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

1Office for the Coordinationof Humanitarian Affairs (OCHA)

CAP (Consolidated Appeal Process) Section

The Consolidated Appeal Process (CAP)

CAP Sectionwww.unocha.org/cap



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



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)



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



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.



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



“The Common Humanitarian Action Plan (CHAP) should be the main

tool of humanitarian coordination.”

(Montreux Donors Retreat on the CAP, 2000)



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:



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



2012 Consolidated Appeals and comparable concerted humanitarian action plans (as of 29 Nov 2011)



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%



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



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



Who is involved?

Resident/Humanitarian Coordinator

UN agencies

NGOs

Red Cross/Red Crescent Movement

Donors

Affected country government



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



Cluster lead agencies: responsible for sectoral needs assessment

OCHA headquarters:

IASC-Agency headquarters: check the draft appeal (early Nov, back to CAP Section)


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)



Cluster leads are responsible to:


leadvet

develop

monitor

consult

gather

advocate

update

revise



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!



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



Why should NGOs participate in the appeal planning process?

Cluster membership

Donor requirement Visibility Access to

pooled funds



HC office role

lead support

trigger

liaise

participate

ensure

advocate

decision-maker



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



Humanitarian presence in CAR 2012



Needs analysis – CAR 2012



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:



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



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.



Projects

Vetting Prioritization



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



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



Sample Criteria for Project Prioritization

organizational criteria

demographic criteria

geographic criteria

sector criteria

temporalcriteria

gender-marker criteria

other context-specific

criteria



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:



An inclusive, coordinated programme cycle



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)



Flash Appeals



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…”



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



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



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



The Result

FIRST EDITION:

compromise between speed and precision: the early first edition not based on comprehensive information



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



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



Third kind

Sensitivities with governments

Transitional appeals

Regional Response Plans



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STRENGTHENING HUMANITARIAN

RESPONSE

Part II: Humanitarian FinancingPart II: Humanitarian Financing



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



Documents

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