the examination and make arrangements for scheduling the

time and place. Anyone in a position of educational or academic authority (for example, a registrar,

dean, counselor, school principal or education officer) may serve as your proctor. Librarians and

clergy are also acceptable proctors. For these UNHCR/UWDMC courses, your immediate supervisor

or someone else of authority in a disaster/emergency management organisation may also be your

examination proctor.

The UW-DMC will mail the examination papers with instructions to your proctor who will monitor

your taking the test. After your proctor returns your examination to the University of WisconsinExtension, it will normally take 1-2 months for grading. Upon successful completion of the exam,

the University will record your continuing education units (CEUs) on a university transcript and

prepare your Certificate of Completion. Your certificate will be mailed to you along with current

information about other distance learning opportunities.


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Principles

Emergency

Preparedness

Competency

UNHCRSelf Study

Serb refugees fromthe Krajina living in

a collective center

while waitingfor private

acccommodation.

Bosnia & Herzegovina,UNHCR photo, R. Le

Moyne, 1995

Unit

1


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PRETEST Contingency PlanningPrinciples

Check T or F toindicate whether

a statement isTrue or False

sT sF 1. Contingency planning takes place as soon as an emergencyhappens.

sT sF 2. No planning is needed for either very unlikely or very trivialevents.

sT sF 3. Contingency planning is a one-time exercise.

sT sF 4. Continual review is needed to maintain contingency plans.

sT sF 5. While the contingency planning process is important, the qualityof the plan is paramount.

sT sF 6. Population movements, changes in economic indicators, andoutbreaks of disease may all prompt the need for contingency

planning.

sT sF 7. One way of incorporating the confidential, unpublished plans ofother agencies into the contingency planning process is to invite

partners who are aware of their contents to participate in the

process.

sT sF 8. Contingency planning must be conducted by schedulingseparate, frequent meetings in order to get the job done.

sT sF 9. Information related to the contingency planning process shouldbe shared with all potential partner agencies.

sT sF 10. Contingency planning is a consensus-building process leading toagreed upon scenarios and objectives.

sT sF 11. Contingency planning can never prevent an emergency from

happening.

sT sF 12. Contingency planning enhances preparedness and improvesemergency response.

sT sF 13. Planning is free of any cost.

sT sF 14. Staff time will be considered more valuable during an emergencythan in non-emergency situations.

sT sF 15. Centralised offices, such as branch office or internationalheadquarters, are usually in a better position than field offices

to make policy decisions.

Unit

1


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Unit1

1.F

2.T

3.F

4.T

5.F

6.T

7.T

8.F

9.T

10.T

11.F

12.T

13.F

14.T

15.T

16.T

17.T

18.T

19.F

20.TPre-testAnswers

Pre-test

Answers

sT sF 16. The contingency planning process may build on sectoral orsub-sectoral plans that have been drawn up by agencies

already working in those sectors.

sT sF 17. Everyone likely to be responsible for operations after anemergency should be involved in the contingency planning

process to some degree.

sT sF 18. A multi-agency planning process generally produces betterquality plans, builds relationships, and generates consensus.

sT sF 19. Specialised structures or planning groups promote more rapiddevelopment of plans and are more sustainable than other

structures.

sT sF 20. It is important to establish a review timetable so that reviewsare not forgotten.


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Planning for Contingencies

By studying this chapter you will learn about:


A contingency is an event that may occur but that is not certain. Contingency

planning takes place for these possible events. The following is one definition ofcontingency planning.

Contingency planning is a forward planning process, in a state ofuncertainty, in which scenarios and objectives are agreed, managerialand technical actions defined, and potential response systems put inplace in order to prevent, or better respond to, an emergency orcritical situation.

Examine this definition closely before answering the following question.

What are the key points in this definition?

1

s What contingency planning

is and why the process is asimportant as the plan

s Why you should plan for

contingencies

s What events are suitable for

contingency planning

s Why contingency planning efforts

should be proportional to both thegravity and the likelihood of theemergency

s About the connections betweencontingency planning, emergency

response planning and early

warning

Chap

ter

1


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Your list will vary with your own experience and perceptions, but it should include at least some

of the following points about contingency planning:

o It takes place before an emergency as a forward planning process.

o It is a process rather than just the production of a document.

o It is a consensus-building process that leads to agreed uponscenarios and objectives.

o It prepares planners for the emergency response by definingactions and putting systems in place before an emergency.

o It may include actions designed to prevent an emergency as wellas limit its consequences.

It may seem surprising that the contingency planning process may help to prevent an emergency.

Information sharing between partners during the contingency planning process may lead some

partners to change their policies, thus preventing the emergency or reducing its effects.

Give an example of where a contingency plan may help topreventan emergency or lessen its effects?

One example is a situation in which contingency planning for a feared cholera outbreak leadslocal authorities to change their policy and allow the connection of an existing water supply network

to a refugee camp. Such actions do not arise because of the existence of the contingency plan itself,

but because of the consultative process involved in the preparation of the contingency plan.

By considering in advance the consequences of an event, it may be possible to take action which

will reduce the vulnerability of a population. For example, if spontaneous voluntary repatriation of

refugees seems likely, the ration distribution period could be increased from one to four weeks to

give refugee families who decide to repatriate a larger stock of food for their return.

Why Plan?

Planning requires the time of the participants. Time becomes more valuable once an emergency

occurs, so planning before the emergency when workloads may be more flexible is very important.

One reason for conducting contingency planning is because it will facilitate a rapid emergency

response by allowing planners, in advance of an emergency to:

o consider the likely consequences of an emergency before it occurs

o identify the key resources, both human and physical, which may be available to respond to

the emergency

o identify the critical areas for immediate action

o build and train the emergency response team in advance

o define the general policies and approach to the emergency in advance


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Chapter 1EP01

Like

lihoo

d

All of these measures allow constructive intervention immediately after the emergency. Team

building is particularly useful, as the ability to act as a team may be critical to the success of the initial

emergency response.

