INTRODUCTION TO HUMANITARIAN ACTION
FOR RESIDENT COORDINATORS
The aim of this paper is to provide Resident Coordinators (RCs) with a snapshot of the key tenets of
humanitarian action. A more detailed guide, the IASC Handbook for RC/HCs on Emergency Preparedness and
Response, is under revision and will be released at the end of 2015. Hyperlinks are included throughout the
document for further reference and reading.
RC responsibilities
Humanitarian leadership is an integral part of the RC’s role in all countries, whether or not the RC has been
designated as Humanitarian Coordinator (HC) and whether or not there is a humanitarian emergency (if not, the
RC is responsible for preparing for one). As per the RC Job Description, the RC is responsible for leading and
coordinating the emergency preparedness and response activities of UN and non-UN actors, wherever possible
in coordination with and support of national authorities. Ultimately, the RC is responsible for ensuring that the
international humanitarian response provides affected people with the life-saving assistance they require.
If large-scale and/or sustained international humanitarian assistance is required, the Emergency Relief
Coordinator (ERC) may decide, following consultation with the Inter-Agency Standing Committee (IASC), to
designate a HC to lead the humanitarian response in country. If there is a RC in place, the ERC generally
designates the RC as HC. In a limited number of cases, based on the context and expertise required, the ERC
may choose to designate someone else – a Country Director of an IASC organization or a HC Pool memberi – as
HC, or designate a Deputy HC to support the RC/HC.
When performing humanitarian functions, the RC works on behalf of the IASC, which includes UN
humanitarian agencies, NGOs are the Red Cross/Red Crescent movement; is accountable to the ERC; and is
supported by OCHA.
Humanitarian context
Humanitarian action generally takes place in
complex, insecure, and logistically challenging
environments. The situation is compounded by
intense external scrutiny and constant pressure to
provide information and results to headquarters,
donors, and the media. Large number of
international actors – mostly NGOs and bilateral
providers, none of whom have a reporting line to the
RC and each with different mandates,
accountabilities and cultures – deploy to the
country, challenging the RC’s coordination capacity.
RCs are expected to take decisions rapidly based
on unreliable and fluid information, in fast-paced
and often politicized contexts. There is often tension
between short- and longer-term response objectives
and a shortage of resources, resulting in
competition for staff, funds and media attention.
Preparedness refers to measures undertaken to be
ready and able to respond in the event of an
emergency. These measures are broad-ranging
and span the humanitarian and development
continuum. The IASC guidance on Emergency
Response Preparedness spells out what is
expected of RCs in this respect. Given the strong
inverse correlation between disaster risk and
human development, all developing countries
face disaster risks and therefore need to be
prepared for an emergency.
Humanitarian action is based on the premise that
human suffering from disaster or conflict should be
prevented and alleviated wherever it happens (the
“humanitarian imperative”). While each organization
may subscribe to a broader set, the four core
principles that guide humanitarian action are:
Humanity
Human suffering must be addressed
wherever it is found. The purpose of
humanitarian action is to protect life and
health and ensure respect for human
beings.
Neutrality
Humanitarian actors must not take sides in
hostilities or engage in controversies of a
political, racial, religious or ideological
nature.
Humanitarian action, principles, standards
Humanitarian action comprises assistance,
protection and advocacy in response to
humanitarian needs resulting from complex
emergencies and natural disasters, as well as
measures to prepare for responding to them. It is
provided with the sole purpose of saving lives and
reducing suffering in the short-term. Specifically,
humanitarian assistance encompasses material aid
and the services of trained personnel; protection
encompasses activities aimed at obtaining full
respect for the rights of individuals, in accordance
with international law; and advocacy includes
speaking out on humanitarian issues, be it publicly
or privately.
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Impartiality
Independence
Humanitarian action must be carried out
on the basis of need alone, giving priority
to the most urgent cases of distress and
making no distinctions on the basis of
nationality, race, gender, religious belief,
class or political opinions.
Humanitarian action must be autonomous
from the political, economic, military or
other objectives that any actor may hold in
relation to areas where humanitarian
action is being implemented.
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The RC has an important role to play in
promoting and upholding humanitarian
principles in the delivery of aid, and ensuring
adherence to them.
Role of the State
States have primary responsibility to assist and
protect all people affected by emergencies within
their boundaries. If the affected State is unable or
unwilling to provide the required assistance and
protection, the RC should strive to ensure that
people in need receive the required assistance,
while respecting State sovereignty. S/he should do
so by advocating with the State to fulfil its
obligations and by offering international assistance
to support national authorities as appropriate.
Increasingly the public and donors are seeking
assurances that the resources they provide will be
used in the best possible way, both in terms of
value for money as well as programmes being
developed with and for affected people. A variety of
standards and accountability measures have been
launched over the years; the three key ones are:
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In situations where non-State armed groups are in
de-facto control of territory, the RC should advocate
with these groups and remind them of their
obligations under international law.
The Code of Conduct for the International Red
Cross and Red Crescent Movement and NGOs
in Disaster Relief is a voluntary code of ten
principles to safeguard high standards of
behavior among responders.
