Consolidated Appeal Process (CAP): UNICEF Checklist 2013
for Country Offices, Regional Offices and Headquarters
The purpose of the UNICEF CAP checklist is to clarify UNICEF internal processes and procedures for 2013 CAP
between the various organizational levels (i.e. CO, RO, HQ); ensure consistency of information across UNICEF
submissions and highlight areas where further attention is needed, as well as address planning vis a vis the Core
Commitments for Children in Humanitarian Action (CCCs).
Definitions
Common Humanitarian Action Plan (CHAP)
The CHAP is the equivalent of a joint framework addressing humanitarian action and is the basis for developing a
Consolidated Appeal or a Flash Appeal. The CHAP can serve as a reference for joint action. However, once a CHAP
includes project proposals or another appeal for funds, it will be called a Consolidated Appeal.
Flash Appeal (FA)
When crises break, humanitarian agencies (usually with government consultation throughout the process) can
develop a FA to address the most urgent needs. FA’s are normally issued within 1-2 weeks of the onset of an
emergency with duration of 3 to 6 months. After a FA is issued a FA revision is undertaken normally after 3-6 weeks
after the issuance of the original appeal to incorporate new assessment information and new developments.
Consolidated Appeal (CAP1)
If an emergency continues beyond the timeframe of a FA (3-6 months), the Emergency Relief Coordinator (ERC) in
consultation with the IASC Working Group and concerned Humanitarian Country Team (HCT) may determine that the
emergency is either complex or major, necessitating a CAP or CAP-like document. Preparation of a CAP takes place in
September /October with a mid-year review the following year in June/July. Projects included can be planned for
more than a year but their budgets must be broken into 12-months periods. In situations where there is sensitivity to
the CAP process – flexibility remains to issue ‘CAP-like’ documents –which follow the same processes but under a
different name. The CAP should include emergency preparedness and risk reduction. An early recovery approach
must be promoted throughout the response. A phased approach for early recovery is normally taken and the RC/HC
is expected to clarify the process for the UN Country Team/UN Humanitarian Country Team.
IASC Gender Marker2
The IASC Gender Marker is a self-assessment tool that serves to measure, through the application of a Gender Code,
the extent to which individual CAP projects incorporate analysis and programming to address the distinct needs and
priorities of crisis-affected women, girls, boys and men. As of 2011, Gender Marker coding is a mandatory part of the
CAP financial tracking system. UNICEF-led Clusters are expected to meet an internal target of ensuring that 100% of
their projects score 2a or 2b on the Gender Marker code (the highest score) by December 2013. GenCap Advisors at
country level can assist your teams in applying the Gender Marker in humanitarian projects. IASC Gender Standby
Capacity (GenCap) experts at country level can assist your teams as can the Gender Policy team in EMOPS.
1
2
The acronym ‘CAP’ is used more frequently/commonly used rather than ‘CA for Consolidated Appeal
As of March 2012, ongoing GenCap deployments were in Afghanistan, CdI, DRC, Kenya, Liberia, Somalia, Sudan, with additional regional and
Global GenCap support available Chad, Ethiopia, Niger, Zimbabwe, Yemen, Somalia, DRC, Sudan (N), CAR – Philippines and Haiti still planned for
recruitment. Other Gencaps available for Global Clusters; Pacific; and roaming.
Additional sector/cluster-specific guidance can be found in Gender Marker Tip Sheets which are available in on
OneResponse: http://oneresponse.info/crosscutting/gender/Pages/The%20IASC%20Gender%20Marker.
Links with Central Emergency Response Fund (CERF)
The CERF request are be linked to projects in the FA or CAP. If a CERF grant request is submitted first, for example in
the case of CERF Rapid Response window at the onset of a crisis, a large part of the information and analysis
submitted to support it can be easily transferred to the FA or CAP. Likewise if new projects are being requested to be
funded by CERF – these new projects will have to be incorporated into the FA or CAP. The same is relevant for underfunded CERF requests. http://ochaonline.un.org/cerf/CERFHome/tabid/1705/language/en-US/Default.aspx
Links with UNICEF’s Humanitarian Action for Children (HAC) and other resource mobilisation tools
HAC formerly known as Humanitarian Action Report (HAR) – normally includes the CAP for a country. Note that HAC
budgets and programme scope can exceed that of the CAP if key UNICEF priorities have not been included in the CAP;
but budgets should not be less than the CAP. The HAC also draws attention to countries outside the CAP framework.
The document provides a funding ceiling for the appealing countries and regions submitting appeals. A mid-year
review for 2012 HAC is being reconsidered (further information will follow).
The Humanitarian Action Update (HAU) is not an appeal in itself but a tool through which an existing humanitarian
appeal (HAC chapters, CAP or FA) can be updated in case of an additional emergency taking place or if an existing
crisis worsens or improves thus changing humanitarian needs on the ground. http://www.unicef.org/appeals/
Emergency Programme Fund (EPF). The Emergency Programme Fund (EPF) is a loan mechanism established to
strengthen UNICEF’s capacity for timely emergency response. Funds can be accessed within 24 -48 hours of proposal
submission to HQ. http://www.intranet.unicef.org/emops/emopssite.nsf/root/Pagexxresponse
Appeals and the UNICEF 1 Year Programme Cycle
AWP
Mid-year
Review
HAC
Mid-year
Review
Optional
Real Time Evaluations
CAP
Mid-year
Review
CERF
UFE
2nd Rnd
HAC update
Ongoing assessments
Monitoring
Flash Appeal
EMERGENCY
*CERF- RR
*EPF
Ongoing assessments
Flash Appeal Review
CERF
UFE
1st Rnd
Other evaluations
AWP
CAP
HAC
Consolidated Appeal Process Checklist, 2013
*Relevant for Flash Appeals, Flash Appeal Reviews, CAP’s and CAP Mid-year reviews and ‘CAP-like’ appeals.
** Note that different scenarios particularly Level 3 emergencies or multi-country emergencies call for a flexibility
of approach to these processes and that this will be communicated as required.
