Annex 2. Overall Outcome:

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1 Annex 2 OCHA s Management Response Plan (MRP) to Cluster Evaluation II, April 2010 Prepared by: Niels Scott/Belinda Holdsworth, Position: Chief, HCSS Unit/Bureau: Revised: 8 April 2011 Cleared by: [Name of person and date] Position: Unit/Bureau: Tracked by: [Name of person and date] Position: Unit/Bureau Overall Outcome: Enhanced support is provided by OCHA to all elements of the country-based humanitarian architecture (HC, HCT, inter-cluster coordination group, cluster mechanisms and national actors) and to coordination for all aspects of the programme cycle (context analysis, needs assessment, strategy development and planning, resource mobilisation, contingency planning and preparedness) with relevant international and national partners, resulting in the timely, targeted, appropriate and effective delivery of assistance to affected populations. Evaluation Recommendation 1: Identify existing preparedness, response and coordination mechanisms and capacities and link with/support/complement them where appropriate. Sub recommendations where OCHA has been identified as having a role: 1.1 Conduct an analysis of the context, as well as existing coordination and response mechanisms and capacities before implementing clusters and ensure appropriate links with rapid response mechanisms (Humanitarian Country Team, OCHA, Clusters at national and field level) 1.2 Identify appropriate partners in national and local authorities (Clusters at national and field level; OCHA) 1.3 Strengthen cooperation and coordination between clusters, national actors and development actors at every stage from preparedness to response and the transition to development (Clusters at national and field level, National Authorities, Development Actors, Donors, OCHA) Suggested OCHA response and specific follow up actions. The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). Responsible Unit(s) and designated focal point responsible for action Time Frame (completed by:) Comments OCHA s analysis of the recommendation: The focus of this wide ranging recommendation and its sub recommendations is on undertaking and strengthening appropriate context analysis to ensure both understanding of existing national coordination structures and mechanisms and that these are taken into account when coordination mechanisms are put in place, on enhancing the engagement with, capacity building for and accountability to national actors at all stages of the programme cycle management. OCHA s priorities in responding to this recommendation includes its work to developing relevant guidance that outlines the relationship of the humanitarian coordination architecture/actors with national structures/actors and ensuring related accountability, in developing and rolling out tools to support consistent and stronger context analysis and collation of information to support the response, in ensuring that appropriate coordination architecture is established for each specific context, as well as in enhancing preparedness and national capacity. Complementary OCHA Frameworks and Processes: There is a clear linkage in the response to activities outlined for 2011 under OCHA s Strategic Objective 1.3 (Defined roles and responsibilities within OCHA and among international development and humanitarian partners to support Member States and regional organisations in response preparedness) and to Strategic Objective 2.1 (Accountable Humanitarian Coordination Leaders). Activities in relation to this Recommendation are also complementary to the role of OCHA s Country Offices as outlined in the Country Office Policy Instruction particularly in relation to context analysis, information management and contingency planning roles and functions. OCHA s internal triggers and benchmarks for the transition of its own offices should be reviewed in the context of the IASC transition guidance for the overall humanitarian architecture once finalised. Linked Inter agency Processes: The Inter Agency MRP highlights improving and promoting inter agency contingency planning and joint simulations/exercises at the country level, as well as strengthening the relationship and linkages between UNDAC, the IASC SWG on Preparedness and the clusters and the development and the finalisation of IASC Guidance on working with National Authorities, capacity building for national actors and civil society, and working with national authorities on preparedness. Priority objectives for the Task Team on the Cluster Approach include improved timelines and preparedness by linking clusters more closely with national actors and other coordination mechanisms. OCHA chairs and supports the Needs Assessment Task Force (NATF) in the development of common assessment and analysis tools, related capacity building and rosters. OCHA also chairs and supports 1