Another benefit to contingency planning is that, before an emergency, there is comparatively

more time to consider all the aspects of problems that are likely to arise. Once the emergency hasoccurred, it may be very difficult to bring all of the players together. Agreement on policies in the

contingency planning stage may help clarify applicability and resolve contradictions that may occur.

Rapid decision making on operational issues after an emergency is important because delays may

cost lives.

The contingency plan also serves as a tool for maintaining control over events or limiting

the risk of loss of control. Because of the scale of the problems that they pose, emergencies

sometimes provoke erratic or unpredictable responses. Well-intentioned but ill-equipped agencies

may rush to help, leading some agencies to over-react to the emergency. The risk of inappropriate

responses is much lower when clear plans are in place.

Finally, the contingency planning process allows identification of projected needs that may arise as

a result of an emergency and the resources that will be immediately available to meet those needs.One benefit of a realistic contingency plan is that it may encourage donors and others to provide the

needed resources.

Events Suitable for Contingency Planning

Before beginning the contingency planning process, it is useful to consider the events that should be

focused upon.

What types of events are suitable for contingency planning exercises?

Gravity of EventTrivial Minor Serious

High Existing Consider Detailed

Policy Scenarios Planning Process

Low No Existing Consider

Planning Policy Scenarios

Almost No No Existing

Nil Planning Planning Policy


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Contingency planning is part of everyday life. A requirement for contingency planning is that the

planning effort should match the gravity of the event combined with the risk of its happening. The

matrix shows that a detailed contingency planning process is only suitable for events with possibly

serious consequences and a high likelihood of occurrence.

Events which are potentially less serious or less likely may be considered as scenarios but shouldnot necessarily be specifically planned for. Existing policy should be adequate to deal with these

events. For example, a meteorite striking a refugee camp would have very serious consequences,

but it is not very likely. However, an outbreak of diarrhoea disease in the same camp may have very

serious consequences and be considered highly likely. This would be an appropriate event to include

in the contingency planning process.

Planning Process

Although the objective of contingency planning is usually the production of a contingency plan,

this is a very narrow view of the activity. Many useful outputs of contingency planning come from

theprocess through which the plan is developed. Consider the following two possible approaches

to developing a contingency plan.

Approach A: An experienced emergency planner makes a brief visit to the country in whichyou are working. Having returned to headquarters, he then prepares a contingency plan

based on his experience.

Approach B: All the major potential actors, including you, come together around the tableand agree on the broad policies. Technical working groups then fill in the details of the plan.

Which plan would you prefer to implementthe plan generated by

Approach A or B? Why?

Most people would prefer to implement Approach B because they were part of its development

and had a chance to influence the process and the plan.

The Process is as Important as the Plan

Many emergency response staff and others involved in developing contingency plans have reported

that the planning process was more important than the plan.

Perhaps not surprisingly, when the emergency happened, it was nothing like what we hadplanned for. The contingency planning process we had gone through meant that all of themain players already had a clear idea of their respective roles. This, and the relationshipsbuilt up during the process, meant that we already had a functioning team in place torespond to the emergency.


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Chapter 1EP01

Many staff members report that the critical factors were the team building and training aspects

of developing the contingency plan.

It allowed those with no emergency experience to get some idea of the complexity of anemergency, and the consequences. It meant that when we had an emergency, the first-timers were already mentally prepared for what they would meet, and spent less timeadjusting than they otherwise would have.

The Plan is Also Important

The importance of the process does not mean that the plan is not important. The plan is a measure

of the quality of the process. A good planning process will produce a good plan. Even though the

emergency that occurs may be very different from the one planned for, the plan will still be useful.

What parts of a contingency plan will still be useful even if

the planned for emergency does not occur?

Although each emergency is different, most emergencies have a great deal in common. In almost

all cases there will be a need for food, transport, medical care, and management. The parts of a

contingency plan that list available resources will probably be useful no matter what the emergency.

One staff member reported:

What was surprising was how useful the plan was, even though the emergencywas completely different. The resource inventories and contact list in the plan wereextremely useful.

A good contingency plan ensures that you are better prepared for any emergency that may occur,

even one that is very different from the scenario in the plan. It is often recommended that the cover

page of a contingency plan bear the version number and approval date in large type to remind users

that it is subject to revision. There can never be a final contingency plan.

The Users of the Contingency Plan

A contingency plan will have many different users with different information needs. For example,

donors may be interested in the budget while an NGO may be more interested in the specifics of

its agencys role. The primary use of contingency plans is to provide staff with a framework for action

in the event of an emergency. Staff from different sectors will need different parts of the plan. The

plan is also likely to have the following uses:

o Briefing document for new staff

o Appeal to donors for contingency resources

o Planning tool for staff allocations

o

Training resource for staffo Reference document for names and contact number of partners

o Reference document for physical infrastructure


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TheEmergencyContinuum

ModelEarly

Warning

Emergency

Preparation

Emergency

Emergency

Response

Long-Term Response(Durable Solutions)

The Emergency Continuum Model

The emergency continuum can be thought of as a

cycle of crisis and response that can be seen in

many emergencies around the world. In this

model Emergency Preparation follows Early

Warning. When the Emergency happens, it is

followed by the immediate Emergency Response.

This is followed in turn by the Long Term Response

or Durable Solutions, which should ideally reduce

vulnerability to future emergency events. While this

model has been criticised for being too simplistic, it

is still useful in relating contingency planning to both

early warning and the potential emergencies being

planned for. In many situations different elements of

this cycle may exist simultaneously, with contingencyplanning for new events happening even after the initial

emergency event and response have begun. This is particu-

larly true in areas of long-term or chronic emergency situations.

Where in the Emergency Continuum would you

place Contingency Planning?

Contingency Planning: Part of the Planning Continuum

Essentially, contingency planning should begin once an

event moves from being a remote likelihood to being

a distinct possibility. The initial stages of contin-

gency planning have little direct monetary cost

aside from the time of participants. Somecontingency plan actions, such as building

stock-piles or training staff, however, may

require significant financial outlays.