Appeal Planning and UNICEF
Country Offices will receive guidance from OCHA/RC/HC on timelines for the process for FA and CAP and the Humanitarian
Country Team (HCT) will organise itself aiming to complete the cycle below through the FA and CA process:
→ Analyse the context → Assess needs → Build scenarios → Set goals→ Identify roles and priorities → Plan the
response → Appeal for funds → Implement a coordinated programme → Monitor and evaluate → Revise the plan→
Report → (back to analyse…for new appeal)
 UNICEF CO takes part in the Inter Agency process led by OCHA/RC/HC (UNICEF Representative, Deputy representative
or Emergency Specialist to take the lead)
 Appeals should be designed to achieve expected results. CCCs should be introduced early on in UNICEF projects and
subsequent internal UNICEF planning documents and M & E frameworks (120 day plans etc) to enable reporting on
results.
 Results framed in the appeals should also map onto the UNICEF Annual Work Plan (AWP)
Online Project System (OPS) http://ops.unocha.org/ The OPS allows CAP partners to edit, manage, submit and revise
their FA and CAP projects online, as well as peer-review other projects.
 CO Appeal Focal Point (normally Representative, Deputy Representative, or Emergency Specialist) ensure that at least
all Programme Section Chiefs and Chief Planning/ME , UNICEF cluster coordinators are signed to the OPS (country level
delegation) to input and edit UNICEF project submissions; if it’s the first time using OPS, request guidance from OCHA
or REA (Regional Emergency Advisor).
 RO Appeal Focal point can sign up to OPS with country level delegation to help edit projects when needed; if the focal
point wants a global overview sign up to OPS at HQ level.
 For UNICEF-led clusters (country level) that have a large number of project proposals submitted by cluster members
ensure that the peer review group established by the cluster is registered to OPS to help review cluster member’s
submission of projects. Cluster coordinators should also remind cluster members to register into OPS to upload their
project sheets.
 Surge Staff – note that staff on surge expected to work with OPS will have to also register or re-register on to OPS for
country level delegation.
UNICEF Programme Sections (see Annex 1)
 There is sometimes a tendency to splinter projects narrowly within a sector, but they should not be splintered
excessively, lest this invite narrow donor earmarking. As a rule of thumb, aim for one project per programme
cluster/sector (and a separate coordination project sheet if UNICEF is leading sector or cluster lead), usually covering
multiple locations and activities (specified in the project details).
 As HIV and AIDS CCCs will require interventions in various sectors, ensure that the activities are integrated into the
relevant project sheets.
 Please ensure that your beneficiaries are distinguished by sex and age and that beneficiary numbers in the project
sheets are aligned with the cluster/sector plans.
 Please ensure that beneficiary disaggregated data and numbers in the tables and the narrative are consistent with each
other. (e.g. sometimes there is reference to women and children in the narrative but then only reference to children is
made in the beneficiary numbers; oftentimes children are lumped into one category rather than distinguishing
between boys and girls, including adolescent boys and girls)
 Ensure use of current language and programmatic commitments as outlined in the CCCs e.g. WASH programmes
(Water, Sanitation and Hygiene) rather than WATSAN e.g. Core commitments to Children in Humanitarian Action
rather than Core commitments to Children in Emergencies etc.
 Please ensure projects are informed by a gender analysis, and that gender dimensions are reflected in project
objectives, needs assessment, project design, activities and outcomes.
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 Cross check your targets for inter-sectoral consistency i.e. sectors need to coordinate to decide where the budget and
results for inter-sector activities will be included (e.g. should latrines for schools be included under the WASH budget
or the Education budget? And should not be included under both but can be referenced)
 Ensure relevant cross-cutting issues are also addressed in the sector project sheets ( early childhood development,
adolescents, communications for development, protection, etc)
 Ensure Gender-based Violence prevention and response coordination and programming is addressed including
adequate budget lines.
Where UNICEF Country Office is Cluster/Sector lead agency (CLA)
Guidance for CLA’s and cluster/sector coordinators has been produced for appeals. Please ask your Global Cluster
Coordinators or OCHA in your country for the guidance if you have not seen this. Main points to consider are the Terms of
Reference for Sector/Cluster Leads at the Country Level. 3
http://oneresponse.info/Coordination/ClusterApproach/publicdocuments/Forms/DispForm.aspx?ID=24
 Within the UNICEF projects submitted for the FA/CAP distinguish cluster/sector coordination costs – the best way to do
this is by creating a separate project sheet for coordination. Typical cluster budgets include costs for a coordinator or
portion of double hatting officer; information manager; support funds for assessments and surveys.
 Data included in the appeal should come from official UN sources e.g. Water and sanitation data included in the CAP
documents should come from the official UN source for MDG 7 - the Joint Monitoring Programme (JMP) managed by
WHO/UNICEF. Currently many countries continue to reference the UNDP HDR (which itself is drawn from the JMP, but
often with a time-lag and missing sanitation data).
Indicators & Humanitarian Performance Monitoring
UNICEF has developed an approach to Humanitarian Performance Monitoring which should reinforce cluster coordination
and reporting against the CAP. Two key elements of UNICEF’s approach have to be prioritizing high frequency reporting
against a limited set of output level indicators (2-3 per sector) and to increase UNICEF CO field monitoring to assess quality
of programme implementation. Ideally, key indicators for high-frequency monitoring are agreed at cluster level and
embedded in the CAP – see the Humanitarian Performance Monitoring Toolkit: Indicator Guide which has been aligned
with both SPHERE and Inter Agency Needs Assessment Task Force indicators
http://intranet.unicef.org/emops/emopssite.nsf/root/PageCCCPM1
Budgets
 OPS has very few budget lines so for smaller budget lines please integrate direct programme costs to a few budget
lines. Make a decision how UNICEF will do this across all sectors and convey to your team how you will include
programme support costs in the projects (they should ideally be incorporated into programme budget lines, including
security etc - as these are part of the costs of running programmes)
 Remember to add 7%Indirect programme support costs HQ recovery costs 4
 Once finalized please double check that your budget calculations add up
 Check that your overall budget submissions (across all UNICEF projects) logically reflect the evolving ceilings set in HAC,
HAU, IND etc. The FA or CAP will set a new ceiling for the CO so in theory the overall budget should remain the same or
increase (unless the former documents had over-estimated needs – if so this will have to be communicated to RO,
EMOPS and PARMO asap).