2 the IASC Taskforce on Information Management in its work on Common Operational Datasets, distance learning and other key aspects of humanitarian information management. The IASC Principals Action Point (5) is to develop a guide that sets out how international humanitarian response system engage with national government and non government actors and explain the principles governing humanitarian action by IASC organisations and Action Point (II) agreed that, from the outset of an emergency, clusters should look for opportunities to support and be consciously integrated into national coordination structures, handing over the coordination function as soon as feasible. The IASC Humanitarian Financing Group has a Task Team working on issue related to funding (or lack of) for Early Recovery activities, with a paper planned for presentation to the IASC WG. A further Task Team is looking at funding for preparedness. OCHA should ensure that the linkage between UNDAC and coordination architecture is included in the upcoming Review of UNDAC. Normative Framework/Coordination Architecture Brief OCHA Coordination Guide developed and disseminated to OCHA regional and country offices, incorporating, inter alia, guidance and good practice on engaging with national actors and ensuring complementary coordination structures. Key IASC operational Guidance finalised on Working with National Authorities and on Transition and shared with humanitarian and development actors. The Guidance should incorporate the respective roles of international and national coordination structures at relevant stages of the programme management cycle, including contingency planning and preparedness, and complement Guidance on Transition Financing. OCHA supports the systematic development of a Coordination Plan by the HC/RC and Humanitarian Country Team in consultation with relevant national and international actors at the outset of an emergency as a prerequisite for formalisation of coordination structures by the ERC/IASC. The Plan should delineate the type and nature of the international coordination architecture being put in place and its relationship to existing national structures. Field Action/Capacity Building OCHA to roll out and facilitate the use of the Humanitarian Dashboard and associated tools by the OCHA regional and country offices, and inter agency partners, as a means of consolidating data and supporting cluster and inter cluster analysis at the outset and during an emergency. OCHA to roll out the use of the IASC endorsed Common Operational Datasets (COD) in order to allow for critical baseline data in emergencies. These datasets support the preparedness, operations, and transition phases of emergencies and recognize the key role of national authorities. OCHA to work with the IASC and RC/HCs to support all stages of the development and implementation of national contingency plans in 5 selected countries (2 HC countries/3 RC countries). Strengthen the relationship and linkages between UNDAC and the clusters through inclusion of updated material on cluster implementation and roles in UNDAC training, systematic inclusion of Global Cluster Lead representatives in such training events to facilitate potential integrated deployment. HCSS (PDSB, CRD) HCSS ( on National Authorities) in support of IASC TTCA, PDSB) PPAS/PDSB (on Transition, with HCSS, FCS HCSS/CRD (ERC/IASC) ACE/PDSB (CISB, CRD, SCS, ESB, HCSS) ISS (CISB, Regional and Country Offices) EPS (EWCPS, CRD, with designated OCHA Regional and Country Offices, in support of IASC SWG on Preparedness) June 2011 June 2011 November 2011 All new emergencies 2011 On going; x countries by end 2011 On going; x countries by end countries/december 2011 Evaluation Recommendation 2: Strengthen cluster management and implementation modalities: Clusters should seek to become more effective and efficient in their operations by improving their management and implementation modalities 2.2 Clarify, recognize and strengthen the role of OCHA in improving cluster management and implementation modalities (OCHA, Member States, OCHA Donor Support Group) 2.6 Clarify the criteria, processes and terminology for cluster implementation, transition and exit (HCTs, HC, National Authorities, ERC, IASC) 2.7 Provide cluster coordinators with one standard, basic cluster management handbook or tool kit (OCHA, together with GCL Organisations and Focal Points for Cross Cutting Issues) 2.9. Improve information sharing and management by and among clusters (OCHA, Cluster Lead Organisations at country and field level, HCs) Suggested OCHA response and specific follow up actions: The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). Responsible Unit(s) Time Frame Comments 2

3 OCHA s analysis of the recommendation: The sub recommendations draw attention to a number of different aspects of OCHA s particular role in strengthening cluster management, ensuring appropriate inclusion and participation (ie of NGOs) and making available the appropriate tools and guidance for implementation. This ranges from establishing the normative framework, criteria and tools for the initial activation of clusters, for undertaking key functions such as information management, to measure their performance, and to guide their later transition and exit. It also linked to the role that the ERC plays in this process in ensuring that appropriate and inclusive decision making processes take place at country level during this life cycle. While OCHA is not explicitly mentioned in sub recommendation 2.3 (Strengthen the role of Humanitarian Coordinators in the cluster approach), OCHA plays a key role in this which should be reflected in OCHA s MRP. OCHA s priorities: Central to this recommendation is the need to ensure clarity on the role of OCHA field offices in relation to the clusters and in ensuring effective overall coordination around the programme cycle. If this role is to be strengthened, then OCHA offices themselves need to be fit for function, with the human resource capacity, appropriate