Updated September, 2014

Building a Better Response E-Learning

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 Table of Contents

UNIT 0 | INTRODUCTION Section 1.2: The Humanitarian Imperative and

Humanitarian Principles  9
TO BUILDING A BETTER 9 Humanitarian Imperative and Humanitarian
Principles
RESPONSE 1 9 The Humanitarian Imperative
1 Welcome
9 Humanitarian Principles
1 Scenario
9 Humanity
1 Goals and Structure
9 Neutrality
2 The Course Page
10 Impartiality
2 E-learning Player
10 Independence
2 Background
10 From Principle to Practice
2 Before You Begin
10 Principles of Partnership
3 Conclusion
10 Equality
10 Transparency
UNIT 1 | FOUNDATIONS OF 11 Results-Oriented Approach
11 Responsibility
HUMANITARIAN ACTION  4 11 Complementarity
11 From Principle to Practice
Section 1.0: Introduction  4
4 Unit 1 Overview Section 1.3: Humanitarian Reform  12
4 Radio Announcement 12 Humanitarian Reform
4 Welcome 12 Timeline: Humanitarian Reform Before 2005
4 What to Expect 12 Four Pillars of Humanitarian Reform
13 Coordination
Section 1.1: Actors in Disaster Response  5
13 Leadership
5 Overview
13 Humanitarian Financing
5 Government
13 Partnership
6 Local Relief Structures and Community-Based
13 A Word from Valerie Amos
Organizations
14 Conclusion
6 Non-Governmental Organizations (NGOs)
6 International Red Cross and Red Crescent Movement Unit 1 Answers Section  15
6 UN Agencies
7 Military: National and International
7 Private Sector
8 Donors
8 Access to the Emergency

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 UNIT 2 | THE INTERNATIONAL Section 3.2: Cluster Structure and Management  33
33 Cluster Lead Agencies
HUMANITARIAN 33 Shared Leadership
ARCHITECTURE 17 33 Cluster Management
33 SAGs and TWiGs
Section 2.0: Introduction  17 34 Sub-Clusters
17 Unit 2 Overview 34 Inter-Cluster Coordination
17 Radio Announcement
Section 3.3: Roles and Lead Agencies for the 11
17 Welcome
Clusters 35
17 What to Expect
35 The Cluster Approach in Action
Section 2.1: International Humanitarian Architecture at the 36 Camp Coordination and Camp Management
Global and Country Levels  18 (CCCM)
18 Coordination of Aid Provision 36 Early Recovery
18 Introduction to the International Humanitarian 36 Education
Architecture 36 Emergency Telecommunications
19 The International Humanitarian Architecture 36 Food Security
19 Office for the Coordination of Humanitarian Affairs 36 Health
(OCHA) 36 Logistics
20 Emergency Relief Coordinator (ERC) 36 Nutrition
20 Inter-Agency Standing Committee (IASC) 36 Protection
21 NGO Consortia 37 Shelter
21 Humanitarian Coordinator (HC) 37 Water, Sanitation, and Hygiene (WASH)
22 Humanitarian Country Team (HCT) 37 Cross-Cutting Issues
22 The Cluster Approach 38 Conclusion
23 More on L3 Emergencies
25 Conclusion Unit 3 Answers Section  39

Unit 2 Answers Section  26

UNIT 4 | PLANNING AND
UNIT 3 | THE CLUSTER FUNDING THE HUMANITARIAN
APPROACH 28 RESPONSE 41
Section 4.0: Introduction  41
Section 3.0: Introduction  28
41 Unit 4 Overview
28 Unit 3 Overview
41 Radio Announcement
28 Radio Announcement
41 Welcome
28 Welcome
41 What to Expect
28 What to Expect
Section 4.1: The Humanitarian Programme Cycle  42
Section 3.1: Global and Country-Level Clusters  29
42 Steps of the Humanitarian Programme Cycle (HPC)
29 The Cluster Approach
43 Preparedness
29 Global Clusters
43 Needs Assessment and Analysis
30 Country-Level Cluster Core Functions
43 Strategic Response Planning
30 Cluster Activation
43 Resource Mobilization
31 Cluster Deactivation
43 Implementation and Monitoring
31 Core Commitments
43 Operational Review and Evaluation
32 Costs and Benefits of Cluster Coordination
44 Needs Assessment
44 Multi-Cluster Initial Rapid Assessment (MIRA)
44 Humanitarian Needs Overview (HNO)

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 44 Strategic Response Plan (SRP) Section 5.2: Professional Norms and Standards  59
45 The Consolidated Appeal Process (CAP) 59 Professional Norms
45 Review 59 Origin of the Code of Conduct and Ten Principles of
Conduct
Section 4.2: Pooled Funding Mechanisms  46 59 The Code of Conduct and Ten Principles of Conduct
46 What Is Pooled Funding? 60 Inter-Agency Standing Committee Resources
46 The Central Emergency Response Fund 61 Professional Standards
47 Rapid Response Funds 61 The Sphere Project
47 Underfunded Emergencies 61 People In Aid
47 CERF Loans 61 Focusing on the Affected Population
47 The Common Humanitarian Fund 62 Accountability
48 Emergency Response Fund (ERF) 62 Humanitarian Accountability Partnership (HAP)
49 Tips for NGOs to participate in ERFs/CHFs 62 Review
50 The Financial Tracking Service
50 Analytical reports Unit 5 Answers Section  63
50 Review
Glossary 65
Unit 4 Answers Section  51
Acknowledgements 69

UNIT 5 | INTERNATIONAL
LAW AND HUMANITARIAN
STANDARDS 53
Section 5.0: Introduction  53
53 Unit 5 Overview
53 Radio Announcement
53 Welcome
53 What to Expect

Section 5.1: International Humanitarian Law and Human

Rights Law  54
54 International Humanitarian Law
54 Origin of IHL
54 The Geneva Conventions
55 Common Article 3
55 Full Text of Common Article 3
55 Additional Agreements on IHL
56 Application of IHL
56 When and How Does IHL Apply?
56 Applying IHL to Non-Conventional Conflicts
56 Human Rights Law
57 International Court of Justice and International
Criminal Court
57 More about the ICC
57 National Laws