Financial Tracking System (FTS) http://www.reliefweb.int/fts. FTS records all humanitarian funding information provided
by donors, recipient agencies, and country teams, and turns it into analytical tables. These are key tools for advocacy, realtime monitoring, and operational decision-making (including use of pooled funds). FTS has also become an on-line project
database that offers project information for donors and coordinators. Donors can see IASC Gender Marker codes on the
global Financial Tracking System (FTS) and may use this information when they choose what projects to fund.
4
Suggested: multiply the existing sub-total by 0.07 and add it to the total
4
 PARMO will ask for regular updates to review FTS tracking matrixes on a monthly basis and for CO to provide updated
allocations of contributions to projects that are in the appeal.
5
Process and Clearance of FA’s and CAP’s
The table below highlights key actions that need to be taken at CO, RO and HQ level through the CAP process. For ease of reference the flow of action follows the steps set out in
OPS (as indicated by the arrows below).
Field Submission
Cluster
UNICEF CO
Humanit. Coord.
UNICEF Cluster Coordinators @ Country Level
Agency HQ’s
Regional Office
OCHA HQ
HQ
CAP Publication
Global Cluster
1. Start of the Process Countries begin working on MYR CAP 2013
Mid May to 13 June - Batch 1 - Afghanistan, Djibouti, DRC, Haiti, Mali, oPt, Philippines, Sudan, Zimbabwe
Mid May to 20 June – Batch 2 - Burkina Faso, CAR, Chad, Kenya, Mauritania, Niger, Somalia, South Sudan, Yemen

CO alerts REA (Regional Emergency Advisors)
and EMOPS focal points (in the Humanitarian
Field Support Section) of upcoming FA or CAP
 Alert RO if advocacy or support is needed
around the appeal/assessments Provide the
Regional Emergency Adviser (REA) with a CAP
focal point at country level who will provide
oversight on this process and will coordinate
with country level UNICEF programme sections
and UNICEF led Clusters.5
 Establish internal deadlines with the REA to
share project sheets for review and technical
clearance by RO. Note that clearance of FA/CAP
at Regional level. is a quality check against the
CCCs
 Join in needs assessment to fill key information
gaps in preparation for the appeal
 Analyze needs assessment results relevant to
the cluster, to map the needs (as preparation
for making an operational cluster plan for
coverage) and to analyze them for priorities
and interaction with needs in other sectors.
 Update the contact / membership list; ensure
all appropriate UN and non-UN partners, the
Gender Marker Focal Point and cross cutting
issues’ working groups/advisors/focal points
and focal points for cross-cutting issues
(HIV/AIDS etc) are included.
 REA/RO CAP focal point will raise
any issues related to potential and
ongoing appeals that need to be
flagged at HQ with the IASC CAP
sub-working group.
 Provide support as requested by CO
Establish internal deadlines with the
CO to share project submissions for
review.
 Establish RO sectoral advisors and a
RO CAP focal point if different from
REA (as REA is normal entry point) –
inform CO CAP focal point and
EMOPS, HFSS.
 RO focal points can sign in to OPS at
country level status – so they can
review project sheets
http://ops.unocha.org/
 REA/RO CAP focal point will inform
EMOPS-HFSS and Programme
Division Emergency focal points if
there are sectors that cannot be
covered by RO during the appeal
phase to ensure adequate support
can be provided to the region to
cover this function.
 EMOPS, HFSS will send regular
updates on discussions on appeals
to RO and will represent UNICEF at
the IASC CAP sub-working group.
 PARMO will maintain
communication with CO’s to update
FTS
 Programme Division Emergency
focal points with EMOPS-HFSS will
provide support to RO’s if there are
some sectors that cannot be
covered by the region in terms of
providing CO guidance, support in
development of project sheets.
 Provide guidance and
support as requested by
the country cluster
coordinators/and or CLA
5
Representative always remains responsible for the CO emergency preparedness and response – including as Cluster Lead Agency - the preparation of UNICEF’s inputs to Appeals can be
delegated to the Deputy Representative or Chief, Planning M&E or Emergency Specialist if the function exists at CO level.
6
UNICEF CO
UNICEF Cluster Coordinators @ Country Level
Regional Office
HQ
2. Update information on sectoral needs, and compile information on cluster achievements to date vs. targets
7 to 13 May - Batch 1 - Afghanistan, Djibouti, DRC, Haiti, Mali, oPt, Philippines, Sudan, Zimbabwe
14 to 20 May – Batch 2 - Burkina Faso, CAR, Chad, Kenya, Mauritania, Niger, Somalia, South Sudan, Yemen
3. Review projects and upload drafts of project revisions, additions, and cancellations on OPS
14 to 17 May – Batch 1 - Afghanistan, Djibouti, DRC, Haiti, Mali, oPt, Philippines, Sudan, Zimbabwe
21 to 24 May – Batch 2 - Burkina Faso, CAR, Chad, Kenya, Mauritania, Niger, Somalia, South Sudan, Yemen
 CO’s prepare UNICEF project sheets
 Meet with cluster members to agree cluster  The Regional Director (or by
priorities, draft SMART objectives & indicators.
delegation the REA) internally
 CO’s start liaising and sharing draft of project
approves UNICEF programmes for
sheets with REA or any other focal points
 Present draft criteria for selection &
and UNICEF projects for inclusion
designated by the REA . The REA will ensure
prioritisation
into the FA/CA6 (PPP Manual).
that project sheets are reviewed by RO staff
 Promote use of IASC Gender Marker tool and
(including RO sectoral advisors).
