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Humanitarian Financing and Consolidated Appeals Process

Learn about the humanitarian financing process, including appeals and pooled funding mechanisms. Explore the history behind the creation of the Consolidated Appeals Process and the role of flash appeals in responding to emergencies effectively.

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Humanitarian Financing and Consolidated Appeals Process

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  1. HUMANITARIAN FINANCING ESTHER KUISCH-LAROCHE CHIEF, FINANCIAL TRACKING SERVICE (kuisch@un.org)

  2. HUMANITARIAN FINANCING • Appeals processes • Pooled funding mechanisms • CERF exercise • FTS and OPS

  3. DEMAND Agency-specific appeals NGO consortium appeals Project proposals to bilateral donors Consolidated appeals processes Flash Appeals CAPs SUPPLY National government Civil society NGO funds Bilateral donors Multilateral donors Private sector Pooled funds (CERF, CHF, ERF) HUMANITARIAN FINANCING

  4. DEMAND SIDE: JOINT APPEALS FOR FUNDING • Consolidated appeals processes: • Flash Appeals - sudden onset disasters • Consolidated Appeals • (CAP) – • on-going (complex) emergencies

  5. HISTORICAL BACKGROUND What emergency in 1991 was the catalyst for the creation of the Consolidated Appeals Process? • The Kurdish Refugee Crisis • WHY: • massive refugee influx • uncoordinated response • chaos

  6. HISTORICAL BACKGROUND 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) • Inter-agency Standing Committee (IASC) • Consolidated Appeals Process (CAP) • Central Emergency Revolving Fund (CERF)

  7. HISTORICAL BACKGROUND GA Resolution 46/182: “For emergencies requiring a consolidated response, the Secretary-General should ensure that an initial Consolidated Appeal covering all concerned organisations of the system, prepared in consultation with the affected State, is issued within the shortest possible time…”

  8. FLASH APPEALS – WHAT IS A FLASH APPEAL? • Overview of urgent life-saving needs • Within a week of emergency's onset • Acute needs 3- 6 months • Consolidated Appeal (CAP) for longer-term emergencies • Includes: • rapid needs assessments (3 days!) • cluster response plans • projects for funding

  9. FLASH APPEALS – INDICATIVE TIMEFRAME Day 1 - HC/RC triggers flash appeal – consults country team & government. Day 2-4 - Clusters conduct rapid needs assessment and prepare cluster response plans and select projects. Day 5 - HC sends final draft to OCHA CAP Section, which circulates it for comment within 24 hr to IASC HQs. Day 7 - CAP Section processes & electronically publishes document Official launch of appeal. Donors select from menu of projects. Week 4 - Revision of flash appeal

  10. ROLE OF CLUSTER COORDINATORS IN THE FA • Coordinators have crucial role: • Involve all cluster participants • Coordinate rapid needs assessments • Discuss cluster strategy, objectives and priorities • Lead & coordinate response plans • Gather project proposals inclusively • Vet projects transparently • ALL VERY FAST!

  11. CONSOLIDATED APPEALS – WHAT IS A CAP? • A CAP is basically a longer version of a Flash Appeal (12 months), for longer-term crises, offering more analysis and detail. • It consists of a strategic framework called the Common Humanitarian Action Plan (CHAP) and a list of projects with budgets. Together these two parts are called a Consolidated Appeal. • The CHAP provides: • A common analysis of the context in which humanitarian takes place; • An assessment of needs; • Best, worst, and most likely scenarios for the coming year; • Detailed cluster response plans; • A clear statement of strategic priorities, objectives and goals; and • A framework for monitoring the strategy and revising it if/when necessary.

  12. CONSOLIDATED APPEALS – ELEMENTS OF A CAP } • Needs assessment & analysis • Strategic priorities • Sector-specific response plans • Strategic monitoring framework Common Humanitarian Action Plan (CHAP) + Inventory of projects and budgets necessary to accomplish the strategy ($) = Consolidated Appeal (CAP) It puts a price tag on the humanitarian response and allows donors’ funding to be measured against needs.