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 Unit 0 | Introduction to Building a Better
Response
WELCOME
Welcome to the Building a Better Response e-learning
course on the international humanitarian coordination system.
This introductory unit will help you to take full advantage of
everything this course has to offer. It introduces the scenario
that frames the course, outlines the course’s goals and structure,
and shows you how to use the e-learning player. Let’s get started.
SCENARIO
First, let’s look at the scenario that frames the course. This
scenario will be used to allow you to apply what you’ve learned
in a humanitarian crisis.
In this scenario, you have just accepted a position as a
program manager for the non-governmental organization
Humanitarian Corps Worldwide, or HCW. HCW has been
involved in development activities in the country of Olvitana
for over a decade.
Shortly after you arrive, Olvitana is hit by a major
earthquake. The damage from the earthquake overwhelms
the government’s ability to respond, so HCW joins other
humanitarian actors to assist in the response.
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In the scenario, you have several years of experience
working on international development programs, but you have
yet to work in a disaster of this scale. You’ll have to learn how to
do your work in a way that complements the overall response.
As you progress through the course, you will meet five
experts who are working “on the ground” in Olvitana. These
experts will help you navigate the international humanitarian
coordination system. You’ll also learn that there are often other
factors, such as underlying conflict, that may complicate a
humanitarian response.
As you progress through this scenario, you’ll see how
coordination with other humanitarian actors affects your ability
to help the people of Olvitana respond to—and recover from—
this devastating event. Through effective coordination, you and
your colleagues at HCW will make sure that assistance targets
those most in need, and that there is no duplication of services.
Effective coordination will also help offer accountability to
those affected, and ensure that there is a strategic response to
the crisis.
GOALS AND STRUCTURE
This e-learning course aims to build the knowledge of NGO
workers and other humanitarian actors in two areas:
1. the international coordination system that can be put
into place to respond to large-scale emergencies-both
natural disasters and conflict situations, and
2. the other elements of humanitarian work that form the
foundation of humanitarian response.
The e-learning course consists of five units. Each unit is
divided into two or more sections. You may complete the course
at any pace and in any order. Individuals who complete all five
units will earn a certificate from the Humanitarian Academy at
Harvard University.
The units are:
Unit 1: Foundations of Humanitarian Action
Unit 2: International Humanitarian Architecture
Unit 3: The Cluster Approach
Unit 4: Planning and Funding the Humanitarian Response
Unit 5: International Law and Humanitarian Standards
 THE COURSE PAGE Along the left side of the window you will see the sidebar
Next, let’s take a moment to review the course navigation with three tabs. The menu tab displays the contents of the
and interface. section you are currently viewing. You can click a title in the
menu tab to jump to that slide. The glossary tab contains a list
of key terms you will encounter throughout the course. Click
on any term to view its definition. Finally, you can click the
“Full Text” tab to view a transcript of the audio you are hearing.
You can take a break at any point. When you return, you
can resume where you left off or start over from the beginning
of the section. At the end of each section, you will find a slide
like this one. You can continue to the next section, jump to a
different section of the course, or just close the window and go
back to the course page.

This is the course page. Here, you can find the description
and learning objectives of each unit.
In addition to the e-learning units, the course contains
a rich library of additional resources. You can access these
materials by clicking the “Resources” link.
The course page can also be used to keep track of which
sections you have completed. Incomplete sections are indicated
with a white check mark in a gray box. Completed sections are
indicated with a red check mark in a white box. You must view
the entire contents of a section in order for it to be marked
complete.
Clicking on the title of any section will take you to a launch
page. When you are ready to begin, click “Enter.” The e-learning
will open in a new window.
E-LEARNING PLAYER
Once launched, you will see playback controls at the bottom
of the window. Click this button to pause and resume play.
On most slides, you can use these buttons to skip forward or
backward by one slide. You can rewind or fast-forward within
a slide by clicking and dragging in the seek bar. You can adjust
the module’s volume by clicking here, then adjusting the slider.
At times, you will also see a question mark; click on this for
additional information.
BACKGROUND
This e-learning course is a product of the Building a Better
Response project. This project aims to enhance the capacity of
national and international NGO workers and other humanitarian
actors to engage with the international humanitarian system in a
manner that improves overall coordination and responds to the
needs of crisis-affected populations. The project is producing a
number of learning tools, including this e-learning course, to
increase humanitarian actors’ knowledge of the international
humanitarian coordination system. By doing so, the goal is
to help NGOs staff—and others working in the humanitarian
field—to better understand the system, and thus participate
more fully.
The Building a Better Response project is funded by the US
Agency for International Development, Office of US Foreign
Disaster Assistance, and is implemented through a consortium
of International Medical Corps, Concern Worldwide, and the
Harvard Humanitarian Initiative.
BEFORE YOU BEGIN
The coordination system that this course focuses on
is commonly known as the “international humanitarian
architecture.”
Keep in mind that this is just one of many different methods
of coordination. Many countries and situations have their own

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models and methods for coordinating an emergency response.
The aim of all coordination systems should be to support the
role of national-level actors, including government and civil
society, in their response. It is also important to note that many
of the mechanisms discussed in this course only apply in non-
refugee situations. If an emergency involves a refugee response,
different coordination structures may apply.
All humanitarian actors, including NGOs, involved in
an emergency response make decisions about the level of
engagement they will choose with the existing coordination
mechanisms. The information presented here is intended for
NGOs and other humanitarian actors to make an informed
decision about their strategic engagement with humanitarian
coordination systems.
CONCLUSION
We hope this guide has prepared you to take full advantage
of everything the Building a Better Response e-learning course
has to offer.