 Suggest that the RO keeps track of
tip sheets to help inform project design.
overall funding needs requested by
 Present CAP project on-line format and on-line
UNICEF in the CAP’s (how much
system user guide.
they drop down or go up)
 Develop with the cluster an operation plan for
who will cover what, where and when. If there
are gaps encourage cluster member
organizations to cover them. If there are
redundancies (more than one organization
planning to cover the same needs in the same
location), resolve them. When the cluster has
agreed on the operational plan, each
organization uploads a draft project onto OPS
that reflects its part of the plan.
 Cluster/sector coordinator starts writing the
response plan chapter. Include cross-cutting
issues – Gender, HIV, Youth, etc
 Cluster/sector coordinator e-mails the draft
cluster response plan to full cluster, including
cross-cutting theme groups or advisors, for
comment; incorporates comments, noting
controversial or contradictory comments for
discussion in meeting.
4.
 GCC’s can initiate contact
with respective cluster
coordinators at country
level: ‘ Global cluster
coordinators can support
field cluster coordinators
by reviewing their draft
revised cluster response
plans and monitoring
information and helping
review the cluster's
projects on OPS:
 In some specific and rare
cases (as agreed at IA
level) the GCC can provide
direct support to the
process at country level
Revise collective targets per the HCT strategic review and new needs info, and consequently revise, add and cancel individual projects (on OPS) as needed
23 to 29 May – Batch 1 - Afghanistan, Djibouti, DRC, Haiti, Mali, oPt, Philippines, Sudan, Zimbabwe
30 May to 5 June – Batch 2 - Burkina Faso, CAR, Chad, Kenya, Mauritania, Niger, Somalia, South Sudan, Yemen
 The HC with the UNHCT or a peer review group

will look at the inclusiveness of the CAP
process; ensuring that only needs-based,
appropriate, and appropriately budgeted
6
Global Cluster
REA/RO CAP focal point will inform
EMOPS,HFSS regarding the UNICEF
projects that have been cleared by
RO.

The HC with the UNHCT or a peer
review group will look at the
inclusiveness of the CAP process;
ensuring that only needs-based,
PPP Manual http://www.intranet.unicef.org/Policies/DHR.nsf/cc58cfbb4d01337f85256720005e2cd7/e12930044a77cfbe85256d28006e52b3?OpenDocument
7
UNICEF CO
projects are selected for inclusion in the CAP
and that they cover the map of needs without
gaps or redundancies7; ensuring that selected
projects are prioritized objectively and
transparently within the prioritisation process
(done by clusters) .
UNICEF Cluster Coordinators @ Country Level
Regional Office
 REA/RO CAP focal point please
cross-check with CO that the final
UNICEF project sheets that are
uploaded and cleared by Clusters
and/or HC at field draft stage reflect
the final CO and RO revisions.
HQ
Global Cluster
appropriate, and appropriately
budgeted projects are selected for
inclusion in the CAP and that they
cover the map of needs without
gaps or redundancies8; ensuring
that selected projects are
prioritized objectively and
transparently within the
prioritisation process (done by
clusters) .
5. Review MYR draft (HQ review)
3 to 7 June – Batch 1 - Afghanistan, Djibouti, DRC, Haiti, Mali, oPt, Philippines, Sudan, Zimbabwe
10 to 14 June – Batch 2 - Burkina Faso, CAR, Chad, Kenya, Mauritania, Niger, Somalia, South Sudan, Yemen


Check on OPS to see if the final UNICEF
project submissions are correct.
If there are changes to be made please flag
with clear details of changes needed to
REA/RO CAP focal point . Note that major
changes to budgets or submission of new
projects approval will have to be sought from
the relevant cluster and the HC.
6.

 Alert EMOPS HFSS if there are any
major issues to flag at this stage of
the process.
 EMOPS HFSS will receive the final
documents for final review of
UNICEF projects and field narratives
with a short turnaround time.
EMOPS HFSS will coordinate with PD
Emergency focal points and UNICEF
GCC’s to review UNICEF project
sheets by sector.
 PD Emergency focal points will flag
any key issues in the project sheets
directly with the CO, RO sectoral
advisors, copying in the REA/CAP
focal point and EMOPS HFSS
Substantial changes (especially to
budgets) can only be made once
information comes from RO/CO and
has been approved by the cluster lead
and the HC at country level.

GCC’s to review one last
time the overall field
draft narrative of
countries AND the
UNICEF projects related
to cluster coordination
(noting that at this stage
no substantial changes
are feasible so any
editorial/data/
information gaps).
HC reviews and approves and the final document is sent to OCHA GVA and closes projects on OPS.
The appeal will be published online thereafter
changes and adjustments can be made with
discussion with cluster coordinators and HC.
In the cluster approach, decisions on selection and prioritization of projects for the appeal (and hence funding requirements) are done with increasing effectiveness by clusters, through peer-review methods. This ensures that prioritization and
funding requests are based on technical assessment and vetting of projects at field level.
7
In the cluster approach, decisions on selection and prioritization of projects for the appeal (and hence funding requirements) are done with increasing effectiveness by clusters, through peer-review methods. This ensures that prioritization and
funding requests are based on technical assessment and vetting of projects at field level.
8
8
Programme Considerations for Emergency Appeals and Response Plans
http://www.unicefinemergencies.com/downloads/edk/Programmes_and_Supply.html
Child Protection
General issues
 During emergencies, humanitarian actors tend to focus on what are considered “life-saving” survival
interventions, often at the expense of providing critical protection to children and women from lifethreatening child protection concerns and risks.
 Emergency response strategies, plans and appeals should conceptualize CP as a comprehensive set of
interventions rather than just one activity such as setting up child friendly spaces. Addressing child
protection in humanitarian action requires quickly restoring and strengthening a range of child protection
mechanisms to prevent and respond to various forms of violence, abuse and exploitation including
separation of children from their families; association with armed forces and groups; exposure to GBV;
landmines and exploded ordinance; and psychosocial distress.