The Sphere Handbook and companion
standards are important technical resources for
every humanitarian worker in the field, setting
common principles and universal minimum
standards in humanitarian action.
The Core Humanitarian Standard on Quality
and Accountability establishes nine
commitments that organizations can use to
improve the quality and effectiveness of
assistance and to facilitate greater
accountability to affected communities.
A State does not need to formally request
international assistance for its people to receive
it. While it is preferable that a State declare a state
of emergency and/or formally request international
assistance, as some international response
mechanisms require it to be activated, a State may
simply welcome international assistance or at a
minimum not oppose it. Agencies already working in
country may also re-direct assistance from on-going
programmes to the affected people, as appropriate.
Relief actors
Although these initiatives are not binding on States
or the UN, they are useful reference documents.
Local communities and affected populations
themselves are the first responders in an
emergency. They should be fully involved in the
relief operation.
International law
International law serves as a basis for humanitarian
action, advocacy and negotiation. It defines the
legal responsibilities of States in their conduct with
each other and their treatment of individuals within
State boundaries, including the fundamental legal
standards relating to the protection of individuals
and groups and to the nature of assistance that may
be provided.
Beside national and local authorities – who may
themselves be affected by the disaster − a large
number of actors deliver assistance in an
emergency: community-based organizations, faithbased organizations, national and foreign militaries,
national and international NGOs, the national and
foreign private sector, the Red Cross and Red
Crescent Movement (IFRC, ICRC, national
societies), IOM, UN agencies, neighbouring and
other States. Each set of actor has a different
mandate and positions itself differently in relation to
humanitarian principles and norms. Most actors do
not have a permanent presence in the country and
deploy only once the emergency strikes.
Two main bodies of law apply to humanitarian
action. International human rights law still applies in
case of natural or man-made disaster, as human
rights are inherent to every human being and they
are applicable at all times and to all categories of
people. International humanitarian law aims to limit
the effects of war on people and property and
protect vulnerable people. It also establishes
measures of protection for humanitarian actors in
armed conflicts.
NGOs are the main providers of international
humanitarian assistance. As such, they are a
key constituent of the RC and should be treated
as equal partners, on par with UN agencies.
They should be involved in strategic decisionmaking and not considered merely as implementing
partners.
In addition, the key treaties and guidance related to
refugees, stateless persons and internally displaced
persons are: Convention Relating to the Status of
Refugees; Conventions Relating to the Status of
Stateless Persons and on the Reduction of
Statelessness; Guiding Principles on Internal
Displacement.
In natural disaster settings, the national and
international militaries play a particularly important
role due to their logistical capacity. They should be
used only as a last resort, however.
RCs should be familiar with the core concepts of the
different bodies of international law to advocate with
State and non-State actors on meeting their
obligations, and to rely on treaty-based obligations
to advocate for humanitarian access and
assistance.
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International humanitarian architecture
Field coordination
UN General Assembly Resolution 46/182 (1991) set
the framework for the coordination and delivery of
international humanitarian aid, while reaffirming the
primary responsibility of the State to provide
assistance. The resolution created the position of
the ERC, the IASC, and the Central Emergency
Revolving Fund (CERF). It also defined the role of
the RC in coordinating humanitarian aid at the
country level; facilitating preparedness; assisting in
the transition from relief to development; and
supporting the ERC on matters relating to
humanitarian assistance.
Once a disaster strikes – and preferably before, as
part of preparedness efforts − the RC decides, in
consultation with national authorities and the
Humanitarian Country Team (HCT), on the most
appropriate coordination architecture for
international responders, taking into account the
context, available resources and existing
mechanisms. Ideally, the coordination
architecture for international responders should
build on and complement existing local and
national-level mechanisms, instead of creating
separate or parallel ones. It is important to keep
the coordination structure light and streamlined to
allow responders to focus on serving affected
people rather than attending meetings.
The ERC is appointed by the UN Secretary-General
to serve as his principal adviser on humanitarian
issues and lead and coordinate humanitarian
assistance worldwide. The ERC also holds the
function of Under-Secretary-General for
Humanitarian Affairs, i.e. head of OCHA.
The three key IASC-agreed coordination
mechanisms are:
Technical level: Clusters bring together UN and
non-UN partners around eleven sectors or technical
areas of humanitarian action, with the aim of
coordinating their preparedness and response
activities. They provide RCs with both a first point of
call and a provider of last resort.iii
The IASC is the global mechanism for inter-agency
coordination on humanitarian assistance, consisting
of eighteen UN and non-UN organizations.ii It is
composed of three main bodies: the IASC
Principals (strategy), the IASC Working Group
(policy), and the Emergency Directors Group
(operations); these are supported by topic-specific,
technical subsidiary bodies. The IASC reviews HC
designations and field coordination arrangements,
provides hands-on or remote support to HCs and
HCTs, and annually reviews the performance of
HCs.
Clusters are established permanently at the global
level and temporarily in countries experiencing a
humanitarian crisis if (i) coordination gaps exist or
(ii) the national coordination mechanism is unable to
meet needs in a manner that respects humanitarian
principles.