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 Unit 1 | Foundations of Humanitarian
Action
Section 1.0: Introduction
UNIT 1 OVERVIEW
Welcome to Unit 1: Foundations of Humanitarian Action.
The humanitarian field is always evolving. Whether you are
a seasoned humanitarian worker with years of experience or
brand new to the field, your contribution to a response may
depend on your knowledge of the current state of humanitarian
action and the history of humanitarian response. Humanitarian
actors on the ground need to make difficult decisions, often
under time and resource constraints; knowledge of the
principles that are the foundation of humanitarian work can be
an invaluable tool in meeting these challenges. This unit offers
humanitarian workers a chance to increase their knowledge
about these essential concepts.
RADIO ANNOUNCEMENT
It has been 24 hours since a magnitude 7.5 earthquake
hit Olvitana. The scene here is one of chaos and devastation.
Thousands of Olvitani are reported dead and injured, and the
government of Olvitana says as many as three million people
may be homeless. Experts say those numbers are expected to
rise.
Access to fresh drinking water is limited and sanitation
systems are down across the country. Nearly all communication of humanitarian action. You may be familiar with some of
systems and most major roads are badly damaged. Adding to
the chaos are reports that most government services simply
aren’t functioning. Dozens of relief organizations are arrivingencounter more detail on some of these topics in later units.
with supplies, but the coordination among these groups and
the Olvitana government isn’t fully established.
WELCOME
You must be the new staff member for Humanitarian
Corps Worldwide. It’s good to meet you. I’m Nina, the deputy
country director for Humanitarian Corps Worldwide. I’ve been
coordinating disaster relief for more than 20 years now. I can
help get you oriented to the situation here in Olvitana.
Let me explain a little about the organizations that are here
and how we all work together. It is important you know how
to coordinate and not add to the chaos. As you know, time and
resources are limited. Especially in times like this, coordination
must be one of an NGO’s priorities in order to have the most
efficient and effective response. Alongside their provision of
life-saving aid, NGOs have a responsibility to coordinate—both
to make their own organizations’ work more effective and to
contribute to the effectiveness of the wider response.
Are you up to date on the situation here in Olvitana?
SITUATION REPORT
Humanitarian Corps Worldwide Update:
• It has been 24 hours since a magnitude 7.5 earthquake
hit Olvitana
• Informal initial assessments estimate 3 million displaced
but this number is expected to rise with more information
• Olvitana Red Cross and other aid organizations are
distributing relief supplies
WHAT TO EXPECT
I will give you an overview of some of the foundations
this already, but it’s the framework for our response and the
foundation of your work, so it’s worth reviewing. You will also
We will discuss:
• Actors in Disaster Response
• The Humanitarian Imperative and Humanitarian
Principles
• Humanitarian Reform
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 Unit 1 | Foundations of Humanitarian
Action
Section 1.1: Actors in Disaster Response
OVERVIEW
In a crisis, systems can break down. A huge range of
communities and agencies are here to provide assistance.
Regardless of an organization’s size, experience, or resources,
everyone who is here shares the responsibility for cooperating
with one another and coordinating relief efforts. Coordination
is a good way to maximize the effectiveness and efficiency of
the overall relief operation.
In the Olvitana response, we have representation from
many disaster relief actors. The national government has the
primary role in the initiation, organization, coordination, and
implementation of humanitarian assistance within its territory.
The scale of this disaster exceeds the government’s ability to
meet all of the needs of the affected population, so other actors
have joined to support the response.
• National Government Agencies
• Local Relief Structures and Community-Based
Organizations
• Non-Governmental Organizations (NGOs)
• Red Cross and Red Crescent Movement
• United Nations (UN) Agencies
• Military
• Private Sector
• Donors
Click on a humanitarian actor to learn more about it. Once
you’ve explored all the humanitarian actors, you can move on
to the next section.
GOVERNMENT
Humanitarian emergencies place a tremendous burden on
national authorities. They’re trying to deal with the emergency
AND coordinate all the humanitarian organizations that want
to help.
That’s one reason some countries have a national disaster
management agency to respond to natural disasters. This
agency can determine how best to coordinate and distribute
help, to monitor all the different organizations, and to make
sure they all meet agreed-upon standards.
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The national government may:
• Create a national disaster management authority to head
coordination
• Work closely with the Humanitarian Country Team
• Rely on its relationship with the NGO community,
including the Red Cross/Red Crescent and any existing
coordinating bodies.
Here in Olvitana, the government, just like its citizens, is
affected. Through our early assessments of the situation, we
have found that most services and systems are damaged. Part of
your job will be to find ways to work with whatever government
structures still exist, instead of working around them or
ignoring them. Remember, the international community is
here to assist and help fill the gaps, not to replace the role of the
Olvitana Government.
WHAT IS THE HCT?
The Humanitarian Country Team (HCT) is a strategic and
operational decision-making and oversight forum led by the
Humanitarian Coordinator. Composition generally includes
representatives from the UN, International Organization
for Migration, international NGOs, and the Red Cross/Red
Crescent Movement. The HCT is responsible for agreeing on
common strategic issues related to humanitarian action.
More information about the HCT will be provided in Unit
2.
GOVERNMENT SELF-CHECK
In a humanitarian emergency, who has primary
responsibility for ensuring that the needs of the affected
population are met?
A. The United Nations Office for the Coordination of
Humanitarian Affairs (OCHA)
B. Non-Governmental Organizations
C. The National Government
LOCAL RELIEF STRUCTURES AND COMMUNITY-
BASED ORGANIZATIONS
It’s important to remember that the very first responders
are from the local community, and sometimes they’ve already
set up relief operations before any organization has even shown
up. In most cases, they will also remain after the disaster, when
most international organizations have left.
We should be sure we coordinate with the local groups
and communities. They can provide the overall context and be
partners in terms of providing assistance and maintaining good
communications.
Community-based organizations, or CBOs, know the area
and can help figure out what’s going on and provide guidance
on what’s needed.
CBOS SELF-CHECK
What value can CBOs bring to humanitarian response?
(Select all that apply.) Which part of the Red Cross and Red Crescent Movement
exists in-country during and between emergencies and works
A. They are the first to respond
on humanitarian tasks specific to that country?
B. They are representative of the affected community
A. International Committee of the Red Cross
C. They know the local geography and culture
B. National Red Cross and Red Crescent Societies
D. They communicate well with the affected community
C. International Federation of Red Cross and Red
NON-GOVERNMENTAL ORGANIZATIONS (NGOS)
NGOs, both national and international, play a critical role
in disaster response.
In any one crisis, there may be hundreds of NGOs
providing assistance. It is a diverse community: the scope
and scale of each NGO’s activities can vary according to their
unique mission and the resources they have available. Some
are faith based. And some not. Some are well known in the
humanitarian community. Others are not. Many provide
several kinds of programs, while others specialize in a single
area such as mapping, telecommunications, water, or even
veterinary services.
NGOS SELF-CHECK
Which of the following is NOT an NGO?
A. Olvitana Islamic Relief
B. Olvitana Development Association
C. International Water Aid
D. City Water Supply Company
INTERNATIONAL RED CROSS AND RED
CRESCENT MOVEMENT
The International Red Cross and Red Crescent Movement
consists of three main components:
• The International Committee of the Red Cross (ICRC)
protects the lives and dignity of the victims of armed
conflict and other situations of violence.
• National Red Cross and Red Crescent Societies exist in
nearly every country in the world. National Societies
support public authorities in their own countries and
provide a wide variety of services, ranging from disaster
relief and assistance for victims of war to first aid training
and restoring family links. National Society volunteers
are often the first on the scene when a disaster strikes.
• The International Federation of Red Cross and Red
Crescent Societies (IFRC) is a global humanitarian
organization that coordinates and directs international
assistance following natural and man-made disasters in
non-conflict situations. The IFRC works with National
Societies in responding to catastrophes around the world.
Its relief operations are combined with development
work, including disaster preparedness programs, health
and care activities, and the promotion of humanitarian
values.
RED CROSS AND RED CRESCENT MOVEMENT
SELF-CHECK
Crescent Societies
UN AGENCIES
There are many UN agencies, but I will tell you about the
ones you’re likely to come across in a humanitarian operation.
These agencies play leadership roles in humanitarian
coordination at the global and country level.
• The Office for the Coordination of Humanitarian Affairs
• The UN High Commissioner for Refugees
• The World Food Programme
• The Food and Agriculture Organization
• The UN Children’s Fund
• The World Health Organization, and
• The UN Development Programme.
The Office for the Coordination of Humanitarian Affairs
(OCHA) is the part of the UN Secretariat responsible for
bringing together humanitarian actors to ensure a coherent
response to emergencies. OCHA also ensures there is a
framework within which each actor can contribute to the
overall response effort.
OCHA’s mission is to:
• Mobilize and coordinate effective and principled
humanitarian action in partnership with national and
international actors in order to alleviate human suffering
in disasters and emergencies.
• Advocate the rights of people in need.
• Promote preparedness and prevention.
• Facilitate sustainable solutions.
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 OCHA acts as the chief coordinator of relief operations in
situations with internally displaced people. In refugee situations,
the UN High Commissioner for Refugees, or UNHCR, leads
coordination.
UNHCR is mandated to lead and coordinate international
action to protect refugees and seek durable solutions for
refugees worldwide. Following disasters, UNHCR coordinates
efforts around protection, emergency shelter, and camp
coordination and management. If people are moving for
migration or economic reasons, the International Organization
for Migration (IOM), which is not part of the UN system, is the
designated lead for camp coordination and camp management.
World Food Programme (WFP) has a lot of experience
managing the logistics needed to acquire food and distribute
it. WFP usually leads the coordination on three aspects of
relief operations: food security, logistics, and emergency
telecommunications.
The UN Food and Agriculture Organization (FAO) works
to improve nutrition, increase agricultural productivity, and
improve the standard of living in rural populations. In relief
efforts, they work with WFP to coordinate issues relating to
food security.
The UN Children’s Fund, UNICEF, focuses specifically
on children. They lead the coordination involving nutrition;
education; and water, sanitation, and hygiene; and take
a leadership role in child protection and on vaccination
campaigns for children.
The World Health Organization (WHO) is the UN’s
authority on global health research, norms, standards, and
policies. They also provide technical assistance to countries on
health matters. In disasters, WHO coordinates health activities.
The UN Development Programme (UNDP) is usually the
lead UN agency operating in a country when there is no crisis.
When a crisis occurs, they work to help the country recover.
UN AGENCIES SELF-CHECK
Match the UN agency to its responsibility.
1. Logistics, telecommunication, food aid, cash transfers
2. Coordination of relief efforts
3. Global health issues
4. Education, nutrition, child protection
5. Issues relating to refugees, protection, emergency
shelter, and camp coordination and management
6. Development activities--typically operates before and
after a crisis occurs
A. WFP
B. UNDP
C. UNHCR
D. UNICEF
E. OCHA
F. WHO
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MILITARY: NATIONAL AND INTERNATIONAL
The military, both national and international, can help with
rescue efforts or offer useful equipment – such as boats and
airplanes that can help distribute aid.
Military participation in humanitarian operations can be
complicated, especially when there is conflict going on. Help
from the national military might be considered welcome, or as
hostile interference, by citizens of the country, depending on
their own views of the conflict. Same with military from other
countries.
The Oslo Guidelines were set out in 1994 and re-launched
in 2006. They state that governments may offer their militaries
and civil defense personnel for disaster relief. Use of military
resources is a last resort, and if the national government accepts
military assistance, their deployment should be time limited
and under civilian control. The guidelines also state that when
foreign military personnel are deployed for humanitarian
response, they should be out of uniform as much as possible
and shouldn’t carry arms during the relief efforts.
It’s a good idea for NGO workers to check with their own
organizations, because individual groups often have their own
advice on how to engage with the military. The Inter-Agency
Standing Committee has non-binding guidelines on the “Use
of Military or Armed Escorts for Humanitarian Convoys”, too,
which you can find in the Resources section.
MILITARY SELF-CHECK
Can foreign military forces bring aid to disaster victims at
the invitation of the UN?
PRIVATE SECTOR
Private companies work with all the agencies here. They
sometimes provide the vehicles we drive or the airplanes we fly
on. They may loan their employees out to other organizations
working in the emergency. Sometimes, they even start up their
own relief efforts, especially if they are based in countries that
get hit by natural disasters frequently.
Generally, in a crisis, it makes sense to use as many local
resources as you can. That’s why agencies may give out money for
food, instead of the food itself. Then people spend that money
locally, helping their own community. Every organization has a
different relationship with the private sector.
PRIVATE SECTOR SELF-CHECK
Which of the following can private companies do?
A. Provide relief goods
B. Provide personnel
C. Carry out relief operations
D. Provide funds
E. All of the above
 DONORS ACCESS SELF-CHECK
Large international donors are present on the ground in a With which of the following would you negotiate to get
lot of major emergencies. They might have rapid assessment access to a disaster-affected population?
teams present or have staff available to facilitate grant making. A. Your own government
It is important to coordinate with these donors to ensure aid is B. Humanitarian Coordinator
adequately focused on those most in need. C. United Nations
ACCESS TO THE EMERGENCY D. National government
We are working here with the permission of the government E. Donor agency
of Olvitana. You are allowed to be here to provide assistance, ACTION STUDY
but it’s the responsibility and sovereign duty of the government
Which of the following could NOT be an actor in disaster
to coordinate what’s going on and to ensure that its citizens are
response?
getting the best services possible. They lead the process unless
their capacity is such that they ask the international community A. Disaster-affected communities
to take on that role. B. Community-based organizations
The government decides who can and can’t get into the C. The government of the affected country
country. How this works depends on the situation and the D. Private sector organizations
agency. E. Non-governmental organizations
UN agencies that aren’t already in the country have to wait F. International Committee of the Red Cross
for a request for assistance from the government. Otherwise, G. The United Nations
the UN doesn’t have the right to provide help. H. All of the above could be actors in a disaster response
NGOs don’t have to be invited to respond, but NGOs that
are not already present can be turned away when they try
to enter the country, or be blocked by the government from
working in a particular area.
The Red Cross and Red Crescent Movement operates
differently. The ICRC has an institutional mandate to act
in international armed conflict. It may offer its services to
governments in non-international armed conflicts, without
this being considered interference in internal state affairs.
National Societies and the IFRC often play more of a role in
natural disaster response and may already be in the country.
Through their networks of volunteers and staff, they can often
respond very quickly.