 In order to effectively address child protection issues, it is important to recognize that CP is not only a standalone programme but also a cross-cutting issue that must be integrated into all aspects of humanitarian
response. Activities across all sectors should promote and respect the rights and dignity of women and
children and ensure that their activities do not lead or perpetuate discrimination, abuse, exploitation or
violence. UNICEF has a critical role to play in ensuring that all of our sectoral interventions meet the
minimum standards for prevention of and response to CP, GBV and address mental health and psychosocial
support (MHPSS) needs.
 Adequate management and oversight of the UNICEF emergency programmatic response in CP will likely
demand additional human capacity, which tends to be under-estimated. When preparing funding proposals
and considering requirements for human resources, ensure that adequate staffing (for technical
programmatic issues, administrative support and coordination including on Information Management for
CP, GBV and MHPSS) are planned to scale-up, especially in major emergencies. It is also important to
recognize that during some emergencies it is necessary to bring in specialized expertise on particular issues
such as: family tracing and reunification, release and reintegration of children associated with armed
forces/groups, monitoring and reporting as per SCR 1612, 1882, 1888, 1960, 1998, etc., MHPSS, and GBV,
etc.).
 The appeal/response plan must include adequate and appropriate monitoring mechanisms, and appropriate
budget and capacities should be put in place to support these. Ensure that monitoring mechanisms are in
line with the indicators and targets included in the appeal. Especially when access is limited, consider the
additional costs of third party or external monitoring in the budget. If partners’ require capacity
development for monitoring, this should also be included in the plan/budget.
 Additional resources may be required to reach and support children, their families and community leaders to
participate in assessments, planning, implementation, monitoring and evaluation activities in the
comprehensive set of protection-related interventions.
 As much as possible, CP interventions should reflect and include clear commitments to build and support
national capacity and community participation to ensure sustainability and appropriate use of the
interventions as well as avoid disempowerment of national structures and processes.
 Ensure collection of and use of sex and age disaggregated data where possible, and ensure that a gender
analysis of this data (e.g. lack of access to a certain sex group, one sex group more affected than the other
on this particular issue). This is very important in contexts where the gender maker is being used.
Cluster/Sector Coordination
 Establishment of appropriate sectoral coordination for CP, GBV and MHPSS is included under UNICEF’s CCCs,
though this does not necessarily imply activation of the IASC cluster approach or UNICEF taking the lead role.
At the global level, UNICEF leads the CPWG and co-leads the GBV AoR with UNFPA. At the country level,
UNICEF’s role must be clearly defined and budgeted in the appeal/response plan, taking into account the
specific national context. While the GBV AoR leadership is shared with UNFPA, UNICEF has equal
accountability and should ensure that appropriate human and financial resources are in place to address this
9


accountability, even if UNICEF is not the country lead agency but as part of UNICEF ultimate provider of last
resort responsibility at global level.
Given its unique leadership position for both the CPWG and the GBV AoR, UNICEF should clearly articulate
the linkages and collaboration between these 2 coordination mechanisms, and the unique needs of child
survivors of sexual violence.
As per the CCCs, UNICEF also must ensure that coordination is in place to address Mental Health and
Psychosocial Support needs. This is often overlooked in appeals/response plans.
Technical issues
 Beyond the specific CP sectoral response, the effectiveness of other sectors’ response can be strengthened
through the integration of CP considerations. CP therefore needs to proactively engage with other sectors
to:
o identify where CP can add value to the other sectors’ response plans (e.g. ensuring all programmes
include referral mechanisms for individuals requiring psychosocial support, or for potential victims of
abuse and exploitation; support training of health workers on clinical management of sexual
violence, facilitate delivery of key prevention messages as well as on location and access to services
for survivors of GBV through different sectoral community workers, ensure consultation with
women, youth and children on delivery of assistance or design of WASH services for instance) and
what level of technical support will be needed from the CP section,
o identify how CP can integrate other sectors’ and cross-cutting (e.g. such as gender, age, ECD,
disabilities, HIV/AIDS, etc.) issues into the CP response (e.g. Child Friendly Spaces programming is
one very concrete example that demonstrates the inter-sectoral nature of UNICEF’s CP work), and
o agree on what costs need to be included in the response plan budget/appeal (and under which
section’s budget).
o As per the CCCs, CP programming in emergencies should include, but not be limited to the following
issues (see the CCCs for more details).
o Affected communities should be mobilized to prevent and address violence, exploitation and abuse
of children and women; emphasis should be laid on strengthening existing community based
mechanisms for child protection; existing systems to respond to the needs of GBV survivors
(including prevention of HIV through availability of PEP kits) should be improved.
o A plan should be in place for preventing and responding to major child protection risks, building on
existing systems; safe environments should be established for the most vulnerable children, women
headed-households, adolescent girls.
o An inter-agency plan should be developed and implemented for prevention of and response to child
recruitment; advocacy against illegal and arbitrary detention for conflict-affected children should be
conducted.
o All unaccompanied and separated children should be identified and placed in family-based care or
an appropriate alternative.
o Periodic reports on grave violations and other serious protection concerns for children and women
are available and utilized.
o Provision of counselling for mothers/caregivers on child development, psycho-social needs in case of
emergencies, and importance of play and child development.
o Provision of child care tents for younger children of 0-6 years of age and lactating mothers, and
procurement of ECD Kit and other age appropriate and safe playing materials to be used in child care
tents in CFS.
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Education
General issues
 Education is often excluded from CAPs/FAs – this is a high level advocacy and senior management issue that is
still evolving. It is important to consult with country teams/OCHA to ensure education issues are included and
adequately addressed through the emergency appeals and response plans.
 Adequate management and oversight of UNICEF’s emergency Education programme might demand additional
capacity which is often under-estimated, especially in major emergencies. Response plan budgets should
include Education human resource requirements (including for technical programming, administrative and
coordination support).
 The appeal/response plan must include adequate and appropriate monitoring mechanisms; and appropriate
budget and capacities should be put in place to support these. Ensure that monitoring mechanisms are in line
with the indicators and targets included in the funding proposals. Especially when access is limited, consider the
additional costs of third party or external monitoring in the budget. If partners’ require capacity development
for monitoring, this should also be included in the plan/budget.