skills and relevant tools to perform this task. The specific focus on information management underscores the relevance of the topic itself and the on going work through the IASC Task Force on Information Management (IASC TF on IM) to improve humanitarian information management. Based upon the Review of the Operational Guidance Note on Information Management (OGN), completed in December 2010, the IASC TF on IM redefined humanitarian information management and will in 2011 implement an action plan for improved humanitarian information management. OCHA s support to the HC function and HCT, as well as inclusive clusters, is also a vital component of ensuring strengthened cluster management and related performance/accountability through the humanitarian architecture. Complementary OCHA internal processes and Frameworks: Activities within this section are core to OCHA s role in supporting coordination in the field and thus central to its mandate. There are clear linkages across the Strategic Framework, put particularly relevant for support to the system and architecture are the objectives under 2.1 (Effective mechanisms that manage and support accountable humanitarian coordination leaders); 2.3 (A more predictable and scalable suite of OCHA services and tools) and 2.4 (programme cycle management). Consistent implementation of the Country Office Policy instruction, designed to ensure clarity on the role and function of OCHA offices both within the organisation and for external partners, also underpins enhanced understanding of OCHA s role in humanitarian emergencies. The planned targeted support by CRD to OCHA priority countries will provide opportunities to field test tools and support the effectiveness of OCHA country operations. Strategic Framework objectives in relation to OCHA s own human resources both 3.2 (Adequate and timely recruitment, deployment and retention of qualified and diverse staff) and 3.3 (Improved organizational and learning and development to achieve better results) are also directly relevant in ensuring the right OCHA staff with the right skills in the right place at the right time. The development of the OCHA Human Resource Strategy (first phase due Spring 2011) offers an opportunity to build recognition of the relevant skills and competencies, and related recruitment practice, into OCHA s overall workforce planning. Linked Inter Agency Processes: Agreed priorities within the Inter Agency Response Plan include the finalisation of guidance on inter cluster coordination with explicit reference to clarification of the role of OCHA in humanitarian emergencies (within the TT CA, OCHA is taking the lead on this) and developing mechanisms for monitoring the performance of clusters at the country level, including reviewing existing tools and exploring the feasibility of a generic cluster performance measurement tool. The complete Inter Agency MRP also includes the dissemination of generic ToRs, Guidance, sharing of training resources, and highlights the recommendations of the Review of the Operational Guidance Note on Information Management, and the possible integration of the 3W function into an inter agency web platform as well as the integration of other OCHA IM systems. These activities area already being taken forward within the IASC Taskforce on Information Management (chaired by OCHA). The key transformative actions in the areas of Leadership and Coordination as well as Accountability for Performance arising from the IASC Principals discussions are directly relevant for OCHA s role, particularly as in relation to the human resource capacity required for clusters and in establishing and monitoring performance indicators. Normative Framework/Institutional Framework/Policy Note: development of a brief Coordination Guide for OCHA staff and IASC Guidance on Transition are already referenced against Recommendation 1 above, but remain relevant here. Finalise the Guidance Note on Inter Cluster coordination, including a focus on clarifying the role of OCHA in humanitarian emergencies and in support of implementation of the programme cycle. Field review to test operational relevance in x priority countries. Expand the Operational Guidance Note on Information Management to reflect key services to be undertaken by OCHA and the clusters as well as modalities for this to take place. OCHA to co lead TTCA Working Group on support to strengthened leadership roles of NGOs in clusters at the country level through collation of good practice of NGOs in leadership roles and survey of experience of clusters as Providers of Last resort, to support policy discussion by IASC WG on NGO cluster leadership. HCSS (in support of TTCA, CRD) ISS (with IASC TF on IM) HCSS (in support of TTCA) Draft Guidance: March 2011 Field Review: April/May 2011 On going On going/by December 2011 Undertake review and revision as necessary of internal OCHA policy instructions, with particular emphasis on the development and roll out of policy relating to the role of OCHA country offices, to ensure that these reflect updated policy, guidance and practice in relation to coordination structures. HCSS (CRD, PDSB) March 2012 Revise generic ToRs for OCHA field staff (including for Heads of Office, Humanitarian Affairs Officers, Information Management Officers) reflect the knowledge, skills and competency requirements for OCHA s role in facilitating coordination. AO (CRD, HCSS) Timeline linked to development of 3