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 Unit 1 | Foundations of Humanitarian
Action
Section 1.2: The Humanitarian Imperative
and Humanitarian Principles
HUMANITARIAN IMPERATIVE AND
HUMANITARIAN PRINCIPLES
As I mentioned, there are many humanitarian actors and imperative, and which do not? Move the items under their
they are all different. A humanitarian emergency is too much appropriate heading:
for any one entity to handle on its own, so coordination is
essential. I will get into the formal coordination mechanisms
shortly, but the humanitarian imperative and humanitarian
principles that underpin our work are a shared foundation for
coordination.
Humanitarian actors share a common goal: to provide
life-saving assistance and protection to populations in
need. Over time, the international humanitarian system has
developed principles that guide the activities of these response
organizations and individuals. This starts with the humanitarian
imperative.
Do you understand what I mean when I talk about the
humanitarian imperative?
THE HUMANITARIAN IMPERATIVE
The concept of the “humanitarian imperative” means that
action should be taken to prevent or alleviate human suffering
arising out of disaster or conflict, and that nothing should
override this principle.
If people here are going to trust you, if you want to be able to
get where you need to go and do what you need to do, everyone
has to believe that you’re here for purely humanitarian reasons.
That you only want to help the people affected by the disaster.
This means that you should be thinking about how other people
perceive you. So you have to think about what you say and do
and how you dress and act.
HUMANITARIAN IMPERATIVE SELF-CHECK
Of these items, which qualify as following the humanitarian
A. Surveying the local population to find out who is most
in need
B. Handing aid over to a local leader to distribute as they
see fit
C. Targeting aid to the most malnourished children first
D. Asking your donor where they would like to see aid
E. Working with the local political party to create a
beneficiary list because they have good access to the
community
F. Negotiating with whomever it takes to get access to
affected populations
HUMANITARIAN PRINCIPLES
The humanitarian principles are humanity, neutrality,
impartiality, and independence.
Let’s review each one.
Click a principle to learn more about it. Once you have
explored all of the principles, you can continue on to the next
section.
HUMANITY
The notion of humanity means that when we seek to assist,
we treat individuals as human beings with dignity who should
be respected. If someone’s life is threatened, your job and the
job of your organization are to find ways to ensure that life-
saving assistance and protection are provided as immediately
as possible.
NEUTRALITY
The principle of neutrality dictates that humanitarian actors
must NOT take sides in hostilities or engage in controversies of
a political, racial, religious, or ideological nature.
9
 IMPARTIALITY ACTION STUDY 1
Humanitarian aid must be delivered impartially, regardless What if the government of Olvitana offers you money
of, for example, gender, race, or ethnicity. People should get to open a field hospital in an area dominated by the ruling
assistance on the basis of need, and need alone. government’s political party, but your needs assessment shows
that the area of greatest need is the adjacent district? Do you
INDEPENDENCE accept the funds?
Humanitarian actors must remain independent. They can
never act as instruments of foreign policy. As an organization ACTION STUDY 2
and as individuals, we need to act independently regardless You arrive at a small village devastated by the earthquake.
of who is supporting us financially. We cannot be swayed by You are the first international agency to get there, but there
political, economic, military, or any other influences when we are already a number of local organizations and national
are working to provide assistance. organizations present and starting to organize relief. These
include the local farmers association, the local branch of the
HUMANITARIAN PRINCIPLES SELF-CHECK ruling political party, the police, a community development
Of these items, which qualify as following the humanitarian group, and both the local church and mosque. Which of these
imperative and which do not? Move the items under their groups would you NOT feel comfortable taking on as a potential
appropriate heading. local partner? (Select all that apply.)
1. Dictates that humanitarian actors must NOT take sides A. The local farmers association
in hostilities or engage in controversies of a political, B. The local branch of the ruling party
racial, religious, or ideological nature.
C. The police
2. Humanitarian aid must be delivered regardless of, for
D. A community development group
example, gender, race, or ethnicity. People should get
E. The local church
assistance on the basis of need, and need alone.
F. The local mosque
3. When humanitarian actors seek to assist, they must
treat individuals as human beings with dignity that PRINCIPLES OF PARTNERSHIP
should be respected. If someone’s life is threatened, the Just as the humanitarian principles guide how we work as
job of humanitarian actors is to find ways to ensure individuals and organizations, the Principles of Partnership
that life-saving assistance and protection are provided address how the various organizations here collaborate to make
as immediately as possible. sure we’re all as efficient, effective, and accountable as possible.
4. Humanitarian actors can never act as instruments The Global Humanitarian Platform adopted the
of foreign policy, regardless of who is supporting Principles of Partnership in 2007 to promote and enhance
them financially. They cannot be swayed by political, the role of partnership in humanitarian response. The Global
economic, military, or any other influences when Humanitarian Platform was a group of humanitarian actors,
working to provide assistance. including the UN, NGOs, and the Red Cross/Red Crescent
Movement, that came together to explore ways of enhancing
A. Humanity the effectiveness of humanitarian response. There are five
B. Impartiality Principles of Partnership: equality, transparency, results-
C. Independence oriented approach, responsibility, and complementarity.
D. Neutrality
EQUALITY
QUICK CHECK Equality requires mutual respect between members of the
So, aren’t impartiality, neutrality, and independence partnership irrespective of size and power. The participants must
basically the same? respect each other’s mandates, obligations, and independence
and recognize each other’s constraints and commitments.
FROM PRINCIPLE TO PRACTICE Mutual respect must not preclude organizations from engaging
These humanitarian principles have practical operational in constructive dissent.
relevance. They distinguish humanitarian action from the
activities and objectives of other actors. This is important in TRANSPARENCY
gaining access to affected populations and in ensuring the Transparency is achieved through dialogue (on equal
safety of humanitarian personnel and the populations we are footing), with an emphasis on early consultations and early
working to help. sharing of information. Communications and transparency
about what you are doing, including financial transparency,
increase the level of trust among organizations.