 To the maximum extent possible, Education interventions should reflect and include clear commitments to build
and support national capacity and community participation to ensure sustainability and appropriate use of the
interventions, as well as to avoid disempowering national structures and processes.
 Education interventions for emergency response must include a long-term view, covering the immediate
response, recovery period and show linkages with development objectives. Responses should incorporate
Disaster Risk Reduction measures and Early Recovery considerations.
 Always review submissions, remember that quality counts. Ensure:
o Numbers in the budget and narrative match
o All beneficiary numbers are broken down by age and gender
o Cost-per-child ratios are within standard norms
o Budget requests include transport, storage/warehouse. operational costs for kits and supplies
Cluster/Sector Coordination
 Establishment of appropriate sectoral coordination is included under UNICEF’s commitments. Every effort
should be made to work in conjunction with existing sectoral coordination bodies. At the global level, UNICEF
and Save the Children co-lead the cluster but keep in mind that an emergency appeal does not necessarily imply
activation of the IASC cluster approach. At the country level, UNICEF’s role must be clearly defined (following
discussions with the Ministry of Education, Save the Children, and other education partners as relevant).
Coordination may require support for any combination of the following: cluster coordinator, deputy coordinator,
information management specialist, needs assessment specialist and sub-national support positions, this
support should be budgeted in the appeal/response plan, taking into account the specific local context.
Technical issues
 Even in emergencies, UNICEF should promote the Child-Friendly Schools model. Whenever possible, adopt childcentred approaches and methods, include teacher training and support, promote community participation and
plan for support of physically safe structures. Adopt a life-cycle approach, including all stages of learning (ECD,
non-formal, etc.) and ensure integration of cross-cutting issues such as gender, age, ECD, disabilities, HIV/AIDS,
Disaster Risk Reduction, etc.
 Look for opportunities to integrate education issues into other sectors’ responses (e.g. advocacy for continuation
of education through community level child protection networks, inclusion of teachers in training programmes
on HIV prevention, etc.). Education therefore needs to proactively engage with other sectors to:
o identify where it can add value to their response plans and what level of support will be needed from the
Education section,
o identify how other sectors technical inputs can improve the Education response, and
o agree on what costs need to be included in the response plan budget/appeal (and under which section’s
budget (e.g. ensure coordination on supply plans with colleagues working on ECD activities and CP
activities, as there are often similar commodities being ordered).
 Focus on equity; consider the specific needs of IDPs, CAAF, Orphans, children with disabilities or other
marginalized groups in accessing relevant, quality education.
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HIV and AIDS
General issues
 Emergency response strategies, plans and appeals should include HIV and AIDS as comprehensive interventions
supporting HIV prevention as well as treatment, care and support through both an HIV specific and HIV
sensitive response. A response only in the health sector is not a comprehensive response. Each sector has a role
to play to ensure that vulnerability to HIV infection is not increased and that HIV-related care needs arising
from the crisis are met.
 Depending on the appeal set-up, there may not be an option for a separate budget line for HIV-related response
actions.
o In this case, it is the responsibility of the HIV/AIDS sector / focal point to ensure that each sector has
included relevant HIV activities and ensured these are adequately reflected within their budget.
o Where there is a separate project sheet/budget line for HIV-related response, this does not have to
include ALL HIV-related interventions. Where sectors have mainstreamed HIV activities into their
response, the budget for this should be included within the relevant sector budgets.
 Ensure that sector response plans target adolescents with specific, age appropriate interventions, as they are
at increased risk of HIV in emergency settings.
o Inclusion in adolescent friendly spaces, temporary learning spaces, schools, within psychosocial support
and GBV programmes is critical for reducing vulnerability to HIV infection.
o Health and nutrition sector response should also include HIV sensitive and specific programming (e.g.
breastfeeding and PMTCT programmes) and include HIV in community health promotion activities.
o WASH can assist with distribution of information on prevention and where to access services.
 As much as possible, HIV/AIDS interventions should include clear commitments to build and support national
capacity and community participation to ensure sustainability and appropriate use of the interventions as well as
avoiding disempowerment of national structures and processes and creation of vertical programmes.
 Ensuring that HIV and AIDS is adequately reflected and accounted for in UNICEF’s responses – either through
relevant sectors or if there is a need for a specific HIV and AIDS response – might require additional capacity.
When preparing funding proposals as well as human resources related requirements, ensure that adequate staff
(both for technical and administrative support) are included to ensure resources for the additional workload and
challenges over the course of the response. It is critical that dedicated capacity (with experience with HIV in
emergencies) is in place in order to mainstream HIV into the response.
 Specific resources and activities should be included to monitor HIV/AIDS programmes, ensuring that
appropriate budget and capacities are in place to support this. Ensure that monitoring mechanisms are in line
with the indicators and targets included in the appeal. Especially when access is limited, consider the additional
costs of third party or external monitoring in the budget. If partners’ require capacity development for
monitoring, this should also be included in the plan/budget.
 HIV/AIDS interventions for emergency response must include connectivity with the development programmes,
promoting the incorporation of Disaster Risk Reduction measures and contribution to Early Recovery / Recovery.
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Health
General issues
 The appeal/response plan should include a clear situation analysis, explaining how the humanitarian crisis is
affecting health, including looking at pre-emergency health indicators and trends, identifying disrupted services
and available capacities, and identifying any health inequities that might be impacting the humanitarian
situation.
 The appeal/response plan needs to explain what the health sector is going to do as well as how it is going to do
it (providing information on the implementation strategies, such as mobile clinics, campaigns, outreach,
technical support, etc).
 UNICEF’s health response needs to be inclusive (addressing the health needs of the most vulnerable, such as
children and women with disabilities) and comprehensive (covering all components of health needs and
services: Reproductive Health, HIV/AIDS-related prevention and treatment - e.g. PEP and PMTCT, Mental health,
chronic diseases as appropriate and relevant according to the context).
