Module 2 – Overview of the Cluster Approach and IM Responsibilities
Contents
Introduction
Humanitarian Reform
The Cluster Approach
Operational Guidance for Cluster Leads and UN/OCHA on Information Management
The Initial Stages of an Emergency
Rapid Response Teams
United Nations Disaster Assessment and Coordination Team (UNDAC)
Field Assessment and Coordination Teams (IFRC)
Disaster Assistance Response Teams (USAID)
Minimum Essential Data
Other services supporting information management
SitReps
Humanitarian Information Centres (HICs)
OneResponse
Other services from OCHA
Global Disaster Alert and Coordination System (GDACS)
UNOSAT
MapAction
International Humanitarian Partnership/Swedish Rescue Services Agency (SRSA)
Telecoms San Frontiers (TSF)
Security of Information
Data Protection
Privacy of Sensitive Personal Information
UN Guidelines Concerning Computerized Personal Data Files
Sharing GIS Maps
Protecting Data Collectors
Humanitarian Reform
The humanitarian reform process, launched by the international humanitarian community in 2005, seeks to improve the effectiveness of humanitarian response through ensuring greater predictability, accountability and partnership. The reform package has three pillars, all building on the foundation of increased partnership:
Pillar 1 – The Cluster Approach: sufficient humanitarian response capacity and enhanced leadership, accountability and predictability in eleven sectors, or areas of response, including ensuring trained staff, adequate commonly-accessible stockpiles, surge capacity, and agreed standards and guidelines;
Pillar 2 – Humanitarian Financing: adequate, timely and flexible humanitarian financing, for example through the Central Emergency Response Fund (CERF);
Pillar 3 – Humanitarian Coordination: improved humanitarian coordination and leadership through the Humanitarian Coordinator (HC) system, more strategic leadership and coordination at the inter-sectoral and sectoral levels;
Foundation – Partnerships: more effective partnerships between United Nations (UN) and non-UN humanitarian actors.
The importance of partnerships to the role of humanitarian information management was addressed in the previous module. This module will look at the cluster approach, and the role and responsibilities of the information manager within this system.
The Cluster Approach
International response to major emergencies is coordinated through the IASC Cluster System. The eleven clusters are coordinated groups within sectors or around specific themes and are chaired specific agencies with expertise in that area. Each cluster provides a forum for stakeholders interested in that particular area of response to share expertise, strengthen each other’s response, and develop a common strategy. Stakeholders in the cluster are predominantly the UN agencies and NGOs working in that sector but also include donors, representatives from National Disaster Management Authorities, academics and from time to time the press. Whilst participation in the clusters is voluntary, each cluster provides a useful service to its sector and organisations within that sector so that participating becomes beneficial to organisations.
Each cluster exists at a global level, permanently, and is led by one organisation with specialist knowledge in that sector. The clusters may also exist at a country level, specifically to manage one particular response. For this to happen, each cluster must be requested to activate individually. The Global Cluster Lead organisation assumes the lead role at a country level but, if both organisations agree, this responsibility may be transferred to a different organisation.
At a global level, the aim of the cluster approach is to strengthen system-wide preparedness and technical capacity to respond to humanitarian emergencies by ensuring that there is predictable leadership and accountability in all the main sectors or areas of humanitarian response.
Similarly, at a country level the aim is to strengthen humanitarian response by demanding high standards of predictability, accountability and partnership in all sectors or areas of activity. It is about achieving more strategic responses and better prioritization of available resources by clarifying the division of labour among organizations and better defining the roles and responsibilities of humanitarian organizations within the sectors. The cluster system also provides the Humanitarian Coordinator/Resident Coordinator (HC/RC) with both a first point of call and a provider of last resort in all the key sectors or areas of activity. The success of the cluster approach will be judged in terms of the impact it has on improving the humanitarian response to those affected by crises.
Following an emergency, the HC/RC for the affected areas will assess the scale of the impact. At his or her request, particular clusters are triggered if there appears to be a need for large-scale coordination in that sector.
Once a cluster is triggered the Cluster Lead assembles a cluster coordination team, which rapidly deploys to the disaster zone. The information manager on behalf of the cluster forms a part of this team, usually alongside the cluster coordinator and the technical specialist.
Fig 2.1 Global Cluster Leads (
* The International Federation of the Red Cross (IFRC) has made a commitment to provide leadership to the broader humanitarian community in Emergency Shelter in disaster situations, to consolidate best practice, map capacity and gaps, and lead coordinated response. It was agreed, however, that IFRC would not accept accountability obligations beyond those defined in its Constitutions and own policies. It has therefore not committed to being ‘provider of last resort’ nor is it accountable to any part of the UN system. In this respect, the IFRC are a ‘Convenor’ of the Emergency Shelter Cluster. As this training does not cover provision of last resort, the term Cluster Lead will be used to refer to both the Cluster Lead agencies and IFRC as a Cluster Convenor.