The Planning Continuum is parallel to the

Emergency Continuum. While similar tools and

activities are used, each type of planning has a

different emphasis. The transition in planning

activities from those which occur immediately

before the emergency event to immediately after is

reflected in the change from contingency planning

to emergency response (or operations) planning.

The differences between the two types of planning

ThePlanning

ContinuumModel

EarlyWarning

ContingencyPlanning

Emergency Assessment

EmergencyResponsePlanning

ImplementaionDurableSolutions


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Chapter 1EP01

Differences between Contingency and Emergency Response Planning

Aspect Contingency Plan Emergency Response Plan

Relation to triggering event Before On occurrence of event

Scope of plan Global, or scenario based Specific (but global plans also possible)Partners involved All likely partners As needed

Focus Consensus building Effective and rapid resource utilisation

Relationships Developing Utilising

Planning style Consultative Directive and consultative

Allocation Roles Responsibilities

Planning level Strategic and tactical Tactical and strategic

Time frame Floating, uncertain Fixed, immediate

Contingency planning can have practical benefits for emergency response or operations

planning by saving valuable time in the crucial early stages of an emergency.

The Relationship Between Contingency Planning and Early Warning

With few exceptions, humanitarian emergencies are

rarely sudden-onset events. They usually build up over

time and their signs and symptoms are monitored

through early warning systems supported by many

international and national agencies. Early warnings

should be linked to contingency planning. As analysis

of early warning information indicates that an emer-

gency event is more and more likely, the resources

devoted to contingency planning should increase.

Careful interpretation is required to verify the informa-

tion and to analyse the implications in order to justify

the initiation or implementation of a contingency plan.

Some of the common indicators monitored by early

warning systems and assistance agencies are:

Population movements Observations may include the total number of peoplewho have crossed or who are moving towards the border or the average rate ofcrossing a border.

Violence or security threats The outbreak of open fighting after a period of tension,or other violent incidents, may be a threshold for initiating contingency plans.

Resource constraints Contingency plans are often made in situations where essentialresources are threatened, such as food and water resources in a refugee camp.

Economic indicators Many economic indicators, such as the price of staple foods, orlivestock, may indicate impending food shortages.

Disease incidences The development of a contingency plan may be warranted bythe presence of a disease with epidemic potential.

Natural disasters Contingency planning may cover droughts, floods or other

Resourcesusedfo

r

contingency

plann

ing

Increased Early

Warning Indicators

As Early Warning

indicators increase,

more resources for

contingency planning

should be made available

Thresholdlevel of eventsto justifycontingencyplanning


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The Use of Indicators in Contingency Planning

Indicators of potential crisis take many forms. A wave of civil unrest erupted in onecountry shortly after a major currency devaluation set off widespread unemploymentand a swift erosion of the buying power of low- and middle-income households. Inthe economic recession that followedthoroughly documented by conventionaleconomic indicatorsunemployed workers throughout the country focused theirmounting frustration on wholesale commodity traders who were accused of price-gouging and hoarding. Most of the commodity traders were from a minority religiousand ethnic group with close ties to high circles in government. As community leadersappealed for calm and restraint, the police and military struggled to bring the streetriots and shop looting under control. As the situation became more complex,contingency planning was launched in neighbouring countries in preparation for apotential large-scale flight of the minority group.

Ideally, thresholds or levels of alert should be established both for initiating a contingency plan

and for putting the plan into action. Clear and unambiguous signals, however, are often difficult

to find and agree upon as thresholds. A precise threshold event which initiates the plan does notalways occur and decisions for action may be influenced by political or other factors. The level of

alert varies and the type and extent of contingency planning should vary accordingly.

General Preparedness The state in which standby arrangements are in place,

staff are trained and there is access to emergency

funding. These arrangements are not necessarily

country specific.

Enhanced Preparedness The state in which a particular country or region can

be considered to be emergency prone or vulnerable to

the effects of emergencies. Accordingly, contingency

planning is undertaken which establishes procedures

for effective action in later stages.

Immediate Preparedness for Response The state in which the standby arrangements as put in

place in the previous phases are activated and placed

on active alert through funded and staffed monitoring

and/or readiness activities.


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Contingency planning takes place before an emergency happens.

Contingency planning seeks to build agreement and consensus.

The process of contingency planning may sometimes help prevent an

emergency or lessen its effects.

The contingency planning process is just as important as the plan.

The contingency plan may be useful even for emergencies that are different

from the events which are planned for.

Contingency planning enhances preparedness, and improves emergency

response.

Any uncertain event is suitable for contingency planning, provided that the

gravity of the event combined with the risk of it happening justify the effort of

contingency planning.

Early warning signs of emergencies require careful interpretation to initiate

contingency planning.

SummaryChap

ter

1


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Chapter 1EP01

Chapter 1

Self-Assessment Questions

Check T or F to indicate whether a statement is True or False

sT sF 1. Major benefits of contingency planning come from the processthrough which the plan is developed.

sT sF 2. The contingency plan is more important than the contingencyplanning process.

sT sF 3. A contingency plan for an emergency scenario that does notoccur is of no value.

sT sF 4. Planning is free of any cost.

sT sF 5. The contingency planning effort should be in balance with thelikelihood and seriousness of potential emergency events

Multiple choice. Mark ALL correct statementsmore than one may apply.

6. Which of the following is not true of contingency planning

sA It is a consensus building process

sB It may include actions designed to prevent an emergency

sC Its whole purpose is the production of a contingency plan

sD It takes place before the emergency

7. Most people prefer to implement plans which

sA They have had a chance to influence

sB Have been developed by experts

sC Have been sent from headquarters

sD All of the above

8. Which of the following is an advantage of contingency planning

sA Rapid emergency response

sB Pre-selection of all emergency responders before the emergency occurs

sC Rapid decision making

sD Maintaining control in an emergency


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9. Contingency planning should be considered when an event

sA Is likely to occur and will have serious consequences

sB Is likely to occur and may have minor consequences

sC Is very unlikely to occur but will have serious consequences if it does

sD Is very likely to occur but will have trivial consequences

10. Reasons for contingency planning include:

sA Establishing your position as the expert before an emergency occurs

sB Not having to make rapid decisions when an emergency occurs

sC Identifying critical areas for immediate action in the event of an emergency

sD Identifying key resources in advance

Exercise A

1) Are there circumstances where contingency planning would

continue after an emergency?