 Adequate management and oversight of UNICEF’s emergency health programme might demand additional
capacity and this is often under-estimated, especially in major emergencies. Response plan budgets should
include health human resource requirements (both for technical and administrative support).
 The response plan must include adequate and appropriate monitoring mechanisms. Ensure that monitoring
mechanisms are in line with the indicators and targets included in the appeal. It is important to consider options
to support national health information systems, as well as alternatives where these will not be able to provide
the information needed in a timely manner. Appropriate budget and capacities should be included in appeals to
support these. Especially when access is limited, consider the additional costs of third party or external
monitoring in the budget. If partners’ require capacity development for monitoring, this should also be included
in the plan/budget.
 Health interventions for emergency response must include connectivity with the development programmes,
promoting the incorporation of Disaster Risk Reduction measures and contributing to Early Recovery / Recovery.
Cluster/sector coordination
 Ensuring support for appropriate sectoral coordination is included under UNICEF’s commitments. Although in
most countries WHO will take the lead for health coordination (often alongside the Ministry of Health), as a
major partner in the health cluster/sector UNICEF’s role must be clearly defined in the appeal/response plan
(and if necessary, budgeted), taking into account the specific national context.
 Health and Nutrition sectors need to be closely coordinated, and the mechanism and any support for this clearly
reflected in the response plans.
Technical issues
 The UNICEF health appeal/response plan must contribute to ensuring an inclusive access to life saving
interventions through quality primary (including community health services) and secondary health care
services. The response plan should also contribute to restoring and – where possible - improving health
services (in close coordination with other relevant sectors) to support efforts on recovery and rehabilitation
towards a functional health system.
 It is important to include preparedness for response to identified potential outbreaks (including environmental
health interventions) in appeal/response plans and budgets. Opportunities for coordination and joint
programming with other sectors, in particular WASH, should be identified and clearly articulated.
 Health response plans often overlook the need to ensure that emergency-affected populations have access to
relevant HIV and AIDS prevention, care and treatment services. Based on the national context, UNICEF health
appeal/response plans should include support for continued access to PMTCT and ART drugs, care and support
services.
 Health response plans often fail to include the provision of clinical and psychosocial services for victims of
sexual violence and abuse. As health service providers are often one of the first points of contact, it is important
for health response plans to include work with protection actors to monitor and report on issues of abuse and
support for health services to address exposure to sexual violence as well as other forms of exploitation and
abuse.
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The effectiveness of the health sector response can be considerably strengthened when delivered jointly with
complementary components in other sectors (e.g. integrated response to an outbreak of acute watery
diarrhoea; multi-disciplinary referral systems for victims of sexual violence or people needing specialised care for
mental health or psychosocial support). Health therefore needs to proactively engage with other sectors to
ensure fulfilment of the Health CCCs. This is particularly relevant for Health Commitment 5 (Women and
children have access to essential household items).
Community health workers and volunteers are a common entry point for various sectors, in particular in
relation to community outreach and communication for behaviour change activities and community-based
monitoring and referral systems. In order to ensure best use of available capacity and resources, opportunities
for cross-sector collaboration should be clearly identified and articulated, with decisions made on what costs
need to be included in the response plan budget/appeal (and under which section’s budget).
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WASH
General issues
 Emergency response strategies, plans and appeals should refer to WASH (Water, Sanitation AND Hygiene) as
comprehensive interventions and without omitting one of them.
 Adequate management and oversight of UNICEF’s emergency WASH programme might demand additional
capacity and it is often under-estimated, especially in major emergencies. Response plan budgets should
include WASH human resource requirements (both for technical and administrative support).
 WASH interventions should ensure that they do not create additional risks for the affected population (especially
women and children), for example by making them walk long distances in insecure environments or locating
sanitation facilities in isolated areas. Women and girls should be consulted in the design of WASH facilitates and
their specific needs (such as for managing menstrual hygiene) need to be considered.
 The appeal/response plan must include adequate and appropriate monitoring mechanisms; and appropriate
budget and capacities should be put in place to support these. Ensure that monitoring mechanisms are in line
with the indicators and targets included in the funding proposals. Especially when access is limited, consider the
additional costs of third party or external monitoring in the budget. If partners’ require capacity development
for monitoring, this should also be included in the plan/budget.
 To the maximum extent possible, WASH interventions should reflect and include clear commitments to build
and support national capacity and community participation to ensure sustainability and appropriate use of the
interventions, as well as to avoid disempowering national structures and processes.
 WASH interventions for emergency response must include connectivity with the development programmes,
promoting the incorporation of Disaster Risk Reduction measures and contributing to Early Recovery / Recovery.
Cluster/Sector Coordination
 Establishment of appropriate sectoral coordination is included under UNICEF’s commitments, though this does
not necessarily imply activation of the IASC cluster approach or UNICEF taking the lead role. UNICEF’s role must
be clearly defined and budgeted in the appeal/response plan, taking into account the specific national context.
 Supporting sectoral coordination might be done through different mechanisms, and not necessarily imply
UNICEF building a coordination team on its own. Depending on the conditions on the ground, one option could
be to support national coordination platforms via secondment of technical/coordination staff into national
institutions to strength their capacity to deal with the coordination burden while maintaining the lead role.
Technical issues
 Beyond the specific WASH sectoral response, the effectiveness of other sectors’ response will be considerably
affected by the presence (or absence) of a complementary WASH component (i.e. WASH in schools and
temporary learning spaces, ECD centres, nutrition and therapeutic feeding centres, health and other medical
treatment centres, CTCs, Child friendly Spaces, among others).Certain situations will require specific interaction
with particular sectors (e.g. integrated response to an outbreak of acute watery diarrhoea). WASH therefore
needs to proactively engage with other sectors to:
o identify where it can add value to their response plans and what level of support will be needed from the
WASH section,
o identify how other sectors technical advice can improve WASH sectoral response (i.e. by the inclusion of
cross-cutting issues into WASH specific interventions such as gender, age (including considerations for
both elderly and early childhood interventions), disabilities, HIV/AIDS, protection considerations, etc.), and
o agree on what costs need to be included in the response plan budget/appeal (and under which section’s
budget).