4 Include appropriate policy and practice in OCHA s workforce planning includes appropriate policies and practice to recruit OCHA field staff with the skills and competencies to facilitate coordination and support coordination structures in the field and in relation to all relevant aspects of the programme cycle. Field Action/Tools/Capacity Building Mainstream support to cluster coordination in RO/CO activities through systematic and OCHA wide follow up to support coordination mechanisms and inter cluster coordination at RO/CO level, with initial targeting of 7 priority countries for HQ support missions and guidance in 2011 and ad hoc support provided to other RO/CO offices on cluster coordination challenges as required reporting/appraisals to include reference to support to coordination mechanisms and architecture. AO (CRD, HCSS) Human Resource Strategy (first phase Spring 2011) CRD (HCSS) On going Create and maintain a repository of existing guidance on cluster policy and implementation, cluster specific training material, as well as good practice and lessons learned from field practice as a resource/toolkit for field reference and capacity building initiatives by both OCHA and field based clusters. HCSS (with Global Cluster Leads) November 2011 Implement the recommendations stemming from the OneResponse Review (December 201O) in order to build and maintain a user friendly interagency web platform. ISS May 2011 Develop and deliver training modules and materials on humanitarian coordination (policy, architecture and implementation) for integration into existing training for OCHA and external partners (ie ERR, UNDAC, HFCP) and use in field support missions to build the capacity of OCHA staff and key partners. Roll out the IASC distance learning course on Information Management. Strengthen identification and selection of HCs through increasing the IASC HC Pool to ensure it reaches optimal size and is effectively utilized and regularly convening the IASC HC Panel to consult with the IASC membership on HC and DHC designations. Strengthen training of HCs through development of a three year learning strategy for HCs, DHCs, HC Pool members, and RCs performing humanitarian coordination functions and designo designing, developing and conducting workshops for RCs, HCS, and HC Pool members on the use of legal frameworks in humanitarian advocacy, on working with partners and humanitarian diplomacy. HCSS On going/revised (UNDAC, ERR, modules for SDLS) ERR/UNDAC by Sept 2011 HLSU On going HLSU On going Accountability Support the IASC Task Team on the Cluster Approach with the development of standard benchmarks or other appropriate cluster monitoring tools for monitoring and strengthening incountry cluster coordination performance. HCSS (in support of IASC TTCA) End 2011 Strengthen performance management of HCs through strengthening the way OCHA holds HCs accountable through more stringent monitoring of the ERC HC compacts and more regular interaction. Mitigate institutional hindrances to HCs effectiveness and strengthen support to HCs including developing an overarching framework to strengthen accountability of humanitarian coordination leaders and HCTs and identifying gaps in support to RCs and HCs and options for addressing these. HLSU On going HLSU On going Evaluation Recommendation 3: Enhance the focus on strengthening the quality of humanitarian response in cluster operations and activities: clusters should capitalise on their strengths and maximize their contribution to improving humanitarian response by strengthening their focus on enhancing quality. 3.1 Ensure clusters have a clear, operational focus and integrate relevant cross cutting issues in their analysis and activities (Cluster Lead Organisations, clusters at country and field level. Focal Points for cross cutting issues, Thematic Groups on Cross Cutting Issues, OCHA 3.7 Improve mechanisms to deal with multidisciplinary issues and inter cluster gaps (OCHA, Early Recovery Advisory, IASC) Suggested OCHA specific follow up actions. The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). Responsible Unit(s) Time Frame 5. Comments 4

5 OCHA analysis of the recommendation: This recommendation incorporates a range of different ways in which the quality of response may be improved. While OCHA is named in only two of the sub recommendations as a primary responder (as indicated above), a number of other sub recommendations also have considerable relevance for OCHA s role in mobilising other actors within the humanitarian community, ie in supporting an over arching accountability framework that is inclusive of accountability to affected populations, that national actors are included in decision making and in improving the quality of response/delivery by clusters. OCHA s priorities: Strengthening needs assessment on one hand, and monitoring on the other, are clear priorities for OCHA; if clusters are to have a clear, operational focus, then their response must be based upon an accurate, mulit sectoral analysis of needs a fundamental element of the programme cycle. Through its inter cluster coordination role in particular, OCHA also has a key role to play in ensuring that the response is tailored to the specific vulnerabilities and context, underscoring the importance of reinforcing attention to cross cutting issues such as gender and environment. Systematic evaluation to reinforce accountability, as well as ensuring that lessons learned