2) If so, in what sort of situation is this most likely to occur?

3) What problems might occur in post-emergency contingency planning?


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Chapter 1EP01

Exercise B

You are managing a refugee camp close to the border with the country of origin. The refugees

are predominantly rural refugees who have been in the camp for two years. They have some

livestock and have recently had a good harvest from the crops they are growing outside thecamp. Conditions have recently improved in the country of origin and there are rumours that

refugees are planning to repatriate spontaneously.

You are leading the team preparing the contingency plan: What indicators could be used as

quantitative thresholds for the implementation of a contingency plan for refugees spontaneously

returning from an open (i.e. with no physical restriction on departure) refugee camp?


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1. T

2. F

3. F

4. F

5. T

6. C

7. A

8. A, C, D

9. A, D

10. C, D

Chapter 1Answers

Exercise Answers

A 1) Yes, contingency planning can certainly continue after an emergency has

occurred, but not for the emergency event that has actually happened. In many

cases an initial emergency event, such as a small refugee influx, may give early

warning for a much bigger influx.

2) This is a particular problem in complex emergencies where emergency eventsfollow each other in a chain of inter-linked and or chronic crises.

3) One very common problem in this situation is that it is difficult to get additional

resources for what might happen when existing resources are inadequate to deal

with the existing situation. One approach is to include contingency planning for

further possible emergencies on the agenda of the co-ordination meetings for

responding to the present emergency.

B The interpretation of the indicators will depend on a variety of circumstances.

In this situation contingency planning has already been started because of the

rumours of spontaneous return. The following are some of the thresholdindicators, which could be used. Both obvious, quantitative indicators and

some of the indirect and more qualitative ones are given.

Indicator Comments

Number of refugees crossing at Many may cross at unofficial points,official crossing points (total, point, or it may take time before official figuresaverage rate) are available.

Number of huts removed Good indicator, but little advance warning.

Mood in the camp Needs skilled interpretation, and may

change very quickly as situation changes

Price of food in camp market Other factor may influence food prices.

Sale of large domestic items Difficult to measure

Price of black market ration cards in camp Difficult to discover prices. Selling cards isfinal act before departure.

Refugees leaving employment Difficult to get good figures as manyemployed in black economy.

Registrations for formal repatriation Registrations may not be a reliable guideto refugee intentions.


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Partners in the Planning Process


Who Should Plan?

Everyone who will be responsible for any component of project implementation

after an emergency should plan for contingencies. Contingency planning might

permit a rapid response to any emergency, even if it differs from what was

originally anticipated.

Levels of Contingency Planning

Contingency plans may be made at a number of different levels. This course

focuses on contingency planning at national or regional levels, which should be

based on operational details developed locally. Field officers have established

relationships with the refugees and local officials and are better able to deter-

mine whether or not operational plans are workable. In addition, field offices

can usually identify local resources more easily than centrally located offices.

Field-based planning, however, is not always appropriate for policy planning.

Centralised offices, such as branch offices or international headquarters, may

have a better overview of the national and global situations and can judge the

likely impact of decisions on other national or international programmes. These

offices, therefore, are usually in a better position to make policy decisions. To beeffective, however, contingency planning systems must allow for support, advice

and feedback between branch and field offices as indicated in the following

diagram. Systems in which all policy decisions are made at the central level and

all operational decisions at the field level do not work.

s Who should be involved in the contingency planning process

s Why multi-agency efforts are extremely valuable

s About roles of partner agencies and how to deal with some

common problems

Branch Office

National Plan

Sub Office

Regional Plan

Field Office

Support, advice

and feedback

Policy input

and feedbackPOLICY

DECISIONSOPERATIONAL

PLANS

Chap

ter

2


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Sectoral Plans

While a contingency plan may be thought of as a single document outlining the activities needed in

all sectors, this is only true of the highest level or master plan. The contingency planning process will

often reveal, and should build upon, sectoral or sub-sectoral plans that have been drawn up by

agencies already working in those sectors. In the health sector, for example, a general contingency

plan may be drawn up by the Ministry of Health and separate contingency plans drawn up by

UNICEF and NGOs. Although these sub-sectoral plans may overlap, it is possible that, when com-

bined, they may not even provide complete coverage of health sector needs.

Sectoral plans may have various levels of detail, some containing complex written or formal

contingency plans and others which are broad and general or rely heavily on standard internal

procedures. The contingency planning process should bring all of the sub-sectoral plans together

into a common, harmonised plan for each sector.

Some agencies keep their contingency plans confidential and unpublished for political or security

reasons. Their existence may not be acknowledged and they are not formally available to the

contingency planning team. The information contained in these confidential plans may impact thescenarios and actions planned for by others. Publishing or sharing plans may help to avoid problems

that can occur when conflicting contingency plans are put into action.

Give examples of contingency plans that may be confidential.

1

How might the contingency planning team access such documents?

1

Contingency plans prepared by the military, police, or state agencies might be confidential.

Donors, NGOs, and other partners may also have internal contingency plans (for example, staff

evacuation plans) that are confidential because of funding or political considerations. One way of

accessing these plans is by including partners who are aware of their contents in the contingency

planning process.


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Chapter 2EP01

The Benefits of Partnerships in Planning

Partner agencies enrich the planning process as they bring needed information and expertise. While

involving other agencies may make the process slower, there are many advantages that outweigh this

disadvantage. These include a better quality of planning, enhanced acceptance and commitment to

the plan, and building relationships among partner agencies and staff.