  13. The CHAP is… The humanitarian sector’s main tool for coordination, strategic planning and programming.

  14. The CHAP utilizes a “logical framework” approach to ensure a rational and logical consistency between strategic priorities, sector objectives, monitoring indicators, and activities. • Each strategic priority will have associated sector objectives that will be measured by observable and measurable indicators.

  15. The CAP is not… A collection of all humanitarian activities in a given country.

  16. Typical process: • Cluster coordination and needs assessments (on-going) • CHAP consultative workshop – all stakeholders agree strategic priorities • Clusters make detailed response plans & upload projects on OPS. • OCHA supports partners in writing general sections, assembles other parts, circulates to humanitarian country team & HC for approval, then sends to GVA • OCHA-GVA shares with IASC HQ for comments, finalises & publishes • Global launch in Geneva. Possible local launch in country capital.

  17. Then… • Donor pledging meeting • Monitoring (on-going) • Financial tracking (on-going) http://fts.unocha.org • Mid-year review: consultative workshops, draft doc in field, OCHA-GVA publishes, MYR launch • Preparation of next year’s CHAP workshop?

  18. If there is a need to change the humanitarian strategy or funding requirements, the document and related projects + budgets can be revised in any way at any time.

  19. SUPPLY SIDE: SOURCES OF FUNDING Focus on pooled fund mechanisms: • CERF • CHF • ERF

  20. SUPPLY SIDE: POOLED FUNDS • CERF - Central Emergency Response Fund • Global rapid response to sudden onset disasters & funding for neglected or underfunded emergencies • CHF - Common Humanitarian Funds • Large country-specific pooled funds – Sudan, DRC, CAR, Somalia (recently established in June 2010). • ERF – Emergency Response Funds • Smaller country-specific pooled funds for unforeseen needs. (Afghanistan, Colombia, DRC, Ethiopia, Haiti, Indonesia, Iraq, Kenya, Myanmar, Nepal, oPt, Pakistan, Sudan, Uganda, Yemen and Zimbabwe.)

  21. Complementarity of Pooled Funds NGO ERF CHF Rapid Onset CAP Emergency CERF(Global) UN

  22. COMMON HUMANITARIAN FUNDS (CHF) The main objective of a CHF is to ensure timely and predictable funding of core activities within a Common Humanitarian Action Plan (CHAP) by providing CHF grants to priority projects included in the CAP. All organisations participating in the CAP are eligible to receive CHF funding. Allocation rounds are typically undertaken two to three times a year, with the majority of CHF funds allocated at the beginning of the year. Allocations are based on a consultative allocation process that engages clusters and other relevant stakeholders at country level in a comprehensive prioritisation exercise.

  23. COMMON HUMANITARIAN FUNDS (CHF) Based on allocation proposals developed and submitted by sector/cluster groups, and supported by a technical Review Board, the HC makes final decisions on CHF grants. An Advisory Board with donor, UN and NGO participation advises the HC on policy issues and strategic direction of the fund. HC is responsible for the overall management and oversight of the CHF. Day to day management is performed by OCHA. Financial administration is undertaken by UNDP. UNDP receives and manages donor contributions to the fund. The Emergency Reserve (typically 10%) is used by the HC to respond to unforeseen emergency needs outside the CAP.

  24. EMERGENCY RESPONSE FUNDS (ERF) The name Emergency Response Fund (ERF) is used as an umbrella term covering a broad number of country-based funds. The specifics of the individual funds reflect the country contexts in which they have been established and therefore vary. ERFs are known under different names in different countries including Humanitarian Response Funds (HRF). An ERF is established to provide NGOs and UN with a rapid and flexible in-country funding mechanism to help respond to small shocks and meet the short-term emergency needs of vulnerable communities. The aim of an ERF is to provide initial funding for a sudden onset emergency to enable humanitarian partners to respond to a crisis without delay.

