The Consolidated Appeal
Process (CAP)
CAP Section
www.unocha.org/cap
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
1
Process) Section
Outline
Part I: Common Humanitarian Strategy
 Consolidated Appeal Process
 Flash Appeals
 Third kind of appeals
Part II: Humanitarian Financing
 Central Emergency Response Fund (CERF)
 Common Humanitarian Response Funds
(CHFs)
 Emergency and Humanitarian Response
Funds – (ERFs/HRFs)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
2
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)
 Central Emergency Revolving (in 2005 ‘Response’) Fund
(CERF)
 Inter-agency Standing Committee (IASC)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
3
Process) Section
Flash Appeals and
Consolidated Appeals
Flash Appeal
Issued within five days of
the onset of an emergency
for up to 3-6 months
Issued within 3-6
months of
Consolidated Appeal emergency, and
annually as needed
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
4
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.
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
5
Process) Section
Elements of a Consolidated Appeal
 Context & needs analysis
 Scenarios
 Strategic priorities
}
 Sector-specific response plan
 Monitoring plan
Common Humanitarian
Action Plan (CHAP)
+
=
Inventory of projects necessary to accomplish the strategy
Consolidated Appeal
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
6
Process) Section
“The Common Humanitarian Action
Plan (CHAP) should be the main
tool of humanitarian coordination.”
(Montreux Donors Retreat on the CAP, 2000)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
7
Process) Section
Why do we need it ?
Appeals bring aid organizations,
donors and governments
together to:
 present strategic approaches to
humanitarian crises
 plan, coordinate, implement & monitor
response
 appeal for funds cohesively
Each appeal:
 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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
8
Process) Section
Humanitarian Financing – the basics
DEMAND:
SUPPLY:
(Appeals for funding)
(Funding sources)
 Agency appeals
 Consolidated Appeal Process







National government
Civil society
NGO funds
Bilateral donors
Multilateral donors
Private sector
Pooled funds
 CERF
 Emergency Response Fund
 Common Humanitarian Fund
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
9
Process) Section
2012 Consolidated Appeals and comparable concerted humanitarian action plans (as of 29 Nov 2011)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
10
Process) Section
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%
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
11
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
12
Process) Section
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
13
Process) Section
Who is involved?
 Resident/Humanitarian Coordinator
 UN agencies
 NGOs
 Red Cross/Red Crescent Movement
 Donors
 Affected country government
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
14
Process) Section
Key roles in the CAP (1)
 ERC/USG (Valerie Amos):
responsible to IASC, SG and
GA for upholding resolutions
and IASC policies
Credit: UN Photo/Jean-Marc Ferré
 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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
15
Process) Section
Key roles in the CAP (2)
 Cluster lead agencies: responsible for sectoral needs
assessment
 OCHA headquarters:
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)
 IASC-Agency headquarters: check the draft appeal
(early Nov, back to CAP Section)
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
16
Process) Section
Key roles in the CAP (3)
Cluster leads are responsible to:
vet
lead
update
consult
develop
gather
revise
monitor
advocate
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
17
Process) Section
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!
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
18
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
19
Process) Section
Why should NGOs participate in the
appeal planning process?
Cluster
membership
Donor
requirement
Office for the Coordination
of Humanitarian Affairs (OCHA)
Visibility
Access to
pooled funds
CAP (Consolidated Appeal
20
Process) Section
HC office role
lead
support
decisionmaker
participate
trigger
ensure
liaise
Office for the Coordination
of Humanitarian Affairs (OCHA)
advocate
CAP (Consolidated Appeal
21
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
22
Process) Section
Humanitarian presence in CAR 2012
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
23
Process) Section
Needs analysis – CAR 2012
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
24
Process) Section
Sample Strategic Priority
Strategic Objective 2:
Protect conflict-affected people, particularly
IDPs and others whose rights have been
violated, by:
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
 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
CAP (Consolidated Appeal
25
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
26
Process) Section
Sectoral response plan summary
[1]
Cluster/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: $5,264,592
Contact information
sjoberg@unhcr.org
Including spontaneous returnees, who are still considered to be IDPs due to the lack of security and durable solutions.
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
27
Process) Section
Projects
Vetting
Office for the Coordination
of Humanitarian Affairs (OCHA)
Prioritization
CAP (Consolidated Appeal
28
Process) Section
Project Vetting
‘‘Each CAP, and therefore each project selected for
the CAP, should truly deserve 100% funding’’
Therefore, all projects must:
 be based on assessed needs
 address a strategic priority
 be feasible for the proposing organization
 be feasible within the CAP-time frame
 be reasonably budgeted
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
29
Process) Section
Project Vetting: case study from Somalia
Project criteria set at CAP workshop
Sector coordination groups agree on
sector objectives and priorities
TECHNICAL REVIEW:
Sector chairs + NGO rep
SENIOR REVIEW:
Country Reps of UN agencies
+ 2 NGO reps
Office for the Coordination
of Humanitarian Affairs (OCHA)
Organizations
submit projects
Project included
Project rejected
CAP (Consolidated Appeal
30
Process) Section
Sample Criteria for Project Prioritization
temporal
criteria
organizational
criteria
other
context-specific
criteria
demographic
criteria
gender-marker
criteria
geographic
criteria
sector
criteria
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
31
Process) Section
Good practice:
Table II: Requirements per priority level
Consolidated Appeal for Central African Republic 2012
as of 15 November 2011
http://fts.unocha.org
Compiled by OCHA on the basis of information provided by appealing organizations.
Priority
Original Requirements ($)
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
32
Process) Section
An inclusive, coordinated programme cycle
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
33
Process) Section
CAP: Key-Dates
Local
launches
January
Programme Kick-Off
Conference
(mid Jan)
Global Launch of the
Consolidated Appeal
(end Nov)
October
April
CAP Field-Workshop:
(Aug/Sept)
July
Office for the Coordination
of Humanitarian Affairs (OCHA)
Mid-Year
Conference
(mid July)
CAP (Consolidated Appeal
34
Process) Section
Flash Appeals
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
35
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…”
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
36
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
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
CAP (Consolidated Appeal
37
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
OCHA CAP section shares draft with IASC HQs for 24 hourreview
Day 5
Day 6-7
OCHA CAP section processes & electronically publishes
appeal
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
38
Process) Section
Example of a project
summary box
SHELTER CLUSTER
OXFAM
PHL-09/SNF/27810
$
Project Title
Emergency Shelter and NFIs
Assistance to Affected Population
in Bulacan, Rizal, Laguna, Cavite,
and in NCR if required
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 womenheaded households, daily wage
labourers, landless (both urban
and rural)
Partners
PDRN
Office for the Coordination
of Humanitarian Affairs (OCHA)
1,000,000
CAP (Consolidated Appeal
39
Process) Section
The Result
 FIRST EDITION:
compromise between
speed and precision: the
early first edition not based
on comprehensive
information
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
40
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
41
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:
 Present up-to-date
information
 Update sector/cluster response
plans
 Outline progress made
 Reprioritize humanitarian response
activities
 Assess the effectiveness of
current strategy
 Analyze funding
 Advocate for donor support
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
42
Process) Section
Third kind
 Sensitivities with governments
 Transitional appeals
 Regional Response Plans
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
43
Process) Section
Part II: Humanitarian Financing
CAPACITY &
PREDICTABAILITY
LEADERSHIP
FINANCING
STRENGTHENING
HUMANITARIAN
RESPONSE
PARTNERSHIPS
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
44
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
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
45
Process) Section
Office for the Coordination
of Humanitarian Affairs (OCHA)
CAP (Consolidated Appeal
46
Process) Section