are reflected in future responses are also essential to improve the quality of delivery and assistance to affected communities. Complementary OCHA internal processes and Frameworks: The support to range of accountability frameworks (for OCHA offices, Humanitarian Leaders and Clusters) is incorporated within Strategic Framework Objective 2.1 (Accountable Humanitarian Coordination Leaders) and Objective 1.4 (Analysis and System Wide Learning). Strategic Framework Objective 2.4 is central, however, to this area of response to the Evaluation in its reinforcement of ensuring focus on the programme cycle as a basis and focus for inter cluster coordination and capacity building on element of this (such as needs assessment and the integration of cross cutting issues) of both OCHA staff and inter agency partners. Linked Inter Agency Processes: Of the six priorities within the Inter Agency MRP, one is improving accountability to affected populations, recognising that considerable work has been done on this by various organisations (including ALNAP, SPHERE and HAP) but this needs to be translated into practical tools for use at field level, a second focuses on performance monitoring for Clusters and a third on inter cluster coordination. OCHA is supporting and/or taking the lead on all these initiatives. PDSB PPAS also provide support to the IASC Working Group on accountability in regard to humanitarian principles. The Needs Assessment Task Force (NATF) and CAP sub working group, both chaired by OCHA, also respond to elements of this recommendation. A formal Review of the coordination and funding of cross cutting issues in humanitarian action has been proposed for the first half of 2011 and this will guide future action in this area. The IASC Principals will be taking forward action points from their discussions in February on accountability for performance (InterAction, UNHCR), which will include the possibility of inter cluster monitoring mission, and to affected populations (SCHR, UNFPA). The Swiss are currently leading discussion around quality and standards for delivery. Normative Note: Finalisation and roll out (including field support) of the Guidance Note on Inter Cluster Coordination, with its focus on clarifying the role of OCHA, ensuring a multi disciplinary approach as well as attention/incorporation of cross cutting issues, is already referenced under Recommendation 2, but remains relevant here. OCHA to update and revise NATF guidance and tools based on lessons learned and field experiences by end OCHA as NATF chair to host 2 lessons learned workshops in ACE/PDSB (with NATF) December 2011 Develop guidelines, including monitoring and evaluation procedures, for the Common Humanitarian Programme Cycle EGS December 2011 Field Action/Capacity Building Support the use of a common assessment approach through the field implementation of the NATF Operational Guidance, MIRA, and Humanitarian Dashboard (with disaggregated data). On going investment in the establishment of an inter agency roster and pool of trained assessment experts to be deployed to support field activities, including capacity building and orientation of local actors in common assessments. OCHA, as chair of the IASC TF on IM, to roll out the IASC distance learning on information management with a view to professionalising and mainstreaming information management and build a pool of information management staff for OCHA and Clusters. ACE/PDSB (CRD, On going CISB, SCS, GAT, NATF) ACE/PDSB On going ISS End 2011 Support inter cluster coordination at field level and a mutli disciplimary approach through increased number of number of inter cluster support missions and/or OCHA specific field support missions to targeted countries, emphasising responsibilities of field leaders and ensuring adequate global level follow up and support. OCHA will ensure that cross cutting issues are systematically included in the remit of inter cluster support missions. HCSS (with TTCA, CRD, ROs/COs) On going/# missions Provide technical assistance/support to clusters in developing sufficient capacity to address environment cross cutting issues (jointly with UNEP as lead for environment XCI) EEU/ESB On going Maintain support to initiatives designed to advocate for sex and age disaggregated data (in collaboration with Tufts University), including the Gender Marker and maintain tracking of gender markers in CAPs and pooled funds in a number of pilot countries in 2011 GAT (GenCap, Cap Section) On going 5

6 On going investment in and deployment of surge capacity, through GenCap, to strengthen the integration of gender into country level activities. GenCap On going/# deployments Accountability Note: the development of an over arching accountability framework, as well as specific performance monitoring for clusters in the field has already been referenced under Recommendation 2 but remains relevant here. Organise a consultation workshop between clusters and experts on accountability frameworks for affected populations to develop practical tools that can be readily adopted and piloted in the field by clusters (in 3 agreed countries over 2 years) Continue to support the implementation of inter agency RTEs (including as per the new IASC trigger mechanisms in cases where appeals are in excess of US$590 million and the affected population is greater than one million people). OCHA COs to play a proactive role in applying the learning from RTEs by supporting the