10
 RESULTS-ORIENTED APPROACH FROM PRINCIPLE TO PRACTICE
Effective humanitarian action must be reality-based and Just like the humanitarian principles we discussed earlier,
action-oriented. This requires result-oriented coordination the Principles of Partnership are directly relevant in the field.
based on effective capabilities and concrete operational These principles provide a framework for all international
capacities. humanitarian actors to improve engagement with each other,
as well as national actors and local civil society.
RESPONSIBILITY
Humanitarian organizations have an ethical obligation ACTION STUDY 3
to each other to accomplish their tasks responsibly, with Here is part of a memorandum of understanding (MoU)
integrity, and in a relevant and appropriate way. They must between your NGO, Humanitarian Corps Worldwide (HCW),
make sure they commit to activities only when they have the and a local partner organization, Olvitana Relief (OR),
means, competencies, skills, and capacity to deliver on their with whom you are going to work on a water and sanitation
commitments. Decisive and robust prevention of abuses program. Drag and drop individual sentences to the Principle
committed by humanitarians must also be a constant effort. of Partnership the sentence is referring to.
1. HCW and OR undertake to share with each other
COMPLEMENTARITY all reports on their respective work and reports of
The diversity of the humanitarian community is an asset meetings they have had with local officials.
if we build on our comparative advantages and complement 2. Our work is focused on installing 100 latrines over the
each other’s contributions. Local capacity is one of the main next three weeks to serve 4,000 people.
assets to expand and on which to build. Whenever possible,
3. If either party finds they do not have the skills or
humanitarian organizations should strive to make it an integral
resources to move forward on this project, they will
part of an emergency response. Any language and cultural
immediately inform the other party and discuss ways
barriers, if they exist, must be overcome.
of resolving the problem.
PRINCIPLES OF PARTNERSHIP SELF-CHECK 1 4. HCW enters into a partnership of mutual respect with
According to the Principles of Partnership, partnership OR to implement a water and sanitation program.
requires (Select all that apply): 5. HCW will supply the tools and materials, and OR will
A. Contracts negotiate local access and supply the local workers.
B. Transparency
C. Responsibility A. Equality
D. Equality B. Results-Oriented Approach
C. Transparency
PRINCIPLES OF PARTNERSHIP SELF-CHECK 2 D. Responsibility
Match each statement with the Principle of Partnership E. Complementarity
it represents. Drag each principle into the green box that
corresponds to the correct answer.
1. Mutual respect, regardless of size and power.
2. Humanitarian action must be action-based and
realistic.
3. Share information early and openly with partners.
4. Organizations have different strengths, so when
different organizations work together, it makes the
overall response stronger in more areas.
5. Only commit to activities you have the capacity to
perform completely and appropriately.

A. Results-oriented approach
B. Responsibility
C. Complementarity
D. Transparency
E. Equality

11
 Unit 1 | Foundations of Humanitarian
Action
Section 1.3: Humanitarian Reform

HUMANITARIAN REFORM as a central focal point with governments and non-

The humanitarian field is evolving in an effort to improve governmental organizations
how effectively and efficiently we can provide assistance to • Establishes Consolidated Appeals Process (CAP) to
populations affected by humanitarian crisis. coordinate funding appeals
• Establishes Central Emergency Revolving Fund (CERF),
TIMELINE: HUMANITARIAN REFORM BEFORE a pooled donor fund of initially US$50 million
2005 • Creates Inter-Agency Standing Committee, a
Take a moment to explore the history of humanitarian central coordination platform for humanitarian UN
reform before 2005. Red flags indicate a disaster or emergency. organizations, NGOs, and the Red Cross and Red
Blue flags indicate what measures were taken in response to Crescent Movement
these events. Click on each flag to get more information before
proceeding to the next section. 1994
1994: Genocide and civil wars in Rwanda and the Great
1960-1980 Lakes region raise questions about willingness to act and reveal
1960-1980: Several large-scale emergencies, including the weaknesses in the management of relief operations.
Biafra crisis, earthquake in Peru, cyclone in East Pakistan, and
the Indo-Pakistani war, highlight the need for coordination of 1997
humanitarian efforts. 1997: Reviews recommend that the UN retain a stand-
alone, non-operational humanitarian coordination office. This
1971 leads to the creation of OCHA.
1971: UN member states create the position of Disaster Relief
Coordinator and establish the Disaster Relief Organization. 2003-2004
This organization had a strong mandate to mobilize, direct, and 2003-2004: Large-scale, highly visible crises, such as the
coordinate UN humanitarian assistance and to coordinate UN Darfur crisis and Indian Ocean tsunami, uncover further
assistance with the activities of non-UN actors. limitations in the humanitarian response system.
1990-1991 2005
1990-1991: The Gulf War and refugee crisis highlight the 2005: ERC initiates a new “Humanitarian Reform” in an
need for a more empowered humanitarian coordination entity, attempt to strengthen coordination, financing, leadership,
coordination with the military, and coordinated assistance for and partnership (added later) to provide more accountable,
internally displaced people. effective, and predictable humanitarian response.
1991 FOUR PILLARS OF HUMANITARIAN REFORM
1991: UN General Assembly adopts Resolution 46/182. And the Humanitarian Reform launched in 2005 identified
This resolution establishes several important entities that four pillars that stand today. Take a moment to explore these.
remain cornerstones of humanitarian coordination. Click on a pillar of reform to learn more about it before
• Transforms the position of Disaster Relief Coordinator proceeding to the next section.
into Emergency Relief Coordinator (ERC), who would
be responsible for coordinating and facilitating the
humanitarian assistance of the UN system and serve

