1. 1Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section The Consolidated Appeal Process (CAP) CAP Section www.unocha.org/cap

2. 2Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Outline Part I: Common Humanitarian Strategy  Central Emergency Response Fund (CERF)  Common Humanitarian Response Funds (CHFs)  Emergency and Humanitarian Response Funds – (ERFs/HRFs) Part II: Humanitarian Financing  Consolidated Appeal Process  Flash Appeals  Third kind of appeals

3. 3Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section General Assembly Resolution 46/182, December 1991 Strengthening the coordination of humanitarian emergency assistance of the United Nations by:  Creation of the Emergency Relief Coordinator (ERC/USG)  Creation of DHA (became OCHA in 1998) Consolidated Appeal Process (CAP)  Consolidated Appeal Process (CAP)  Central Emergency Revolving (in 2005 ‘Response’) Fund (CERF)  Inter-agency Standing Committee (IASC)

4. 4Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Flash Appeal Consolidated Appeal Issued within five days of the onset of an emergency for up to 3-6 months Issued within 3-6 months of emergency, and annually as needed Flash Appeals and Consolidated Appeals

5. 5Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section What is a CAP? The Consolidated Appeal Process is much more than an appeal for money. It is a tool used by aid organizations to plan, implement and monitor their activities - together.

6. 6Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Elements of a Consolidated Appeal  Context & needs analysis  Scenarios  Strategic priorities  Sector-specific response plan  Monitoring plan Inventory of projects necessary to accomplish the strategy } Common Humanitarian Action Plan (CHAP) + = Consolidated Appeal

7. 7Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section “The Common Humanitarian Action Plan (CHAP) should be the main tool of humanitarian coordination.” (Montreux Donors Retreat on the CAP, 2000)

8. 8Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section  present strategic approaches to humanitarian crises  plan, coordinate, implement & monitor response  appeal for funds cohesively  presents an action plan & set of projects  serves as a road map of required actions & funding needs  ensures funds are spent strategically, efficiently & with greater accountability Why do we need it ? Appeals bring aid organizations, donors and governments together to: Each appeal:

9. 9Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Humanitarian Financing – the basics DEMAND: (Appeals for funding)  Agency appeals  Consolidated Appeal ProcessSUPPLY: (Funding sources)  National government  Civil society  NGO funds  Bilateral donors  Multilateral donors  Private sector  Pooled funds  CERF  Emergency Response Fund  Common Humanitarian Fund

10. 10Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section 2012 Consolidated Appeals and comparable concerted humanitarian action plans (as of 29 Nov 2011)

11. 11Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Consolidated and Flash Appeal Funding: 2001 - 2011 YearNumber of Appeals Requirements US$ Contributions US$ % covered 2001182.56 billion1.42 billion 55% 2002194.37 billion2.95 billion 67% 2003215.22 billion3.96 billion 76% 2004323.42 billion2.20 billion 64% 2005255.98 billion4.02 billion 67% 2006225.06 billion3.38 billion 67% 2007305.14 billion3.72 billion 72% 2008227.09 billion5.08 billion 72% 2009229.71 billion6.93 billion 71% 20101911.25 billion 7.19 billion64% 2011218.90 billion 5.44 billion61%

12. 12Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section What warrants an Appeal?  Any crisis or disaster needing a humanitarian response that:  exceeds the capacity of the affected country’s government  exceeds the capacity and/or mandate of any one organization  An affected government may also formally request international assistance

13. 13Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section What is the CAP’s rationale?  T o 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

14. 14Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Who is involved?  Resident/Humanitarian Coordinator  UN agencies  NGOs  Red Cross/Red Crescent Movement  Donors  Affected country government

15. 15Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section  ERC/USG (Valerie Amos): responsible to IASC, SG and GA for upholding resolutions and IASC policies Key roles in the CAP (1)  Humanitarian Coordinator (HC): triggers appeal and leads the Humanitarian Country Team  OCHA field office: responsible to HC for leading appeal process and consultations; writing general parts of the doc; obtaining inputs from clusters Credit: UN Photo/Jean-Marc Ferré

16. 16Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section  Cluster lead agencies: responsible for sectoral needs assessment  OCHA headquarters:  IASC-Agency headquarters: check the draft appeal (early Nov, back to CAP Section) Key roles in the CAP (2) OCHA Geneva: provides day-to-day support and guidance to HCs and OCHA field offices; find facilitators for CAP workshops; formats / publishes / appeal documents; maintains FTS; develops CAP policy OCHA New York: supports OCHA field office on substantive issues; does final editing on doc (incorporating comments from IASC agency HQs)

17. 17Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Cluster leads are responsible to: Key roles in the CAP (3) lead vet develop monitor consult gather advocate update revise

18. 18Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section crucial Cluster Coordinators have a crucial 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!