Better Planning

A contingency plan should cover all sectors. No person or organisation can be an expert in every

sector of the increasingly complex emergencies taking place today. Bringing more viewpoints, more

specialist knowledge, and more years of experience into the planning process means that more

factors are considered. Broad processes with more participants reduce the chance of the plan being a

failure and the types of oversights or false assumptions that might result in needless deaths are

minimised.

Acceptance and Commitment

When agencies are fully involved in the planning process, their views are taken into account.

Through their agreement with the final plan, agencies should feel more committed to the outcome.

It is less likely that agencies would choose to go it alone or reject a commonly developed plan when

they have played a role in its development.

Building Relationships

An emergency places enormous pressure on all the players involved. Relationships developed before

an emergency may help to enhance communication and ease stresses during the emergency. In

addition, an understanding of each agencys strengths and weaknesses may assist in the implementa-

tion of plans. Finally, the personal relationships developed during the planning process may also

make it easier to discuss sensitive topics.

Contingency Planning as Consensus Building

As contingency planning ties together all the information from different sectors and partners to give

a final result that reflects all of their inputs, it builds a consensus on steps to be taken to address the

emergency. Creating this consensus before the emergency means that less time is lost in debate

when the emergency happens. It also ensures that the same policies (e.g. for supplementary feeding,

vaccination, treatment, water supply, food distribution etc.) are followed by all partner agencies.

What are some limitations of the consensus building process?

1


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Consensus building is a levelling and averaging process that may produce a product of the least

risk to the group. For example, projected scenarios that are unpopular with the group may be swept

aside, even though they may be the most likely. This might be called group-think, where loyalty to

the group view tends to obscure reality. To avoid this, open-minded and critical analysis should be

encouraged for all suggested scenarios and reflection promoted on creative planning alternatives.

Which Partners Are Involved?

Government

Governments play the key role in emergencies. Although UNHCR may assist national governments

with the co-ordination of a refugee crisis, governments retain sovereignty and have the final word.

The host government ultimately decides where refugees will be settled, and many other issues

concerning their protection and assistance. If the government is not involved from the start of the

process, the contingency plan will be based on many assumptions about government actions.

It is especially important that the relevant government ministry or ministries play a role in theformulation of policy in the planning process. In addition, the government should be involved in

technical planning for operations as local officials have detailed knowledge about the availability of

local resources and the problems inherent in their use. Government staff may also have access to

indicators of a possible pending emergency that may not be available to other agencies.

It is sometimes argued that government participation in the contingency planning process may

lead to premature action, such as closing the border to refugees. In fact, government involvement in

contingency planning is more likely to lead to more appropriate emergency responses. The feeling of

control over the situation based on an appropriate plan may make quick, reactionary decisions less

likely and will help to prevent unrealistic estimates and rumours. The inter-agency linkages

strengthened during the contingency planning process may help to channel more accurateinformation to decision-makers.

Government Participation in Contingency Planning

Government participation in contingency planning is not always possible. In onecase, a small nation was in its fifth year of civil war when renewed hostilities withrebel forces seemed certain to spark another large-scale refugee exodus to aneighbouring country. At the time, tensions between the two bordering states wereat an all-time high and various regional and international diplomatic initiatives hadalready been undertaken to prevent a military confrontation. As the UN and NGOsbegan to update contingency plans for another wave of refugee arrivals, the UN

representative approached the government of the country likely to receive refugeesto participate in the process. The government declined, expressing concern that theirinvolvement might further aggravate the already highly-charged political situation.Some officials even wished to block the process already begun by the humanitarianagencies. Understanding the governments concerns, the UN representative neverthe-less convinced top officials of the need for emergency preparedness and agreed toportray the process as entirely a UN/NGO initiative. In the end, the government didnot openly participate in contingency planning meetings, but did provide inputs andfollow closely the processalbeit informally.


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Chapter 2EP01

UN and Intergovernmental Agencies

UN and intergovernmental agencies should be involved in contingency planning in proportion to

their potential involvement in responding to an emergency. Agencies that are likely to play a key role

should play a full part in contingency planning. For example, the World Food Programme is likely to

have its own sectoral contingency plan for food aid logistics; this should be incorporated into theoverall plan. Some agencies may play a limited role in contingency planning. They may participate in

interviews with the planning team or by written comments, made initially and on the draft plan.

NGOs

National or international NGOs likely to play key roles in the emergency should have key roles in

contingency planning. Agencies with experienced staff and those with funding can provide signifi-

cant resources to the planning process.

Refugees and the Local Population

Refugees will only be able to participate in certain types of contingency planning. In the case of a

refugee influx, inviting the participation of potential refugees in advance is not usually possible.

Existing refugee populations should be involved to the degree possible in operational decisions

affecting them as well as providing input for policy decisions.

It is also essential to involve the local population in planning decisions that directly affect them,

for example, in sharing water sources with refugees. Consultation beforehand is generally much

easier to deal with than disputes afterwards. Such consultation should ideally be with the entire

community or through community leaders. NGOs or agency staff who are familiar with the local or

refugee population may act as advocates and can be valuable sources of information on cultural and

social preferences.

Donor Representatives

Involvement of donor representatives in contingency planning is appropriate when there is a need to

establish contingency stocks or to fund other contingency preparations. Even when there is not likely

to be a need for such funding, involving donor representatives during the contingency planning

stage can speed the release of funds once the emergency happens. Though donor representatives do

not need to be part of the entire contingency planning process unless they have a particular skill or

expertise to offer, it is often useful to brief them on the process as an indicator of overall emergency

preparedness.

Use of Outside Experts

Contingency plans are sometimes developed, written or facilitated by external experts. This approach

may be required if offices are understaffed or in extreme cases of urgency. If such a method of

planning is needed, efforts should be made by the external team to involve all partner agencies as

much as possible in the process.