12
 COORDINATION PARTNERSHIP
The 2005 reform established the cluster approach, which Partnership was added in 2007. UN, governments, NGOs,
is the main way humanitarian actors coordinate. Clusters are the Red Cross/Red Crescent, and local groups all need to work
groups of humanitarian organizations (UN and non-UN) together and behave according to the Principles of Partnership.
working in the main sectors of humanitarian action, e.g.,
shelter and health, who coordinate in order to avoid gaps and
HUMANITARIAN REFORM SELF-CHECK
duplication in assistance to affected communities. Which of the following statements is FALSE?
They are created: A. Clusters are groups of people who represent their
• when clear humanitarian needs exist within a sector different humanitarian organizations.
• when there are numerous actors within sectors B. Local government appoints the Humanitarian
Coordinator.
• when national authorities need coordination support
C. The finance pillar of Humanitarian Reform aims to
Clusters provide a clear point of contact and are accountable
improve the predictability, flexibility, and timeliness of
for adequate and appropriate humanitarian response. Clusters
funding.
promote partnerships between international humanitarian
actors, national and local authorities, and civil society. PILLARS OF REFORM SELF-CHECK
LEADERSHIP You arrive at a big coordination meeting for the Olvitana
earthquake crisis and overhear lots of conversations in the
If international humanitarian assistance is required, the
room. Match the statements below to which Humanitarian
Emergency Relief Coordinator may appoint a Humanitarian
Reform pillar you think they are referring to. Drag the response
Coordinator (HC) to lead and coordinate the efforts of
to the pillar that it corresponds to.
humanitarian organizations (both UN and non-UN). The 2005
reforms aimed to strengthen the role and capacity of these 1. “I’m going to get an application in tomorrow to the
Humanitarian Coordinators. Emergency Response Fund.”
2. “Great, can we work out a common work plan and sign
HUMANITARIAN FINANCING an MOU to get the work started?”
The 2005 reforms strengthened the pooled funding 3. “The Humanitarian Coordinator has many years of
mechanisms. The goal of this reform was to improve the experience coordinating humanitarian response and is
predictability, flexibility, and timeliness of funding for perfect for the job.”
humanitarian operations. 4. “We are doing water programs, who should we be
talking to?”

A. Leadership
B. Coordination
C. Partnership
D. Humanitarian Financing

TRANSFORMATIVE AGENDA
A WORD FROM VALERIE AMOS
The actions launched under Humanitarian Reform in
2005 are still evolving and being improved. The late 2000s
witnessed many humanitarian emergencies, including the Haiti
earthquake and Pakistan floods in 2010. The response to these
disasters exposed a number of weaknesses and inefficiencies in
international humanitarian coordination and response.
In response to these events, the Inter-Agency Standing
Committee (IASC) created the Transformative Agenda: a
set of recommendations to ensure that these shortcomings
are addressed and to improve humanitarian response and
accountability to affected people.
The Transformative Agenda focuses on three key areas:
better leadership, improved accountability to all stakeholders,

13
and improved coordination. It also describes how the IASC will TRANSFORMATIVE AGENDA SELF-CHECK
respond together to major emergencies that require a system- Which of the following principles are central to the
wide response. These are called Level 3 emergencies. Transformative Agenda? Select all that apply.
Instead of me explaining, why not hear about the A. Leadership
Transformative Agenda from the head of OCHA and the B. Accountability
Emergency Relief Coordinator, Valerie Amos. Here is a video C. Coordination
from 2012. It’s about two minutes long and provides a good
introduction. CONCLUSION
Hello everyone. This year is a critical year for the OK, let’s review. We’ve discussed:
humanitarian community as a whole and for OCHA in particular. • Actors in Disaster Response
The global financial crisis has made raising funds more difficult • The Humanitarian Imperative and Humanitarian
than ever. At the same time, we must respond to an increasing Principles
number of crises. In December last year, the IASC Principals • Humanitarian Reform
met in Geneva to conclude a series of discussions on how we,
It’s important for NGO workers to know the actors and
as leaders of the international humanitarian community, can
humanitarian principles in any response in order to ensure that
respond to the challenges we face. We reflected frankly on the
your own NGO is acting in a principled way, and to hold others
current deficiencies in the international humanitarian system,
accountable for their actions in humanitarian response.
and committed not to repeat the mistakes of the past. We agreed
to a series of actions that will not only change but will visibly
transform the way in which our community responds to a crisis.
We at OCHA have a critical role to play in making the promises
of improvement contained in the transformative agenda a
reality on the ground. We need to focus not on the process of
implementing change, but on the impact of that change. We
will know we have succeeded when we see a more efficient, a
more effective, and a more streamlined humanitarian system
in action. The dedication, commitment, and contribution
of every member of OCHA staff will be critical. As we work
to implement these changes, we must never lose sight of our
ultimate goal: that more lives are saved as a result of our work.
OCHA is leading the way in making the changes required to
make the transformative agenda a reality on the ground. And
my thanks to each and every one of you for your contribution
to making this happen. Thank you.

14
 Unit 1 | Foundations of Humanitarian

Action
Unit 1 Answers Section

SECTION 1.1 | ACTORS IN PRIVATE SECTOR SELF-CHECK

ANSWER: E. Private companies can assume many different
DISASTER RESPONSE roles in humanitarian response.
GOVERNMENT SELF-CHECK ACCESS SELF-CHECK
ANSWER: C. Each state has the responsibility first and ANSWER: D. Organizations cannot enter a country
foremost to take care of the victims of natural disasters and without official permission from the government.
other emergencies occurring on its territory. Hence, the affected
state has the primary role in the initiation, organization,
coordination, and implementation of humanitarian assistance SECTION 1.2 | THE HUMANITARIAN
within its territory. OCHA may take the lead with the
government’s support if the government is not able to. IMPERATIVE AND HUMANITARIAN
CBOS SELF-CHECK PRINCIPLES
ANSWER: A, C, and D. That’s right! CBOs are already HUMANITARIAN IMPERATIVE SELF-CHECK
on the ground, so they are often the first to respond and
ANSWER: A, C, and F. These examples demonstrate the
familiar with the area. They can assist with needs assessment
humanitarian imperative’s focus of ensuring aid goes to those
and communication, but it can’t be assumed that they are
who have the greatest need.
representative of the affected community.
NGOS SELF-CHECK HUMANITARIAN PRINCIPLES SELF-CHECK
ANSWER: 1. D, 2. B, 3. A, 4. C
ANSWER: D. The NGO community is rich and diverse: An
NGO could be faith based, have a very broad mandate, or focus QUICK CHECK
on a specific area. A company cannot be an NGO. No. Impartiality means relief must be guided solely on
RED CROSS AND RED CRESCENT MOVEMENT the basis of need, independence means humanitarian action
SELF-CHECK must be autonomous from influences of outside actors, and
neutrality means humanitarian assistance must be provided
ANSWER: B. The International Committee of the Red
without taking sides in controversies.
Cross is active primarily in situations of armed conflict; the
International Federation of Red Cross and Red Crescent ACTION STUDY 1
Societies organizes relief assistance responding to large-scale ANSWER: No. Aid should be based on greatest need.
emergencies.
ACTION STUDY 2
UN AGENCIES SELF-CHECK ANSWER: B and C. By definition, the ruling party will be
ANSWER: 1. A, 2. E, 3. F, 4. D, 5. C, 6. B seen as partisan and may jeopardize your neutrality. Likewise,
MILITARY SELF-CHECK in many places the police are seen as partisan and it would be
best not to partner with them even though you might look to
ANSWER: No. It is the national government that must
them for protection.
accept the assistance of a foreign military.

