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 withduration 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 (CAP[1])
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 CAPtakes 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 isnormally taken and theRC/HC is expected to clarify the process for the UN Country Team/UN Humanitarian Country Team.
IASC Gender Marker[2]
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. Additional sector/cluster-specific guidance can be found in Gender Marker Tip Sheets which are available in on OneResponse:
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 under-funded CERF requests.
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.
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.
Appeals and the UNICEF 1 Year Programme Cycle
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.
Resultsframed in the appeals should also map onto the UNICEF Annual Work Plan (AWP)
Online Project System (OPS) 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 OCHAor 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(countrylevel)that have a large number of projectproposals submitted by cluster members ensure thatthe peer review group established by the cluster isregistered to OPS to help review cluster member’s submission of projects. Cluster coordinatorsshould alsoremind cluster membersto 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.
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 issuesare 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]
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
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 costsin the projects (they should ideally be incorporated intoprogramme budget lines, including security etc - as these are part of the costs of running programmes)
Remember to add 7%Indirect programme support costsHQ 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) 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, real-time 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.
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 projectsthat are in the appeal.
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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).
UNICEF CO / UNICEF Cluster Coordinators @ Country Level / Regional Office / HQ / Global Cluster- Start of the Process Countries begin working on MYR CAP 2013
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
- 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.
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
- CO’s start liaising and sharing draft of project sheets with REA or any other focal points designated by the REA . The REA will ensure that project sheets are reviewed by RO staff (including RO sectoral advisors).
- Meet with cluster members to agree cluster priorities, draft SMART objectives & indicators.
- Present draft criteria for selection & prioritisation
- Promote use of IASC Gender Marker tool and tip sheets to help inform project design.
- Present CAP project on-line format and on-line system user guide.
- 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.
- The Regional Director (or by delegation the REA) internally approves UNICEF programmesfor and UNICEF projects for inclusion into the FA/CA[6] (PPP Manual).
- Suggest that the RO keeps track of overall funding needs requested by UNICEF in the CAP’s (how much they drop down or go up)
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
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 projects are selected for inclusion in the CAP and that they cover the map of needs without gaps or redundancies[7]; ensuring that selected projects are prioritized objectively and transparently within the prioritisation process (done by clusters) .
- REA/RO CAP focal point will inform EMOPS,HFSS regarding the UNICEF projects that have been cleared by RO.
- 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.
- 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 projects are selected for inclusion in the CAP and that they cover the map of needs without gaps or redundancies[8]; ensuring that selected projects are prioritized objectively and transparently within the prioritisation process (done by clusters) .
- Review MYR draft (HQ review)
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.
- 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
- 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.
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