timely preparation of Management Responses to RTE recommendations. Evaluation Recommendation 4: Increase the focus of resources for the cluster approach on the local level. HCSS (lead on December 2012 Workshops/GCLA field implementation) EGS (CRD, RO/CO) On going/# of RTE 4.1 Strengthen training on facilitation, coordination and cross cutting issues on the national and sub national levels, minimize turnover of coordinators and improve handover processes (Global Clusters, Focal Points for Cross Cutting Issues, OCHA) Suggested OCHA specific follow up actions: The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). OCHA analysis of the recommendation: This recommendation is primarily directed at the Global Clusters and cross cutting issue focal points in relation to their deployment of cluster coordination personnel, relevant capacity building and provision of technical expertise. OCHA naturally has a role in supporting this and ensuring that relevant tools are readily available (ie for training), but is not necessarily the primary responder. Responsible Unit(s) Time Frame Comments OCHA s priorities: These include supporting provision of technical expertise at field level to support the integration of cross cutting issues and making available the tools for capacity building. These priorities have already been reflected previously in the Management Response Plan. Complementary OCHA internal processes and frameworks: N/A Linked Inter Agency Processes: The inter Agency MRP proposals are focussed on action by the GCLAs to either establish rosters of Cluster Coordinators and support staff (particularly Information Managers) for rapid deployment in emergencies or provide/increase training to cluster partners and national staff. Normative: N/A Field Action/Capacity Building Note: responses in relation to integration of cross cutting issues and capacity building are already reflected under Recommendation 2 and 3 and remain relevant here. Maintain roster of Senior Protection Officers (SPOs) and Gender Advisers available for deployment to support cluster coordination, integration of cross cutting issues and/or capacity building at field level. Ensure availability for field staff of the discontinued global Cluster/Sector Lead Training Program through the On line repository and use relevant material in the development of updated training modules (see response on Recommendation 2). Accountability: N/A GenCap/ProCap On going HCSS November 2011 Evaluation Recommendation 5: Provide sufficient funding and define adequate ways for linking clusters and financing mechanisms. The humanitarian community should ensure that adequate resources are provided for coordination, that clusters have access to resources to implement their strategies and that governance issues relating to financing mechanisms and processes are addressed. 5.2 Ensure adequate funding for cluster strategies and activities sponsored by clusters, by: strengthening the link between clusters and pooled funds; creating strategic links between clusters and bilateral donors; strengthening links to and the inclusion of 6

7 non traditional donors. Donors, OCHA, Humanitarian Coordinators, Clusters at global and country level, Focal Points for Cross Cutting Issues 5.3 Improve the governance of funding mechanisms to limit conflicts of interest and ensure direct access of international and local NGOs to funding and enhance the transparency of financial transactions linked to clusters. (Cluster Lead Organizations at country level, Pooled Fund Mechanisms) Management Response (June 2010): Partially Accept CE2 recommended follow up actions Suggested OCHA specific follow up actions: The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). Responsible Unit(s) Comments OCHA s analysis of the recommendation: This is directly relevant for OCHA in its role as Secretariat and/or manager of key financing mechanisms at Global and country level and in its role in facilitating humanitarian civil military coordination. The recommendations themselves have, however, been only partially accepted by OCHA as the types of issues raised (governance, access) are subject to ongoing discussions related to pooled funds in the IASC Humanitarian Financing Group, and are also addressed through other evaluations specifically related to pooled funds. It is therefore recommended that OCHA does not directly follow up on these points in this MRP, but more appropriately does so through the pooled fund specific work streams. In addition, the original C2E recommendations as outlined in 5.3 are imprecise and would require significant clarification on the funding mechanisms/financial transactions to which they refer. Furthermore, on the specific concrete action proposed in relation to the guidelines and processes for dealing with resources and capabilities offered by military actors, it should be noted that internationally developed and agreed guidelines already exist for guiding the application and utilization of military and civil defence assets in both natural disasters and complex emergencies. Moreover, the Global health Cluster has developed and issued a Position Paper (provisional version) on Civil Military Coordination during Humanitarian Health Action (dated February 2011). OCHA s priorities: As some of the recommendations propose changes beyond the scope of OCHA itself, the priority for OCHA is rather to ensure that a suite of funding mechanisms is available for supporting