15
 PRINCIPLES OF PARTNERSHIP SELF-CHECK 1
ANSWER: B, C, and D. Transparency, responsibility, and
equality are required to have successful partnership.
PRINCIPLES OF PARTNERSHIP SELF-CHECK 2
ANSWER: 1. E, 2. A, 3. D, 4. C, 5. B
ACTION STUDY 3
ANSWER: 1. C, 2. B, 3. D, 4. A, 5. E

SECTION 1.3 | HUMANITARIAN

REFORM
HUMANITARIAN REFORM SELF-CHECK
ANSWER: B. The Emergency Relief Coordinator appoints
the Humanitarian Coordinator.
PILLARS OF REFORM SELF-CHECK
ANSWER: 1. D, 2. C, 3. A, 4. B
TRANSFORMATIVE AGENDA SELF-CHECK
ANSWER: A, B, and C. Leadership, accountability, and
coordination are all central to the Transformative Agenda.

16
 Unit 2 | The International Humanitarian
Architecture
Section 2.0: Introduction

UNIT 2 OVERVIEW • Non-governmental organizations (NGOs) that were

Each emergency response is unique, but when the scale active before the earthquake have started assessments,
of a disaster exceeds a government’s capacity to respond, and additional organizations are arriving
humanitarian organizations exist to assist in the relief effort. Due • Olvitana Red Cross and other aid organizations are
to the wide variety of humanitarian organizations, expertise, distributing relief supplies
and relationships involved in any large emergency response, • There is a Humanitarian Coordinator and Humanitarian
confusion and duplication of efforts cause real problems, and Country Team in place
weaken response efforts. This unit is designed to address these
challenges by equipping humanitarian workers with a common WHAT TO EXPECT
understanding of the international humanitarian architecture Now that you’re up to date on the situation, I want to talk
that exists to make humanitarian response more efficient, a little about our role in it. NGOs are here to serve the disaster-
predictable, and accountable. affected population and to meet the needs that the government
might not be able to meet due to the stresses of the disaster.
RADIO ANNOUNCEMENT NGOs like ours are on the ground, in the midst of the crisis,
It has been 48 hours since Olvitana was struck by magnitude working side by side with the affected people to provide life-
7.5 earthquake. The earthquake has caused extensive damage saving aid.
and displacement. The Olvitani Government has accepted There are many different kinds of organizations, including
offers of assistance from other governments, the United national and international NGOs, that are here to provide
Nations, and other aid organizations, since the majority of aid to those affected by this disaster. Other key actors in
government services remain inoperable. Relief efforts and early humanitarian emergencies include the national government
assessments are underway and more organizations, personnel, and local authorities, the United Nations (UN), the Red Cross/
and supplies arrive by the hour. However, access to the most Red Crescent, local or other military forces, and the disaster-
affected population has been challenged by damaged roads and affected community itself.
infrastructure. The international humanitarian architecture is one way
these many actors coordinate their activities in a disaster
WELCOME
response. I’ll describe some of the main components of the
I’m Ziad, Emergency Response Director for Humanitarian architecture, including:
Corps Worldwide. Are you up to date on the situation here in
• Office for the Coordination of Humanitarian Affairs
Olvitana?
• Under-Secretary-General/Emergency Relief Coordinator
SITUATION REPORT • Inter-Agency Standing Committee
Humanitarian Corps Worldwide update: • Humanitarian Coordinator
• It has been 48 hours since a magnitude 7.5 earthquake • Humanitarian Country Team
hit Olvitana • Clusters
• Informal initial assessments estimate 3 million displaced • NGO consortia
but this number is expected to rise with more information