  25. EMERGENCY RESPONSE FUNDS (ERF) ERF is not intended to provide core funding to projects or programmes in a protracted crises, although some ERFs may provide funding to critical gaps in the CAP on an exceptional basis. Under the overall management and oversight of the HC. Day to day management and financial administration performed by OCHA. Funds are channelled through OCHA to NGOs and UN agencies.

  26. EMERGENCY RESPONSE FUNDS (ERF) When needs emerge, partners submit proposals for funding to OCHA, and the HC makes decisions on ERF grants supported by a technical Review Board and the clusters. An Advisory Board with donor, UN and NGO participation advises the HC on policy issues and strategic direction of the fund. Generally, ERFs are relatively small in size (less than $10 million), provides small to medium sized grants (less then $500,000) and predominantly fund NGOs. However, the flexibility of ERFs mean that not all funds adhere to this profile.

  27. CENTRAL EMERGENCY RESPONSE FUNDS (CERF) • CERF (global) mandate: • Promote early action and response to reduce loss of life • Enhance response to time-critical requirements • Strengthen core elements of humanitarian response in underfunded crisis • Complement existing humanitarian funding

  28. CENTRAL EMERGENCY RESPONSE FUNDS (CERF) • Rapid response grants (2/3 of grant facility – $300m) • Promote early action and response to reduce loss of life • Enhance response to time-critical requirements • Under-funded crises (1/3 of grant facility - $150m) • Strengthen core elements of humanitarian response in underfunded crises • Loan facility ($50 million) • Funding committed but not yet paid; or commitment very likely

  29. CERF PROPOSALS AND APPEALS PROCESSES Timeline for Planning and Appeals Flash Appeal – Multiple donors up to 6 months Consolidated Appeals Process (CAP) 6 months on • Cluster • Response Plan • plus projects CERF Project proposals

  30. CERF – WHO CAN RECEIVE FUNDING? • UN agencies & IOM. (OCHA is not eligible for grants.) • NGOs cannot apply directly for CERF funds, but should participate in process as part of the clusters, and do receive funds as implementing partners of UN agencies & IOM. • To increase transparency NGOs should try to negotiate their role as implementing partners with the UN agencies at the time of the drafting of the CERF application and make sure that they are named as such in the proposal (preferably with the % of funding that will go to them).

  31. CERF – ESSENTIAL CRITERIA • Life-saving activities or services • Time-critical actions or resources If not met, then

  32. CERF –FUNDING CRITERIA • All projects funded through the CERF grant component must be for life-saving / core emergency humanitarian programmes defined as: Activities that, within a short time span, remedy, mitigate or avert direct loss of life, physical harm or threats to a population or major portion thereof. • Also permissible are common humanitarian services that are necessary to enable life-saving activities (e.g. air support, emergency telecommunications, logistics).

  33. CERF – ACTIVITIES OUTSIDE THE MANDATE Activities that are not immediately life-saving, such as disaster mitigation, early warning, prevention and preparedness, economic recovery, poverty reduction, and disarmament are not suitable. CERF contributions do not cover: • Recurrent costs (regular government staff salaries, running office and maintenance costs, etc.) • Regular agency stockpiling • Capacity building and training (funded only if related to direct implementation of emergency response) Proposals that contain life-saving elements in the project narrative but the budgets focus on non-life-saving elements are not suitable for the CERF grant window.

  34. GUIDANCE ON PRIORITY ACTIVITIES

  35. CERF –FUNDING CRITERIA • CERF was the largest and fastest source of funding to the 2010 Flash Appeals • CERF fills gaps across appeals • But….. CERF is only 7% of global humanitarian contributions Keep in mind

  36. CERF – MAIN REASONS FOR DELAY BUDGET ERRORS !

  37. WHAT IS WRONG WITH THIS BUDGET?

  38. WHAT IS WRONG WITH THIS BUDGET?

  39. CERF LIFE-SAVING CRITERIA TIME FOR AN EXERCISE!

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