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Assembling Planning Partners

In one very large, on-going humanitarian operation that involved well over 80 NGOsand all of the major UN agencies, a contingency plan was urgently needed for over500,000 refugees settled in the shadow of an active volcano that was predicted toerupt within days. Involvement of all agencies in contingency planning would havebeen ideal, but would have greatly slowed the process when time was of theessence. Drawing upon existing co-ordinating mechanisms within the operation,a small but representative team from government, NGO, and the UN communityquickly elaborated several scenarios. Some of the worlds most renowned vulcanolo-gists provided scientific analyses of the situation. Planners focused on key sectors andthe most-likely scenario. Feedback on the situation and the state of planning wasregularly communicated to all concerned agencies. In the end, there was noeruption, but the planning exercise reinforced relations between the humanitariancommunity and provided a number of lessons learned.

Planning Resources

A realistic approach must be taken with regard to funding based on contingency plans. The contin-

gency planning process may give rise to expectations that additional resources will immediately be

available in line with the plan. The existence of a plan does not guarantee the availability of resources

to fund it, although a good plan will certainly increase the likelihood of funding when an emergency

happens. The resources used for planning, and for any other preparation for an emergency (for

example, stockpiling non-food items) should be proportional to the likelihood of the emergency and

its probable seriousness. While some preliminary expenditure may be sensible, it would be unwise to

commit resources for a contingency, which is still far from certain.


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Everyone likely to be responsible for operations after an emergency

should be involved in planning for contingencies to some degree.

Contingency plans should draw on existing sectoral contingency plans

and should harmonise these plans within and between sectors.

Policy decisions may generally flow from the central level, but

operational plans should flow from the field level.

A multi-agency planning process produces better quality plans, builds

relationships, and generates consensus.

Partner agencies generally include government agencies, UN and

intergovernmental agencies, NGOs, the refugees and the host

community, and donor representatives.

SummaryChap

ter

2


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Chapter 2



sT sF 1. A contingency plan is only useful for the emergency for whichit was planned.

sT sF 2. Bottom up planning is best for policy planning.

sT sF 3. Building a consensus is best done after the emergency happensand all of the facts are clear.

sT sF 4. Consensus has a negative side, in that it may promote group-think or agreement on a product with less risk to the group.

sT sF 5. The use of outside experts or consultants for contingencyplanning is generally considered a best method for getting

this type of planning accomplished.


6. In an ideal planning system

sA Operations planning is a bottom-up process

sB

Policy planning is a top-down process

sC Both top-down and bottom-up processes are supported by bottom-upand top-down inputs respectively

sD All of the above

7. Involving partners in planning does not give

sA Better planning

sB Faster planning

sC Stronger relationships with partners

sD Greater acceptance of, and commitment to, the resulting plan

8. Involving the Government in contingency planning is likely to lead to

sA Wild rumours about the refugee crisis

sB More appropriate responses with less risk of premature action

sC Border closures in advance of an influx

sD All of the above


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Chapter 2EP01

9. Other agencies should be involved in detailed planning in proportion to

sA Their likely involvement in responding to an emergency

sB Their size and status

sC Their experience in the country

sD All of the above

10. It is essential to involve the local population in

sA All planning for refugee emergencies

sB All planning for water resource use

sC Planning decisions that directly affect them

sD All decision making

In a situation where the relevant government ministry is unwilling to become

involved in the contingency planning process, you decide to appoint one

staff member with good knowledge of the Governments viewpoint to play

the role of Government representative in the planning process. What are the

advantages of such an approach?

What are the disadvantages?


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1. F

2. F

3. F

4. T

5. F

6. D

7. B

8. B

9. A

10. C

Chapter 2Answers

Exercise Answer

The chief advantage is that, if the staff member is well chosen, one will

be continually reminded of any constraints generated by government

policy in various areas. Being reminded that, for example, the govern-

ment is unlikely to waive import duties on relief goods that can be

produced locally can prevent problems later.

One disadvantage is that, while the government viewpoint may be

superficially represented, the staff member is unlikely to be aware of

changes in internal government policy towards the threatened emer-

gency. The main disadvantage is that, because the government does not

participate in the planning process, there is no government ownership of

the plan or commitment to its implementation. Every effort should

therefore be made to involve the government itself in the contingency

planning process.


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Initiating and Maintainingthe Process


Contingency planning is not a one-time exercise. Because contingency planning

is an on-going process, it should be designed so that it can continue to function

with minimal inputs over a long period of time. For example, the initial threat

may pass, but another threat may appear a year later.

Initiating the Process

Before beginning a new contingency planning process, a review of existing

plans and processes is necessary. You will need to assess the situation and adaptyour planning process accordingly.

Contingency planning is usually initiated by the agency that intends to

facilitate the on-going planning process. It will be helpful to brief participants

before the first meeting to promote a larger and more considered response.

The issues that may be dealt with at the first meeting include:

o Implementation of the contingency planning process itself

o The scenarios which are to be planned for, specifying numbers or

other details as closely as possible

o The overall objectives and standards to be met

o The timetable for the contingency planning process, includingthe next meeting

o Any general policies for the contingency planning process

How long should it take to produce the first draft of

the contingency plan?

s How to initiate the process

s Why continual review of acontingency plan is needed

s How participation in contingencyplanning can be encouraged

s Ways to improve the sustain

ability of the contingency

planning process

s Possible structures for the

contingency planning process

s On-going review of the plan

Chap

ter

3


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It may be possible to produce an initial draft in less than a week if many of the component plans

are already available. Two weeks to one month, however, is probably a more realistic estimate.

Planning participants must be able to see the results of their investment in the contingency

planning process. If the process does not produce desirable results within a reasonable time frame,

frustration may set in. Furthermore, the planning process itself should be part of a longer-term orsustainable process to develop agency capacities and interagency relationships. Careful attention to

structuring the process in the beginning will lead to a more sustainable planning process.

What approaches might help to make a planning process sustainable?

1

While sustainability depends on the outlook of the participants, the level of threat, and other

factors, processes that are routine are more likely to be sustainable. Several approaches may help

participants perceive that their investment in the process is worthwhile. One approach is limiting the

investment needed by incorporating contingency planning into existing processes. Another is to have

a flexible process that allows partners to participate only in areas of interest.

