The Consolidated Appeal Process

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The Consolidated Appeal Process

• A summary presentation for practitioners

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The Consolidated Appeal Process

• The presentation will outline
• Purpose
• Background
• Process
• Outcomes

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The Consolidated Appeal Process

• Purpose

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What is the Consolidated Appeal Process?
a programming process through which national,
regional and international relief systems .....
are able to mobilize and respond to selective
major or complex emergencies that require a
system-wide response to humanitarian
crisis 1994 IASC Approved Guidelines on the
CAP, para B 1.
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Who participates in the CAP ?

• should be carried out in full collaboration
  with United Nations bodies and other relevant
  humanitarian organizations, international
  financial institutions, donors and host
  governments as an important step towards a more
  integrated and strategic approach.
• From conclusions of ECOSOC session, 6-31 July
  1998

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What is Humanitarian Strategy in the Context of
the CAP ?

• A humanitarian strategy is a plan that will
  identify agreed-upon goals of the humanitarian
  community to
• alleviate suffering and seek durable solutions
• promote recovery
• reduce the need for relief assistance
• complement and influence work of concerned
  political entities in order to safeguard
  humanitarian principles.
• The humanitarian strategy will be jointly
  implemented by the UN, NGOs and local authorities.

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The Consolidated Appeal Process

• The Background

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Why do we need to improve the CAP ?

• To demonstrate optimal humantiarian coordination
• Closer scrutiny of humanitarian operations
• Increased accountability to donors and
  recipients
• Increased competition for available funds

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Expectations of the CAP

• DONORS expect the Consolidated Appeal Process to
  provide
• Improved Coordination
• Common strategy for humanitarian action
• Effective prioritisation
• Realistic budget requirements
• Accountability

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Expectations of the CAP
Participants in the CAP expect it to provide
added value in terms of

• coordination
• timely resource flows
• effectiveness of humanitarian programmes

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The Inter AgencyConsolidated Appeal Process

• Evolution
• General Assembly Resolution 46/182
• 1994 Inter Agency Standing Committee approved CAP
  Guidelines
• Secretary Generals Reform Paper, 1997 (para 191)

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The Consolidated Appeal Process

• Process

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The CAP Cycle
Development of a Common Humanitarian Action Plan
Appeal Preparation
Entry
Exit
Implementation
Review
Implementation
Strategic monitoring / reporting
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Common Humanitarian Action Planning is defined
as

• A dynamic process involving a disciplined
  effort to produce fundamental decisions and
  actions that shape and guide what a humanitarian
  programme does.

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The objective of developing a Common Humanitarian
Action Plan

• To build a sense of common purpose among the main
  humanitarian and development actors
• To gain a clear overall direction
• To assist in the process of prioritization
• To ensure learning from previous experience.
• To support effective resource mobilization

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Process for developing the Common Humanitarian
Action Plan
Strategic Analysis
Internal Analysis
External Analysis
Long term humanitarianGoals
indicators
indicators
Sectoral Operational Objectives
Programme Implementation
Monitoring / Reporting System
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Components of a CHAP

• Presentation of possible scenarios
• Competencies and capacity analysis
• Statement of humanitarian principles
• Long Term Goals
• Sectors to be addressed
• Criteria for prioritisation
• Relationship with other assistance programmes

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The CAP Cycle
Development of a Common Humanitarian Action Plan
Appeal Preparation
Entry
Exit
Implementation
Review
Implementation
Strategic monitoring / reporting
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Objectives of a Consolidated Appeal Document

• To present a Common Humanitarian Action Plan
  based on an agreed strategy
• To provide a reference point for the
  international community on humanitarian strategy,
  programming and funding requirements
• To provide a framework for system-wide monitoring
  and reporting
• To be a tool for fund-raising, advocacy and
  accountability

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5 steps for developing Consolidated Appeals
Post appeal follow-up
Launch the appeal
Prepare the Appeal document
Develop a CHAP
Review if the consolidated appeal is needed
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Appeal Document Contents Outline

• Part 1 The Common Humanitarian Action Plan
• Executive summary 1-2 pages
• Previous period in review 2 pages (Int Ext
  Analysis)
• Humanitarian Context 2 pages (Int Ext
  Analysis)
• Common Humanitarian
• Action Plan 5-6 pages (strategic analysis)
• Part 2 Sectoral Programmes / Projects
• Prioritisation criteria 1 page
• Programmes/Projects by sector 1 page tabular
  summary
• Individual Programmes/Projects 1 page summaries
• Financial summary by agency 1 page tabular
  summary

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The CAP Cycle
Development of a Common Humanitarian Action Plan
Appeal Preparation
Entry
Exit
Implementation
Review
Implementation
Strategic monitoring / reporting
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Strategic monitoring can be defined as

• A process that enables assessment of the
  progress and effectiveness of a given common
  humanitarian action plan and, if necessary, its
  modification.

