The Consolidated
Appeal Process
Rome, 9-10 May 2012
CAP Section
www.unocha.org/cap
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
1
Process) Section
OUTLINE
PART I – THE CAP AND THE PROGRAMME
CYCLE
PART II – ROLES & RESPONSIBILITIES
PART III – PROJECT DESIGN & ASSESSMENT
CONCLUSIONS
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
2
Process) Section
PART I: THE CONSOLIDATED APPEAL
PROCESS
Much more than an appeal for money…
The programme cycle includes:
• (Preparedness)
• Assessment
• Joint planning and response
• Information management
• Resource mobilisation
• Monitoring
• (Transition)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
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Process) Section
Needs
assessment
Joint
planning
Office for the Coordination
of Humanitarian Affairs (OCHA)
Resource
mobilisation
Monitoring
CAP (Consolidated Appeal
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Process) Section
An inclusive, coordinated programme cycle
Assessment
Monitoring
Resource
allocation
Office for the Coordination
of Humanitarian Affairs (OCHA)
Joint planning –
strategic level
Joint planning –
detailed
operational level
CAP (Consolidated Appeal
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Process) Section
Main types of activities in
consolidated appeals
• Life-saving: actions that within a short time span
remedy, mitigate or avert direct loss of life, physical and
psychological harm or threats to a population or major
portion thereof and/or protect their dignity
• Time critical: necessary, rapid and time-limited actions
and resources required to minimize additional loss of
lives and damage to social and economic assets. It
relates to the opportunities for rapid injection of
resources to save lives either in complex emergencies or
after natural disasters
•
Source: CERF guidelines
Office for the Coordination
of Humanitarian Affairs (OCHA)
OCHA CAP Section
CAP (Consolidated Appeal
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Process) Section
PART II: ROLES AND RESPONSIBILITIES
Who is involved in the CAP?
 Resident/Humanitarian Coordinator
 UN agencies (field and HQ)
 NGOs
 Red Cross/Red Crescent Movement
 Donors
 Affected country government and populations
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
7
Process) Section
Resident/Humanitarian
Coordinators
support
lead
decision
-maker
participate
trigger
ensure
liaise
Office for the Coordination
of Humanitarian Affairs (OCHA)
advocate
CAP (Consolidated Appeal
8
Process) Section
Cluster coordinators
assess
vet
lead
update
consult
develop
gather
revise
monitor
advocate
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
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Process) Section
Agency/partner role
develop
report
participate
implement
engagement
proactive
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
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Process) Section
What should cluster/members be
doing in the field?
•
•
•
•
•
•
•
Be proactive in the CAP process
Participate in sectoral needs assessments
Help develop sector response plan
Present realistic project proposals
Engage individually with donors
Implement projects
Report on activities (to FTS)
Office for the Coordination
of Humanitarian Affairs (OCHA)
OCHA CAP Section
CAP (Consolidated Appeal
11
Process) Section
Agency HQ role
support
review
Office for the Coordination
of Humanitarian Affairs (OCHA)
report
advocate
CAP (Consolidated Appeal
12
Process) Section
PART III: PROJECT DESIGN &
ASSESSMENT
What defines a good humanitarian project
Selection and prioritisation
Gender marker
Cluster Indicators
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
13
Process) Section
Building a consolidated appeal
• The Common Humanitarian Action Plan
– Comprises the common elements of a consolidated appeal,
including contextual and needs analysis, scenarios, boundaries
and scope of action, strategic objectives, project selection and
prioritisation criteria
• The cluster response plans
– Comprise objectives that operationalise one or more of the
strategic objectives, and include their own objectives, activities,
outcomes, indicators, and monitoring plan
• The projects
– Designed to respond to one or more of the cluster’s objectives,
and must meet the cluster’s and appeal’s selection criteria.
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
14
Process) Section
Cluster response plans
SUMMARY BOX
AFFECTED POPULATIONS AND
BENEFICIARIES
Cluster lead agency
Cluster member
organizations
NARRATIVE AND LOGFRAME
Needs analysis
Categories of affected people
Response strategy/approach
Number of projects
Assumptions and risk
Cluster objectives
Number of people in need
Number of beneficiaries
Coverage of needs with actors not in the
CAP
Funds required
Funds required per priority
level
Interrelation of needs with other
clusters/sectors
Targeted Beneficiaries
Contact information
Office for the Coordination
of Humanitarian Affairs (OCHA)
Monitoring strategy
Logframe
CAP (Consolidated Appeal
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Process) Section
Cluster response plans:
key challenges
 Cluster objectives clearly linked to strategic objectives
 Defining the categories of affected people, the number of
people in need, and the targeted beneficiaries
 MAPPING: CAP and non-CAP actors and activities
 Demonstrating no duplications or gaps
 Clear needs assessments information and concise needs
analysis
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
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Process) Section
Projects
Design
Vetting
Selection
Inclusion
Prioritisation
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
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Process) Section
Project vetting
‘‘Each CAP, and therefore each project selected for
the CAP, should truly deserve 100% funding’’
All projects must:
 be based on assessed needs
 address a cluster objective
 work towards achieving a strategic objective
 be feasible for the proposing organization
 be feasible within the CAP-time frame
 be reasonably budgeted
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
18
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
Organizations
submit projects
Project included
Project rejected
CAP (Consolidated Appeal
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Process) Section
Sample criteria for project prioritization
temporal
criteria
organizational
criteria
other
context-specific
criteria
demographic
criteria
gender-marker
criteria
geographic
criteria
sector
criteria
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
20
Process) Section
An example of good practice
Table II: Requirements per priority level
Consolidated Appeal for Central African Republic 2012
as of 15 November 2011
http://fts.unocha.org
Compiled by OCHA on the basis of information provided by appealing organizations.
Priority
Original Requirements ($)
IMMEDIATE
20,313,085
HIGH
80,599,110
MEDIUM
33,545,539
Grand Total
Office for the Coordination
of Humanitarian Affairs (OCHA)
,
,
134,457,734
CAP (Consolidated Appeal
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Process) Section
CAP: Key dates
Local
launches
January
Programme Kick-Off
Conference
(mid Jan)
Global Launch of the
Consolidated Appeal
(end Nov)
October
April
MYR process
(May - June)
CAP Field-Workshop:
(Aug/Sept)
July
Office for the Coordination
of Humanitarian Affairs (OCHA)
Mid-Year
Conference
(mid July)
CAP (Consolidated Appeal
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Process) Section
For further information:
 Consolidated Appeal Process (CAP)
http:// 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)
http:// www.humanitarianinfo.org/iasc
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
23
Process) Section