Some possibilities for insuring the sustainability of the planning process:

o Contingency planning is more likely to be successful if it is supported and/or initiated atthe highest level. In UNHCR, the sponsor for the contingency planning process is a senior

member of staff, usually the UNHCR Representative or the Senior Programme Officer.

o Developing the initial contingency plan is a great deal of work. Meetings should allow

enough time for all the issues to be considered.

o A relatively flexible timetable for meetings is recommended so that the contingencyplanning process is not long and drawn out.

o Review of the plan can be undertaken through more routine or normal channels, or

groups outside the core planning group. This two-stage approach may allow theimmediate development of a contingency plan and greater participation in its refinement.

Maintaining the Plan

After the contingency plan is prepared, a continuous review process is needed to maintain and

update it as necessary. Some aspects such as scenarios, underlying policy, and information sources

may change significantly.

Two approaches may be used for on-going review of the contingency plan. The first is

requesting comments on the existing draft. The second approach is review meetings with

partners, which also allows the contingency planning process to be maintained throughon-going dialogue.


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Chapter 3EP01

Requests for Written Comments

Holding review meetings is preferable to requesting written comments as written comments are less

likely to contribute to consensus building.

Can requesting written comments on the draft be useful?

1

Even though review meetings are better from a process viewpoint, the written review process is

useful as it:

o emphasises that the plan is always subject to revision.

o broadens participation by allowing those who cannot participate directly

(for geographical or other reasons) to make an input. Written commentsare often the easiest way for agency headquarters to comment on a draft.

o encourages the continuing debate that is part of an effectivecontingency planning process.

Comments can be requested

1) on the first page of the contingency plan

2) in the letter accompanying the plan

3) on a regular basis through letters to partners

4) in the agenda for meetings

Review Meetings

Review meetings are the most effective mechanism for maintaining contingency plans. Review

meetings promote the spirit of co-operation and open exchange. Review meetings should start

immediately after the first draft of the plan is circulated. Although at this stage there may be very

little to update, there will be points that need correction in the next draft. The review process should

be similar to the one used to draft the plan.As with the entire planning process, the schedule for review meetings varies with the urgency of

the situation. In critical situations where events may radically alter the scenario, the contingency plan

should be reviewed more frequently. A review meeting timetable should be established on a monthly,

quarterly or annual basis.

Encouraging Continuing Participation

Contingency plans may initially be prepared in the context of a specific, threatened emergency.

Under such a threat it may be relatively easy to mobilise partners to participate in the planning

process. It may be more difficult to interest partners in future processes once the initial threat

has passed.


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How can continuing participation in the contingency

planning process be facilitated?

There are several ways to facilitate continuing participation.

o Promote flexible participation. Partners may only need to deal with the aspects in which they

are interested. This can be achieved by considering sectors separately.

o Promote listening and consideration of all comments.

o Integrate the contingency planning process with regular co-ordination meetings. This could beachieved by having a regular meeting with contingency planning as its only topic. This avoids

the not another meeting! complaint, or the need for participants to travel to several meetings.It can also be integrated by programming a special meeting to tie in with a regular programmemeeting.

o Provide resources (i.e. training, updates on manuals etc.) to participants. Dedicatedprofessionals often place great value on training and professional development opportunities.

o With their approval, credit all agencies for their contributions, for example, at the front of thecontingency plan draft. Local offices may send copies of the plan to their headquarters, thereby

increasing support for the contingency planning process.

Maintaining the Planning Team

Some of the ways in which participation is encouraged are similar to the techniques for team

building such as effective information sharing and feedback. Much of the contingency planning

process is designed to build and maintain a team that can respond quickly in an emergency.

One of the problems in maintaining the planning team is the rate of turnover of key players. New

members are constantly being introduced into the team and learning its particular and evolving

dynamic process as old members move to new assignments. The process manager or focal point

(the member of staff assigned to manage the contingency planning process) must ensure that details

of such changes are kept up to date. It may also be useful to inform new arrivals in critical posts of

the existence of the contingency plan and the date of the next planned review.

Using Emergency Management Training as a

Forum for Contingency Planning

In one emergency-prone region, the political sensitivities of governments ran highconcerning contingency planning. A number of authorities acknowledged theneed for greater emergency preparedness, but feared that contingency planningfor a particular event might actually send the wrong signal to the neighbouringcountry and might be used by the media to embarrass the government. In anattempt to respond to this sensitivity, the UN country team designed a workshopthat dealt broadly with issues of emergency management, including contingency

planning as an integral part of the workshop materials. During the emergencymanagement exercise, participants were asked to elaborate scenarios for afictional situation. Somewhat surprisingly, government representatives built


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Chapter 3EP01

Planning Team Processes

Contingency planning may take place in many forms and forums, utilising anything from simple tocomplex planning teams and methods. Promoting creative combinations of people, agencies and

ideas may help to address unique situations and needs, while, on the other hand, imposing

limitations or tight structures on the planning process may be counterproductive. All planning teamsand processes, however, have to proceed in light of existing organisational structures, local norms

and sensitive issues. Some possible ways to implement the planning process are discussed below.

Use of Existing Processes

Use of existing administrative structures and processes can result in excellent and sustainable plans.

This approach should be handled with care, however, so that contingency planning does not become

just another agenda item, or its importance reduced in light of other issues. Use of existing mecha-

nisms, while ultimately more sustainable, can often be slower than creating special working groups.

Starting Simply

Even for complex emergency operations, contingency planning is best initiatedwith a simple start. In a recent on-going emergency where a spontaneousrepatriation seemed imminent, a small team of staff with rich experience of thesituation and the area launched a contingency planning process by drafting aconcise (but comprehensive) action plan for return. The brief plan was useful inthat it was widely distributed among the humanitarian community and providedthe overall framework needed to guide the process as it was expanded to includeother agencies. Though this first plan evolved considerably, it served as a firstbuilding block for the process.