all humanitarian actors (bearing in mind the mandate and access criteria of each fund type), that relevant actors have the knowledge and capacity required to access the appropriate funding mechanism, as well as building an awareness of the Guidelines and policies in place, and to encourage and support the development of Cluster specific guidelines, in relation to the use of in kind (military and civil defence) assets in the humanitarian response. The overall priority, therefore, is to ensure targeted advocacy and communication on funding mechanisms and good practice, lessons and guidance on humanitarian civil military coordination. Recommendation Partially Accepted. Comment on the proposed I A MRP action: Direct NGO access to CERF will not be an issue that the 5 year evaluation will explore. It is now recognised that it will not be possible for NGOs to have direct access to CERF funds and focus has shifted towards a more holistic approach of ensuring bettr involvement of NGOs in prioritisation and decision making. Improved partnerships between UN and NGOs and better alignment between CERF and country based pooled funds. Complementary OCHA internal processes: OCHA s strategic Framework Objectives for 2.4 (the humanitarian programme cycle) and under 3.1 (Funding and Financial Management) are relevant to the implementation of this recommendation. Linked Inter Agency Frameworks and Processes: The Inter Agency MRP proposed action in an number of areas in respect of this recommendation, including raising the issue of more directly NGO access and suggesting reforms to current regulations in the context of the 5 year CERF Evaluation. Review of the concept of Provider of Last Resort was also raised and discussion of this among its Priorities, especially as it impacts upon the ability of NGOs to co facilitate/co chair clusters. The possible use of pooled funding in preparedness is being discussed in the IASC Humanitarian Financing Group co chaired by OCH, while guidance on funding in transition is also being developed. The IASC Principals have agreed to initiate a dialogue with donors on how financing systems and approaches impact humanitarian action on the ground and on the development/humanitarian funding divide. Normative OCHA will continue to identify best practices with respect to prioritisation and allocation of funds through pooled funds (including decision making processes and approaches to be applied within clusters) and to ensure that these best practices translates into guidance and standardization and are reflected in relevant guidelines and trainings. FCS/CERF On going Ensure that CERF and country based pooled funds (CHFs and ERFs) are aligned as best possible and use common strategy setting and prioritisation processes. FCS (with management of ERFs/CHFs) CERF (with OCHA offices and partners) Pooled Funds Workshop April 2011/alignment on going 7

8 Finalisation and dissemination of the ERF Global Guidelines in mid 2011, providing OCHA COs with the appropriate tools to support HCs in establishing and managing ERFs. Where NGOs access pooled funds through a Managing Agent (e.g. UNDP or OCHA), ensure that procedures are standardized and are as efficient and light as possible, with an underlying aim of having UN and NGO access aligned as closely as possible within the context of existing rules and regulations. Map good practice and undertake gap analysis of humanitarian civil military coordination to identify common gaps and lessons observed from various field operations and, guided by the IASC Informal Forum on Humanitarian Civil Military Relations, use this to assess, amongst other things, the application and value of extant guidelines. A humanitarian inter agency discussion paper will be produced for consideration by the IASC Working Group at the Principal level. FCS Q FCS On going CMCS July 2011 Response to specific recommendation on developing clear guidelines and processes for dealing with resources and capacities offered by military actors Field Action/Capacity Building OCHA shall also through guidelines, websites and other information products, and by working closely with cluster leads at global and local level, seek to keep all humanitarian actors abreast with latest information on access and opportunities in relation to pooled funds. FCS On going Ensure that NGOs are substantially involved and have appropriate influence on CERF decision making and prioritisation at the country level (through clusters where these exist). CERF Secretariat On going/through 2011/12 A third global workshop for all Pooled Fund Managers to review progress against previous recommendations, consolidate best practices, review ERF Guidelines and further shape OCHA s engagement with country based pooled funds. FCS April 2011 Accountability Monitor UN agencies and NGO partners ongoing efforts towards making partnership agreements and contracting arrangements more effective including for subcontracting of CERF funds. (OCHA will not lead this, this is between agencies and NGO partners, but will provide regular updates and raise relevant issues for action) FCS On going Evaluation Recommendation 6: Resolve outstanding policy issues at the global level: i) links to peacekeeping and political missions and humanitarian space, ii) institutional issues. Important political questions, eg concerning the limits of integration, cannot be taken by operational clusters at country and local level. To resolve some of these issues and address remaining reservations relating to the cluster approach, the following steps should be taken. 