19. 19Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Agency/NGO role  Be proactive in the process  Participate in sectoral needs assessment  Help to develop sector response plan  Present realistic project proposals  Engage individually with donors  Report on activities

20. 20Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Why should NGOs participate in the appeal planning process? Cluster membership Donor requirement Visibility Access to pooled funds

21. 21Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section HC office role lead support trigger liaise participate ensure advocate decision- maker

22. 22Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Agency HQ role Supporting their field teams in the elaboration of the appeal:  Substantively reviewing the document and projects during HQ review  Advocating for funding  Reporting to FTS

23. 23Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Humanitarian presence in CAR 2012

24. 24Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Needs analysis – CAR 2012

25. 25Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Sample Strategic Priority  providing assistance  responding to violations and advocacy while intensifying campaigning against the culture of impunity  helping reinforce existing legislation  promoting International Humanitarian Law and Human Rights Law  restoring the dignity of survivors and community-based structures IndicatorTarget 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:

26. 26Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Sector Response Plans - Elements  Description of priority needs in each sector  Outline of response priorities for each sector  Sector objectives (no more than five; SMART *)  Sector wide indicators (no more than five)  Sector response strategy  Brief sector monitoring and evaluation strategy * Specific / measurable / achievable / relevant / time-framed

27. 27Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Sectoral response plan summary Cluster/Sector lead agency(s)UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES Co-leadUNITED 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 projects18 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 beneficiaries216,000 [1] IDPs (108,000 children, 54,000 men and 54,000 women) [1] 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 informationsjoberg@unhcr.org [1] [1] Including spontaneous returnees, who are still considered to be IDPs due to the lack of security and durable solutions.

28. 28Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Projects VettingPrioritization

29. 29Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Project Vetting ‘‘Each CAP, and therefore each project selected for the CAP, should truly deserve 100% funding’’ Therefore, all projects must:  be based on assessed needs  address a strategic priority  be feasible for the proposing organization  be feasible within the CAP-time frame  be reasonably budgeted

30. 30Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Project Vetting: case study from Somalia Project criteria set at CAP workshop Sector coordination groups agree on sector objectives and priorities TECHNICAL REVIEW: Sector chairs + NGO rep SENIOR REVIEW: Country Reps of UN agencies + 2 NGO reps Organizations submit projects Project included Project rejected

31. 31Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Sample Criteria for Project Prioritization organizational criteria demographic criteria geographic criteria sector criteria temporal criteria gender-marker criteria other context-specific criteria

32. 32Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Priority Compiled by OCHA on the basis of information provided by appealing organizations. Table II: Requirements per priority level Consolidated Appeal for Central African Republic 2012 as of 15 November 2011 http://fts.unocha.org Original Requirements ($) 20,313,085 IMMEDIATE 80,599,110 HIGH 33,545,539,, MEDIUM Grand Total 134,457,734 Good practice:

33. 33Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section An inclusive, coordinated programme cycle

34. 34Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section January OctoberApril 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)

35. 35Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Flash Appeals

36. 36Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section GA Resolution 46/182 “For emergencies requiring a consolidated response, the Secretary-General should ensure that an initial Consolidated Appeal covering all concerned organizations of the system, prepared in consultation with the affected State, is issued within the shortest possible time…”

37. 37Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section What is a Flash Appeal? strategic humanitarian response plan tool for coordination, planning, and programming contains : rapid needs assessment information common humanitarian action 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

38. 38Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Indicative time frame from crisis onset Day 1 HC/RC triggers appeal, in consultation with HCT and government Day 2-3 HC/RC and HCT establish strategic priorities, planning assumptions, and criteria Day 1-3 Clusters/sectors conduct rapid needs assessment and prepare sectoral response plans with partners to input to appeal Day 4 RC/HC, with support from OCHA, consolidates response plans into appeal Day 5 OCHA CAP section shares draft with IASC HQs for 24 hour- review Day 6-7 OCHA CAP section processes & electronically publishes appeal

39. 39Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Example of a project summary box SHELTER CLUSTER$ OXFAM PHL-09/S- NF/27810 Project TitleEmergency Shelter and NFIs Assistance to Affected Population in Bulacan, Rizal, Laguna, Cavite, and in NCR if required 1,000,000 ObjectiveProvide emergency shelter and NFIs to families whose houses have been destroyed to ensure privacy and dignity, particularly for women and children Beneficiaries10,000 families (55,000 people) The target group for the programme includes women- headed households, daily wage labourers, landless (both urban and rural) PartnersPDRN

40. 40Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section The Result  FIRST EDITION: compromise between speed and precision: the early first edition not based on comprehensive information

41. 41Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section  SECOND EDITION: (or revision) is prepared when better info is available—usually 4-6 weeks later. It may also include more early recovery programmes which could not be assessed in time for the first edition

42. 42Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Revising Flash Appeals  Revisions are necessary because flash appeals are written within a short timeframe and use incomplete information  Revisions take place within four weeks of the publication of the original appeal (using the Online Project System (OPS))  Revisions also accomplish the following:  Update sector/cluster response plans  Reprioritize humanitarian response activities  Analyze funding  Advocate for donor support  Present up-to-date information  Outline progress made  Assess the effectiveness of current strategy

43. 43Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section Third kind  Sensitivities with governments  Transitional appeals  Regional Response Plans

44. 44Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section PARTNERSHIPS CAPACITY & PREDICTABAILITY FINANCING LEADERSHIP STRENGTHENING HUMANITARIAN RESPONSE Part II: Humanitarian Financing

45. 45Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section For further information regarding:  Consolidated Appeal Process (CAP): www.unocha.org/cap  Financial Tracking Service (FTS): http://fts.unocha.org  Online Project System (OPS): http://ops.unocha.org  Inter-agency Standing Committee (IASC): www.humanitarianinfo.org/iasc

46. 46Office for the Coordination of Humanitarian Affairs (OCHA) CAP (Consolidated Appeal Process) Section