The eleven clusters established by the IASC at
global level, along with their Global Cluster Lead
Agency(ies), are:
The humanitarian aid framework laid out in GA
Resolution 46/182 has been refined and expanded
over the last twenty-five years through a series of
reforms. The two most recent reforms took place in
2005 and 2011. The 2005 Humanitarian Reform
introduced a broad range of improvements,
including strengthening the HC function;
establishing the “cluster approach” to ensure
dedicated leadership and capacity for each sector
of humanitarian work; and transforming the CERF
from a revolving loan to a $450 million grant facility.
Cluster
Camp Coordination &
Camp Management
(CCCM)
Early Recovery
Education
Emergency
Telecommunications
(ETC)
Food Security
Health
Logistics
Nutrition
In 2011 the IASC agreed to a set of additional
improvements, referred to as the Transformative
Agenda. These include the creation of procedures
for IASC system-wide response to large-scale
crises (referred to as Level 3 or L3 emergencies),
including the establishment of an Inter-Agency
Rapid Response Mechanism to deploy experienced
senior humanitarians at the outset of a crisis and
empowerment of the HC to make decisions when
consensus cannot be reached; application of the
humanitarian programme cycle concept; revamped
preparedness measures; reinforced commitment to
greater accountability to affected people; and other
initiatives aimed at simplifying processes and
improving inter-agency collaboration.
Protection
Shelter
Water, Sanitation &
Hygiene (WASH)
Global Cluster Lead Agency
IOM/UNHCR
UNDP
UNICEF/Save the Children
WFP
WFP/FAO
WHO
WFP
UNICEF
UNHCR (overall)
UNICEF (child protection)
UNFPA, UNICEF (GBV)
UN-Habitat (land, housing,
property)
UNMAS (mine action)
IFRCiv (natural disasters)
UNHCR (conflict)
UNICEF
The RC or HC recommends to the ERC and the
IASC the establishment of one or more clusters and
the designation of a Cluster Lead Agency for each
cluster. The Country Director of the Cluster Lead
Agency is accountable to the RC or HC for the
functioning of the cluster, including appointing a
dedicated and skilled Cluster Coordinator.
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Operational level: The Inter-Cluster Coordination
Group is composed of each cluster’s Coordinator
(and Co-Coordinator, if applicable). It focuses on
operational collaboration to close delivery gaps,
eliminate duplication, and ensure action is taken
across clusters to deliver an effective response. The
Inter-Cluster Coordination Group feeds operational
information from the clusters to the HCT for
strategic decision-making and facilitates
communication between the HCT and clusters.
Strategic level: The HCT is composed of Country
Directors of operationally relevant UN and non-UN
organizations in country (both national and
international). It is responsible for strategic
coordination and decision-making of international
preparedness and response. It is chaired by the RC
or HC. The HCT guides the work of the Inter-Cluster
Coordination Group, Clusters and other
structures/mechanisms, if established.
to RCs and HCs at country level to coordinate
preparedness for and delivery of humanitarian
assistance, advocate for the rights of people in
need, develop humanitarian policies, manage
humanitarian information systems, support needsbased planning, and oversee humanitarian pooled
funds. OCHA is headquartered in Geneva and New
York.
Depending on the scale and phase of the
emergency, the operational environment and the
RC’s requirements, OCHA’s support to RCs may
range from remote support from the Regional
Office, temporary deployment of staff (surge
capacity), placement of a one or more person
Humanitarian Advisor Team (HAT) within the RC’s
Office, to the establishment of a full-fledged Country
Office.
The entry point for OCHA support to RCs and
HCs is the Country Office and, in its absence,
the Regional Office. The focal point for
headquarters support is the Director of OCHA’s
Coordination and Response Division, who manages
field operations.
Other bodies may be established to support the
management of country-based pooled funds;
information management; humanitarian access;
humanitarian civil-military coordination; and so forth.
OCHA
i
The IASC HC Pool is a roster of pre-screened candidates for humanitarian
leadership positions. It is managed by OCHA.
ii
Members or standing invitees include UNDP, UNICEF, UNHCR, WFP, FAO,
WHO, UN-HABITAT, OCHA, IOM, ICRC, IFRC, OHCHR, UNFPA, the Special
Rapporteur on the Human Rights of IDPs, the World Bank, and the three NGO
consortia - ICVA, InterAction and SCHR. In practice, no distinction is made
between members and standing invitees.
iii
The IASC defines “provider of last resort” as a commitment of the cluster
lead agency to call on all relevant humanitarian partners to address critical
gaps in the response and if this fails, to commit itself to fill the gap identified
by the cluster and included in the humanitarian response plan (or advocate for
resources or access to do so).
iv
IFRC is a ‘convener’ rather than ‘cluster lead’ as it cannot accept
accountability beyond those defined in its constitutions and policies. It therefore
cannot commit to being ‘provider of last resort’, or hold itself accountable to the
UN system, including the ERC and RC/HC.
OCHA is an department of the UN Secretariat that
provides support to the ERC at the global level and
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