6.1: Develop concrete, context sensitive guidelines on the linkages between clusters and peacekeeping and political missions (IASC, Members States, OCHA, NGOs, UN Department of Peacekeeping Operations, UN Department of Political Affairs, Global Protection Cluster) 6.4 Ensure that the Early Recovery Cluster at country and sub national level focuses on and enhances its advisory function (Early Recovery Cluster, Humanitarian Country Teams, Inter Cluster Coordination Fora (OCHA)) 6.6 Resolve conflicts relating to the governance of the Emergency Telecommunications Cluster (IASC, Global ETC Cluster Members). 6.7 Rename the Oneresponse website in order to avoid confusion between the cluster approach and the One UN policy and demonstrate that proper coordination doesn t mean reduction of diversity (IASC, OCHA). CE2 recommended follow up actions Suggested OCHA specific follow up actions: The suggested response outlined below reflects OCHA s interpretation of the recommendation and the priority internal actions required to support the overall outcome of the revised Plan. Where there is already a linkage or the actions are complementary to other internal processes or planning, this has also been indicated. The final element indicates where there is already a relationship with external processes/priorities where OCHA is taking a lead (eg NATF, IASC TTCA, etc). Responsible Unit(s) Time Frame Comments 8

9 OCHA s analysis of the recommendation: The recommendation highlights a number of areas in which OCHA is already working to address concerns in relation to respective roles and relationships. The focus in this recommendation is rather upon the relationship with other parts of the humanitarian/international community (and resolving issues on how this is managed rather than as in Recommendation 1 on the relationship with national actors at different phases of the response. It also encompasses OCHA s role in clarifying leadership/responsibility within the humanitarian architecture. OCHA s priorities: The resolution of the outstanding policy issues is central to OCHA s role in establishing the normative framework for the humanitarian community, and most particularly in defining the respective roles and relationships between its component parts and with external actors. Clarification on these issues, including country specific country office support, will ensure better understood framework for operational action at field level by both OCHA and partners. Complementary OCHA Frameworks and Processes: The Strategic Framework Objectives 1.2 (Relationships strengthened with a wider group of operational partners and other relevant actors to advance humanitarian action) and Objective 1.4 (Humanitarian response and response preparedness are underpinned by integrated analysis and rigorous learning) are both directly relevant to the response to this recommendation. Linked Inter Agency processes: The Inter Agency MRP highlights in particular the relevant of the discussion in the IASC Core Group on Humanitarian Space to these outstanding policy concerns vis à vis the relationship with integrated missions and with peacekeeping operations. OCHA also participates in the Cluster Working Group on Early Recovery, which will be submitting a proposal to the IASC WG for a revised global governance structure to advance the mainstreaming of early recovery (ER) in the work of other clusters. Normative/Institutional Framework Develop Guidance Note on clusters interfacing with integration and facilitate related IASC Working Group discussion on this issue PPAS PDSB (HCSS, CMCS) December 2011 Draft Guidelines on strategic interaction between peacekeepers and humanitarians (Protection Cluster) on the protection of civilians as a basis for enhanced coordination and clarification of roles and responsibilities. PDS (CMCS) Mid 2011 Follow progress of GBVIMS development and inform OCHA offices on use of this tool to record cases of sexual violence (SV). GAT (PDSB) Through 2011 As initial ETC co-lead, submit proposal to IASC Principals on revised leadership of ETC Cluster (for WFP to take lead) ITS Completed Dec 2010 Re-name the One Response website as per proposal submitted to the IASC Principals, December ISS Completed Dec 2010 The name change has been implemented in the field sites and, once the new global site has been created, it will also be named humanitarianresponse.info. Field Action/Capacity Building EPS Note: activities in response to Recommendation 1 (by EPS) to build national capacity for contingency planning and disaster preparedness are also relevant for this recommendation in relation to support for capacity and funding for early recovery. Develop and/or update country specific humanitarian civil military coordination guidelines where both an OCHA Office and UN peacekeeping forces are present. CMCS # Based on country needs Identify OCHA Offices / UN Peacekeeping Missions for targeted assistance in the development of situation specific guidelines CMCS # Based on country needs Ensure that guidance on POC Strategies for peacekeeping missions and Protection Cluster is implemented in targeted countries and well coordinated between both actors, as well as integrate protection into OCHA CMCoord training in order to ensure coordination between the Protection Cluster and peacekeeping missions. PDSB On going 9