** UNHCR is the lead of the global Protection Cluster. However, at the country level in disaster situations or in complex emergencies without significant displacement, the three core protection-mandated agencies (UNHCR, UNICEF and OHCHR) will consult closely and, under the overall leadership of the HC/RC, agree which of the three will assume the role of Lead for protection.
Operational Guidance for Cluster Leads and UN/OCHA on Information Management
Each Cluster Lead is responsible for filling the information management needs within the cluster. Each cluster has its own IM requirements, indicators that it sees as relevant, analyses that it deems important, etc. based upon the expertise that they have in that particular sector. As such, the cluster lead/convener agency needs to ensure that the function of IM exists in the cluster and that the appropriate IM tasks are undertaken. This means it will collect the data that it needs, store and process this data, conduct their own cluster-specific analysis, manage their own contacts and meeting schedules, etc.
Cluster Lead agencies are also responsible for ensuring that adequate IM Capacity exists in their cluster. Larger emergency responses may require a larger investment in IM resources or atypical disasters may require atypical IM deployments. The cluster lead agency is therefore responsible to ensure that an appropriate level of response is undertaken. This includes ensuring there is a focal point who will participate in the IM Working Group (see below) and that there is support for contributing to inter-cluster IM and exchange.
There is also the necessity to share information between clusters, and the UN Office for the Coordination of Humanitarian Affairs (UN/OCHA) has laid out guidance to clarify the roles and responsibilities involved in this. In addition to specifying that each Cluster Lead is responsible for ensuring suitable information management within the cluster, OCHA additional specified two further provisions.
OCHA is responsible for ensuring effective information management between clusters and support operational analysis (Inter-cluster). As information is collected and analysed within each of the clusters it should also be shared laterally between clusters and analysed at a higher level to ensure the overall response is adequate. This implies there is responsibility for both OCHA to actively participate in the collection and analysis of this information, but also, there is a responsibility for the clusters to share the information they are generating in a format that is compatible with what is required by OCHA. These requirements are usually agreed upon in the IM Working Group (see below).
OCHA will convene an IM Working Group of IM focal points from each of the clusters. This important group allows for a common information management strategy to be developed by all IM Stakeholders in a particular response. Data standards, communication protocols, and establishing common datasets are a few of the expected outputs of this working group. It is important that the Information Manager be involved in this group to participate in this discourse and ensure that the needs of Cluster agencies are provided for.
Module 5 will look more closely at information dissemination, means of communication and the information needs of the target audiences. It will be useful at this stage, however, to exemplify the information overlaps between clusters. You should use this operational guidance note” as a directive on the policy of how IM should be conducted between clusters. In the initial stages of an emergency however, due to capacity or time restraints, the situation can often be different. Due to capacity limitations in some clusters or within OCHA, it may take some time for these formal mechanisms to gain traction and effectiveness. If this is the case, the information manager should take it upon him/herself to be proactive in building the relationships necessary to exchange important information with other clusters. Early on in the response to the disaster, individual or group meetings with IM counterparts in OCHA, other clusters, and, if possible, in government, can be very beneficial.
By building these relationships early, there may also be opportunities to pool resources with other clusters and OCHA for specific functions such as mapping or for specific activities such as assessments. Also, because many clusters have information sets relevant to other clusters, setting up the protocols on sharing these datasets can give the greater clarity on the status of shelter issues beyond what is available to be captured within the cluster.
As an example of where overlaps between clusters can affect the required information management, the following table outlines some of the potential information overlaps with Emergency Shelter Cluster with other clusters:
Cluster / Potential Information Overlap with the ESCLogistics / The Logs cluster often tracks the procurement and delivery of goods arriving in-country from various procurement offices to end position warehouses. The ESC can work with Logs to deepen the knowledge of distribution to village end point locations.
Health / Health, WASH, and Shelter have similar interests in the distribution of mosquito netting. These three clusters should agree to standards and distribution tracking between them
Tracking of incidence of ARI (Acute Respiratory Infections) can act as a proxy indicator for the quality of sheltering in a community
WASH (Water, Sanitation and Hygiene) / The WASH cluster also needs to know where non-sheltering NFIs are distributed to. These two clusters can synergize data collection efforts on NFI tracking.
See Health re: mosquito netting
Protection / Tracking of reported incidence of assaults can act as a proxy indicator for quality of shelter protection and quality standards
CCCM (Camp Coordination and Camp Management) / Sheltering materials and strategies should be aligned between the two clusters.