Creation of Special Working Groups

Creation of a special or temporary group and process highlights the purposes for planning especially

if a new plan is being created, or in a situation of urgency. Some possible supporting arrangements

are roundtables, working groups, sectoral teams, core teams and secretariats, all of which are

described below.

Use of the roundtable process The concept of the roundtable promotes exchange among the

members of a planning team. The roundtable may have broad representation and the number of

participants may be too large to discuss the details of the operation. The roundtable is ideally suited

to deal with some of the bigger policy issues and may also review the first draft and oversee the

whole process.

An Inter-Agency Roundtable

In one complex emergency operation that involved over six separate nations andover 30 different agency offices, an inter-agency roundtable was established atHQs to synthesise and harmonise the various results that emerged from the fieldduring the on-going planning process. Importantly, the roundtable memberswere able to identify weaknesses and inconsistencies in the overall planning thatwere not readily apparent at the field level and clarify policy on a number ofoutstanding points.


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Working Groups The working group may consist of roundtable participants who are directly

involved in the detailed sectoral planning and possibly the core team as well. One function of the

working group may be to ensure consistency between different sectoral plans, and to familiarise all

sectors with the planning assumptions.

Sectoral Teams Sectoral teams develop relevant plans for each sector. Responsibility for organis-

ing and managing the team may go to the agency that would have to execute specific sectoral

operational tasks in an emergency.

Emergency operations often falter because of small, seemingly insignificant details that may have

been overlooked in planning. These details can be something as small as a syringe for vaccinations to

larger equipment needed to offload humanitarian cargo from aircraft. For a core team managing the

planning process in complex operations, it is virtually impossible to cover every detail. Therefore, it is

advisable for managers/planners to establish multi-sectoral teams that can ensure co-ordination with

the proper specialists who are best suited to verify the detailed planning.

Core Team Core team members may mobilise the process and write the draft. The core team

may have only 2 to 5 members, for example, with each member liaising with a number of sectors to

ensure that the preparation of sector plans is on track. When a plan needs to be drafted or revised

urgently, core team members should be released from other responsibilities so they can concentrate

on the contingency planning process. A process manager may be appointed from the core team to

take overall responsibility for managing the contingency planning process.

The diagram shows a highly developed organisation for

a multi-sectoral, interagency contingency planning

team. While many arrangements are possible, this

model shows all of the components likely to be

needed for co-ordinating a fairly complex plan.The contingency planning structure is shown as

concentric circles, with the core contingency planning

team at the centre. The addition of the sectoral teams

makes up the working group. This working group is

part of the still larger Roundtable at which all partners in

the process are represented.

Secretariat The contingency planning process will collect and generate a great deal of documen-

tation that will also be important if the plan is revised, or if an emergency occurs which is different

from the planned scenario. It may be necessary to appoint permanent administrative support

person(s) as a secretariat for the contingency planning process. One of the tasks would be to index

and archive all of the reference material used in preparing the contingency plan.

Th

eR

ound T

able Consultative

Group

Sectoral

Teams

CoreTeam

TheWor

kingGroup


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Contingency plans, once written, may become less relevant each day.

They need to be reviewed regularly; both to make them useful and to

maintain the planning team.

The same techniques that are used to build teams can be used to

encourage participation in the review process and build and maintain

the contingency planning team.

Review of the contingency plan should take place both through requestsfor written comments and through regular review meetings.

The planning processes that should be used for contingency planning

depend on the situation.

Specialised structures or planning groups may promote more rapid

development (and higher profile) of plans but may be less sustainable.

Contingency planning arrangements may take many forms.

Highly developed contingency planning structures may include consultative

roundtables, working groups, sectoral teams, core teams, and secretariats.

SummaryChap

ter

3


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Chapter 3EP01

Chapter 3



sT sF 1. Careful attention paid to structuring contingency planning willlead to better results.

sT sF 2. The proportion of planning done by special rather than existingstructures increases as the urgency increases.

sT sF 3. Crediting partners for their contribution to contingency planningis one way of encouraging continued participation.

sT sF 4. Contingency plans, once written, must be regularly reviewed in

order to remain relevant.

sT sF 5. One of the tasks of the contingency planning focal point orprocess manager is to make sure that changes and modifications

are reflected in the plan.


6. The contingency planning process is more likely to be sustainable if

sA It has a rigid structure

sB Participants perceive that their investment in the process is worthwhile

sC Partners are paid to participate

sD All of the above

7. The functions of the contingency planning secretariat include

sA Managing the core team

sB Indexing and archiving reference material

sC Ensuring that the sectoral teams meet their targets

sD All of the above

8. All of the following contribute to a sustainable contingency planning

process except:

sA Routine processes

sB Frequent meetings

sC A flexible process that encourages involvement based on areas of interest

sD Support from the highest levels in an organisation


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9. Written review comments:

sA Are a waste of time as they do not add to the process

sB Emphasise the status of the plan as being subject to revision

sC Should only be accepted before the plan is finalised

sD All of the above

10. Problems that make maintaining the plan difficult include:

sA The rate of staff turnover among key players

sB Other time pressures in an emergency

sC The fact that plans get out of date

sD All of the above

Exercise A

You are working in a country where there are regular inter-agency meetings

attended by all partners. The inter-agency committee prepared a contingencyplan some years ago and it is revised once a year. The country is now threat-

ened by a refugee influx from a neighbouring county that was always

regarded as very stable and unlikely to be a source of refugee flows. Theexisting contingency is focused on operations at the other end of the country

where conditions are completely different.

You need to urgently revise the contingency plan or develop a new one for

the new scenario. The next meeting of the inter-agency committee is in two

weeks, but the influx may start before then.

What structure would you use for planning?

What will your first step be?


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Chapter 3EP01

Exercise B

Contingency plans are sometimes directly written, rather than facilitated, byoutside experts. Clearly, this does not build the planning team or generate the

process that is advocated in this course.Suggest one major problem that may develop with such plans even where theexperts have detailed knowledge of the country and affected populations, madedetailed interviews, and produced technically sound plans.

Comment on the likely problem

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EP01ContingencyPlanning