 Response plans for ensuring access to water are often heavily oriented on infrastructure or massive distribution
of water, while including very little or nothing on household water treatment and storage (HWTS) or point of
use (PoU) water treatment. A balance between both will be required to ensure people are actually accessing
safe drinking. For the collected water to have the required quality before being consumed, and that quality is
maintained in the household, supplies for HWTS (or PoU water treatment) should be provided, alongside
appropriate information (and capacity) to ensure their proper use.
 Specific resources and activities should be included to monitor water quality, ensuring that the information
collected is properly used to inform the response programme and leading to corrective measures as appropriate.
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On sanitation, first efforts should aim to ensure the living environment is free of human faeces by the provision
of adequate facilities and means to ensure appropriate excreta disposal. This should include not only on-site
sanitation but also final disposal of faeces.
Together with sanitation facilities, complementary facilities for handwashing and personal hygiene (bathing and
washing facilities, including laundry) must be provided. Facilities should include considerations to ensure
privacy, security and dignity.
UNICEF’s WASH interventions must include hygiene. Unfortunately, hygiene is not always properly addressed
nor budgeted, and sometimes only included as distribution of hygiene kits. Hygiene activities should ensure
people are aware of the risks related to inadequate WASH practices and should, as much as possible, use
community-based approaches to promote behaviour change. Given the cross-sectoral nature of
communication for behaviour change activities, coordination with other sectors is essential to identify
opportunities for joint implementation and to ensure the best use of resources at all levels.
Adequate and appropriate monitoring mechanisms need to be considered together with the programmatic
implementation activities; therefore budget and capacities should be allocated accordingly. Ensure monitoring
mechanisms are in line with the indicators and targets included in funding proposals, and that implementing
partners have the same monitoring approach (progressively reporting on outcomes rather than only on inputs
and activities). When access is limited, options as third party monitoring can be used, and consider the
additional resources required for that.
Other areas/type of interventions may appear as issues during the emergency with some tendency to be
associated with the WASH sectoral appeal, such as solid or medical waste management, drainage, vector control,
etc. Definition of UNICEF’s role in these areas needs to be defined in advance.
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Nutrition
General issues
 Nutrition is a critical life-saving component of UNICEF humanitarian action. Mortality and morbidity are
significantly affected by the nutrition situation and to ensure a successful response, nutrition must be covered,
even in contexts where there is no history of elevated levels of acute malnutrition. The appeal/response plan
should therefore include a clear analysis of the main risks for children and women, explaining how the
humanitarian crisis can affect nutrition status, including looking at pre-emergency nutrition and health
indicators and trends, identifying disrupted services and available capacities, and identifying any inequities that
might be impacting the humanitarian situation.
 Adequate management and oversight of UNICEF’s emergency Nutrition programme might demand additional
capacity and it is often under-estimated, especially in major emergencies. Response plan budgets should
include Nutrition human resource requirements (both for technical and administrative support).
 The appeal/response plan must include adequate and appropriate monitoring mechanisms, and appropriate
budget and capacities should be put in place to support these. Ensure that monitoring mechanisms are in line
with the indicators and targets included in the appeal. Especially when access is limited, consider the additional
costs of third party or external monitoring in the budget. If partners’ require capacity development for
monitoring, this should also be included in the plan/budget.
 Nutrition interventions for emergency response must include connectivity with the development programmes,
promoting the incorporation of Disaster Risk Reduction measures and contribution to Early Recovery /
Recovery.
Cluster/Sector Coordination
 Establishment of appropriate Nutrition sector coordination is included under UNICEF’s commitments, though
this does not necessarily imply activation of the IASC cluster approach or UNICEF taking the lead role. UNICEF’s
role must be clearly defined and budgeted in the appeal/response plan, taking into account the specific
national context.
 Health and Nutrition sectors need to be closely coordinated, and the mechanism and any support for this
clearly reflected in the response plans.
Technical issues
 Integrated programming is essential for achieving nutrition results and opportunities to support this need to
be proactively identified and included appeals/response plans (for example: clean water, sanitation and
hygiene facilities being available at nutrition centers, Vitamin A included in immunization campaigns, etc.).
Nutrition therefore needs to proactively engage with other sectors to:
o identify where they can work together and how other sectors technical advice can improve Nutrition
sectoral response (i.e. by the inclusion of cross-cutting issues into Nutrition specific interventions such as
gender, age, ECD, disabilities, HIV/AIDS, protection considerations, etc.), and
o agree on what costs need to be included in the response plan budget/appeal (and under which section’s
budget).
 Depending on the type of emergency and the pre-crisis nutritional context, response plans may need to be
more focused on protection of the nutrition situation (rather than responding to high SAM levels), including
protection of optimal infant and young child feeding practices and nutrition assessments and surveillance.
 In some contexts, specific resources and activities should be included to monitor donations of breastmilk
substitutes, ensuring that appropriate systems are in place to be able to take corrective actions when needed
and/or to enable supplies to be used properly as appropriate (e.g. ensuring mothers know that breastfeeding
should be maintained, and when/how to use other products in extreme situations).
 Nutrition appeal/response plans must integrate psychosocial support for mothers and caregivers with infants
and young children, as well as counselling on child health, nutrition, early stimulation, play and child
development. Resources for building capacities of partners in these areas may need to be included in appeal
budgets.
 In contexts with significant HIV prevalence rates, the Nutrition response must integrate support for
breastfeeding and nutritional needs of HIV positive children and women (including pregnant women).
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Community management of acute malnutrition and related infant and young child feeding activities should, as
much as possible, focus on achieving and maintaining positive behavioural change through community-based
approaches, and foster the participation of communities in all phases of emergencies. Given the cross-sectoral
natural of communication for behaviour change activities, coordination with other sectors is essential to
identify opportunities for joint implementation and to ensure the best use of resources at all levels.
Nutrition appeal/response plans should clearly identify opportunities for supporting work on key child
protection issues (for example, identification of children that may be at risk of violence, exploitation and
abuse).
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