Tracking of NFI (shelter and non-shelter) should be synergized between clusters
The Initial Stages of an Emergency
If you are part of a team, for example a cluster coordination team, which gets deployed within the first few days following a natural disaster, the more formal coordination and decision-making structures may still be forming. Several of the major aid organisations have teams of people who specialise in responding quickly and assessing the most immediate needs of those affected. Coordination and information sharing with these teams becomes vital, and it is helpful, therefore, to know who these teams represent and what their mandates are.
Rapid Response Teams
The three most common teams to respond to the initial stages of an emergency represent the UN, the IFRC and USAID.
United Nations Disaster Assessment and Coordination Team (UNDAC)
Normally UNDAC is deployed to support, and at the request of, the Government of disaster affected country or UN Country Team/Resident Coordinator in the event of sudden-onset disaster. The primary role is to establish coordination mechanisms between international and national actors by collecting, analysing and disseminating information. Where required, the Team will establish an On-Site Operations Coordination Centre (OSOCC).
Field Assessment and Coordination Teams (IFRC)
Field Assessment and Coordination Teams are one of the global emergency response tools of the International Federation of Red Cross and Red Crescent Socieites (IFRC). In coordination with local Red Cross/Red Crescent Movement representatives, as well as local government, UN bodies and NGOs, FACT carries out an assessment of the situation and identifies the most urgent needs. FACT often remains on site to facilitate and coordinate the start of relief activities.
Disaster Assistance Response Teams (USAID)
The Disaster Assistance Response Teams are the rapid response tool of the United States Agency for International Development/Office of Foreign Disaster Assistance. Their mandate varies widely dependent on the situation but can include assessment, coordination and supervision of ongoing USAID/OFDA relef efforts.
Minimum Essential Data
Even with these rapid response teams, there is often a severe lack of timely and accurate data in the early stages of a humanitarian crisis. The acquisition of appropriate data and information and its early incorporation into the planning needs of the humanitarian response has been identified as a priority in a number of recent studies on humanitarian coordination. Being careful about prioritising the information gathered, therefore, becomes important.
Among the most critical priority information needs are:
- Estimated total number of individuals in need of assistance
- Geographical area affected
- Numbers and location(s) of displaced populations
- Critical immediate needs (i.e. medical assistance, shelter, food)
If not already available, core datasets such as administrative divisions, demographic information, population movements, and health and education facilities should be among those first obtained. These generic datasets can be applied across a wide range of functions and sectors.
The first challenge is to understand what data or information exists, and OCHA suggests tools such as the Survey of Surveys and the Information Needs Assessment can be useful for this. Where information gaps are identified, the first and most important step is to secure the active participation of the major agencies in the necessary data collection activities and agreement that the entire humanitarian community will have access to relevant information outputs.
The minimum essential data can be valuable beyond the initial response and may form a core part of the data infrastructure that the country requires for effective development and governance. In addition the process by which the data is gathered can be the starting point for effective rehabilitation and reconstruction planning.
If time is critical and information very sparse, the most important data to collect is that of which agencies are working in which areas. Although far from ideal, this provides a rapid dataset from which to build a gap analysis.
Other services supporting information management
As the more formal structures begin to emerge, there are a number of information products and services that are of particular relevance to information management. This section provides a brief introduction to the products and services, first from UN/OCHA, who provides the majority of these in its role of ensuring information management across sectors, followed by the other products and services to be aware of.
SitReps
A Situation Report, or SitRep, is a document produced by OCHA bringing together information from a variety of sources to provide an overview of the current situation in an ongoing emergency. SitReps are usually first drafted within 48 hours of any emergency situation that may draw international attention and/or require an international response.
Humanitarian Information Centres (HICs)
HICs act as a focal point for information sharing and processing and are usually deployed in larger, often complex, emergencies. The role of the HIC is to facilitate information management throughout the humanitarian community, including acting as hub for data collection and information sharing, providing information products such as maps, contact lists and meeting schedules, as well as developing or advising on Geographic Information Systems in key sectors. Doing this across sectors raises the efficiency of the humanitarian community, saving individual agencies time and energy on information sharing and processing, and providing a common platform of available information, which facilitates collaboration.
OneResponse
OneResponse is a collaborative inter-agency website designed to enhance humanitarian coordination within the cluster approach, and support the predictable exchange of information in emergencies at the country level. The website will support clusters and OCHA to fulfil their information management responsibilities as per existing IASC guidance. This site will provide country- or emergency-specific content, including on a low-bandwidth version of the site, to enable access and exchange of information in poor connectivity environments.
Clusters will directly manage their own content on the site, and information can be categorized as either public or private allowing sensitive information to be made accessible only to cluster-specific working groups.
Other services from OCHA
There are several other websites that OCHA maintains continually, which are less response-specific but are worth being familiar with. These include ReliefWeb, IRIN and Redhum, and links are provided in the further reading section of this module if you are not aware of the content of these sites, as well as GDACS.