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Objectives of a field level strategic monitoring
system

• Improve strategic decision making
• Identify problems or gaps in the humanitarian
  response in a timely way
• Clarify accountability within the humanitarian
  system
• Ensure that the perspectives of beneficiaries and
  other groups affected by humanitarian
  interventions are known to humanitarian decision
  makers
• Support resource mobilization
• Build on existing monitoring systems
• Provide the humanitarian community with a basis
  for reviews and evaluations

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The Strategic Monitoring Framework
S t r a t e g i c
S t r a t e g i c
Scenarios and humanitarian principles
Long term goals
O p e r a t i o n a l
O p e r a t i o n a l
Beneficiary and populations affected by
humanitarian interventions
Sector and cross cutting objectives
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The CAP Cycle
Development of a Common Humanitarian Action Plan
Appeal Preparation
Entry
Exit
Implementation
Review
Implementation
Strategic monitoring / reporting
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Objectives of Common Humanitarian Action Plan
Review

• To identify the progress made towards long and
  short term goals and sector operational
  objectives
• To analyse implications of changes in external
  environment for the common humanitarian action
  plan
• To identify modifications needed to the goals and
  sectoral operational objectives
• To identify implications for the humanitarian
  community of modification in terms of programming
  and resource requirement

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Outline of Roles and Responsibilities for
implementing the CAP

• The Humanitarian Coordinator
• 1. Coordinate with broad participation the
  preparation and implementation of an overall
  humanitarian strategy and plan
• 2. Implement the CAP in line with the IASC
  Guidelines ensuring prioritization takes place
• 3. Monitor humanitarian needs, identify gaps and
  ensure appropriate responses
• 4. Ensure reporting on and review of the CAP

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Outline of Roles and Responsibilities for
implementing the CAP

• The Country Team
• Identify and agree upon the key elements of the
  Common Humanitarian Action Plan (CHAP) and
  Consolidated Appeal (CA).
• Clarify roles and responsibilities for the
  development of CHAP and the CA.
• Implement the process through the development of
  a detailed work plan to build the CHAP and CA.
• Develop a quality and timely CHAP and CA.
• Ensure the broadest understanding of the CHAP
  through the effective dissemination of the CA.
• Establish a strategic monitoring and CAP
  reporting and review process.

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Outline of Roles and Responsibilities for
implementing the CAP

• Headquarters
• Support and advise the Humanitarian Coordinator
  and country team by
• 1. Providing technical support in the development
  of the CHAP by
• - Clarifying the concepts and core elements of
  the process.
• - Assisting with information analysis.
• - Providing a quality assurance mechanism.
• - Guiding the editing process.
• 2. Providing technical guidance on the
  structuring and content issues of the
  consolidated appeal.
• 3. Setting the context within which the Appeal is
  being developed.

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The Consolidated Appeal Process

• Outcomes

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What are the outputs from the CAP

• 1 A shared and agreed common humanitarian action
  plan including clear goals and sectoral
  operational objectives
• 2 A timely and prioritized Consolidated Appeal
• 3 A monitoring process that a) enables ongoing
  adjustment to the common humanitarian action plan
  b) improves accountability to beneficiaries
• 4 A review process (CAP reports and reviews) that
  supports strategy (re) formulation as well as
  resource mobilization efforts.

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Parting thoughts

• the CAP must be more than a collection of
  individual agency appeals. It must reflect a
  coherent strategy and a prioritization of needs.
  It must serve as a benchmark against which an
  operations effectiveness can be monitored and
  evaluated.
• Statement by Ms. Julia Taft, Assistant
  Secretary of State for Population, Refugees and
  Migration to ECOSOC Session, New York, 15 July
  1998.