17
 Unit 2 | The International Humanitarian
Architecture
Section 2.1: International Humanitarian
Architecture at the Global and Country
Levels
COORDINATION OF AID PROVISION
Here is a map of Olvitana. As you can see, there are
many NGOs providing aid in this country, in collaboration
with national government agencies, community-based
organizations, and the UN. All of these different organizations
and agencies are providing aid to the regions of Olvitana that
were affected by the earthquake, and are responding to the
various needs of the affected population. Given the multitude
of needs and organizations involved in this response, we need
to coordinate. If we don’t coordinate, we might all be over here
serving this population, while not adequately meeting the
needs of this group over here. This not only wastes resources by
duplicating efforts, it can lead to serious problems, even deaths
of people affected by disaster in these regions not being served.
Coordination allows us to avoid these problems. If we
coordinate well, NGOs and others providing assistance can
share information about where they are working, what services
they are providing, and what needs are in their areas of coverage.
This allows us to provide aid where it is needed, to whom it is
needed, in a timely fashion—using our resources as efficiently
and effectively as we can.
Coordination involves everyone on the ground providing
aid. Everyone from the affected country’s national government
to the UN, NGO aid workers like us, the Red Cross/Red Crescent,
to community-based organizations; in order for coordination
to work well, everyone has to participate. Coordinating with
other humanitarian actors can seem challenging and time-
consuming at times; however, it helps increase our overall
response capacity, and most importantly, it helps us to better
respond to the needs of the people affected by the disaster.
Coordination is most effective when national NGOs and
other local response organizations are participating. Thus,
efforts must be taken to ensure that coordination is inclusive of
all humanitarian actors.
18
COORDINATION SELF-CHECK
Why is coordination important in a humanitarian crisis?
A. Coordination allows those providing aid to people
affected by disaster to share information
B. Coordination helps ensure that all persons in need
receive aid
C. Coordination allows us to use our resources as
efficiently and effectively as we can
D. All of the above
INTRODUCTION TO THE INTERNATIONAL
HUMANITARIAN ARCHITECTURE
It is important to remember we are here only with the
permission of the national government. In addition to local
communities and local authorities, the national government
was among the first to respond to this disaster. In situations
like this, or if the scale of the disaster simply exceeds the
ability of local and national authorities to manage on their
own, the humanitarian architecture provides a framework to
coordinate the various humanitarian actors who can support
and supplement the existing national capacity. While other
coordination systems do exist, the international humanitarian
architecture being described here involves humanitarian actors
coordinated under the Inter-Agency Standing Committee. Are
you familiar with the international humanitarian architecture?
You already know that it operates at a global and country
level, both during and between disasters. It helps us better
meet needs of populations affected by humanitarian crises.
This architecture is designed to make sure we are as effective as
possible. Thus, it is very important to understand it well.
 Global
Level
National
Level
THE INTERNATIONAL HUMANITARIAN
ARCHITECTURE
Here is a chart that shows the main components of the
humanitarian architecture. Take some time to learn about each
component and its role. The main components are:
• Office for the Coordination of Humanitarian Affairs
• Under-Secretary-General/Emergency Relief Coordinator
• Inter-Agency Standing Committee
• Humanitarian Coordinator
• Humanitarian Country Team
• Clusters
• NGO consortia
Click on each component to learn more. Once you have
explored a component, it will appear gray on the chart.
IASC
(Inter-Agency
Standing Committee) Global
Clusters
Humanitarian
Country Team
In-Country
Clusters
OFFICE FOR THE COORDINATION OF
HUMANITARIAN AFFAIRS (OCHA)
The Office for the Coordination of Humanitarian Affairs,
or OCHA, is part of the United Nations (UN) Secretariat. It is
responsible for bringing together humanitarian actors to ensure
a coherent response to emergencies. OCHA also ensures there
is a framework within which each actor can contribute to the
overall response effort.
OCHA’s mission is to:
• Mobilize and coordinate effective and principled
humanitarian action to alleviate human suffering in
disasters and emergencies. This is done in partnership
with national and international actors.
• Advocate the rights of people in need.
• Promote preparedness and prevention.
• Facilitate sustainable solutions.
During an emergency response, OCHA plays a key role
in coordination and information management. NGOs should
ensure that they are accessing the up-to-date information, such
as situation reports, maps, etc., that OCHA is providing.
19
 OCHA SELF-CHECK ERC SELF-CHECK 1
Drag each humanitarian response activity in Olvitana to Which of the following are true of the ERC? (Select all that
the part of OCHA’s mandate it corresponds with: apply)
1. Mobilize humanitarian action in partnership with A. Is responsible for selection of Humanitarian
national & international actors Coordinators
2. Promote preparedness and prevention B. Is based in-country to oversee humanitarian operations
3. Advocate the rights of people in need C. Plays a critical advocacy role in a disaster
4. Facilitate sustainable solutions D. Leads the IASC
ERC SELF-CHECK 2
A. Communicates with press and media in order to speak
out on behalf of the affected population Match each activity to the part of the ERC’s role it
corresponds with:
B. Works with NGOs and the government of Olvitana to
develop contingency planning 1. Responsible for oversight
C. Works to transition recovery efforts from international 2. Serves as focal point
organizations to local entities 3. Plays critical advocacy role
D. Organizes a forum that includes all humanitarian
actors working in Olvitana A. Works to connects the activities of intergovernmental,
governmental, and non-governmental organizations
EMERGENCY RELIEF COORDINATOR (ERC) B. Oversees the work of the Humanitarian Coordinator
The head of OCHA is the Under-Secretary-General for C. Advocates for better access to affected areas & works to
Humanitarian Affairs and Emergency Relief Coordinator improve the security situation
(ERC). The ERC is responsible for the oversight of all
emergencies requiring UN humanitarian assistance. He or she INTER-AGENCY STANDING COMMITTEE (IASC)
also acts as the focal point for governmental, intergovernmental, The Inter-Agency Standing Committee (IASC) is a unique
and non-governmental relief activities. The ERC also plays a inter-agency forum for coordination, policy development,
critical advocacy role in specific crises and in the promotion of and decision-making involving the key UN and non-UN
humanitarian action. humanitarian partners.
The ERC also leads the Inter-Agency Standing Committee It was established in June 1992 in response to General
(IASC). In a country affected by a disaster or conflict, the ERC, Assembly Resolution 46/182. UN agencies are permanent
in consultation with the IASC, may appoint a Humanitarian members and others have standing invitations to participate.
Coordinator (HC) to ensure response efforts are well organized. The IASC is the only decision-making group related to
The ERC, in consultation with the IASC Principals humanitarian response that includes UN agencies, the World
determines when a humanitarian crisis requires a system- Bank, the International Organization for Migration (IOM),
wide response. This decision is based on the criteria of scale, the International Committee of the Red Cross (ICRC), the
complexity, urgency, capacity, and reputational risk. When the International Federation of the Red Cross and Red Crescent
ERC determines these criteria have been met, he or she declares Societies (IFRC), and NGOs.
a Level 3, or L3, emergency. This commits IASC organizations to Their focus is primarily on development of policies and
mobilizing the resources and establishing the systems necessary guidelines for field application. The IASC is a forum that allows
to contribute to the response in a way that complements each humanitarian agencies to coordinate on an on-going basis.
agency’s capacity and supports inter-agency coordination. This way, when disaster strikes, they have addressed common
concerns and co-developed mechanisms for coordination.
IASC PRINCIPALS
NGOs have access to this high-level decision-making body
IASC Principals are the heads of all IASC member agencies
through their representation by the NGO consortia.
or their representatives. Their responsibilities include:
• Making strategic and operational policy decisions for the IASC SELF-CHECK 1
IASC True or False? The IASC is a group of UN agencies.
• Advocating common humanitarian principles,
collectively or individually, on behalf of the IASC IASC SELF-CHECK 2
• Bringing issues to the attention of the Secretary-General True or False? The IASC creates guidelines and policies to
and the Security Council through the Emergency Relief guide the work of humanitarian actors.
Coordinator IASC SELF-CHECK 3
True or False? The IASC is active exclusively during
emergencies.

20
 NGO CONSORTIA
NGO membership organizations, known as “NGO
consortia,” are a vital part of the international humanitarian
architecture. These organizations represent many different
NGOs and are very active in the architecture.
There are many NGO consortia actively participating
in humanitarian response at the global and national levels.
Three of these consortia are part of the Inter-Agency Standing
Committee. They are:
• The International Council of Voluntary Agencies, or
ICVA
• InterAction, and
• The Steering Committee for Humanitarian Response, or
SCHR.
InterAction is a consortium of American NGOs. ICVA is
a global network of NGOs. SCHR includes a small group of
NGOs, IFRC, and ICRC.
These consortia represent the interests of their members,
both humanitarian and development NGOs, at the IASC and
other forums. These consortia often help coordinate their
members’ advocacy and policy work but are not typically
involved directly in field operations or coordination.
Often there are nationally based consortia of NGOs working
in a country year-round – many times undertaking crucial
advocacy or policy work. Because they’re based in the country,
they may know a lot more than international organizations
about the local area and context. This information can be useful
to humanitarian actors, and can help to involve the community
in assessments and programming.
Not all NGOs are members of consortia at either the global
or field levels. This can be a major challenge to coordination.
NGO CONSORTIA SELF-CHECK
The Steering Committee for Humanitarian Response,
InterAction, and the International Council for Voluntary
Agencies represent NGOs at the Inter-Agency Standing
Committee.
HUMANITARIAN COORDINATOR (HC)
When a country is affected by a major disaster or conflict,
one of the earliest steps in the international humanitarian
response is the appointment of a Humanitarian Coordinator,
or HC.
The Emergency Relief Coordinator (ERC) selects the by the Emergency Relief Coordinator.
HC from a small pool of qualified professionals, and his or
her appointment is approved by the Inter-Agency Standing
Committee, or IASC. Staff from NGOs may apply to be part of
the HC pool.
In many countries, the person best suited for the role of
HC is the current UN Resident Coordinator, who coordinates
development operations for all UN agencies in a given country.
21
This is because a Resident Coordinator, or RC, is accredited by
the government and has built relations with it that are deemed
to be conducive to negotiate internal humanitarian action.
Once appointed, the HC is responsible for leading and
coordinating the efforts of all UN and non-UN humanitarian
organizations. He or she is charged with leading this effort while
ensuring that the entire response is principled, timely, effective,
efficient, and contributing to longer-term recovery efforts.
The HC has a long list of specific duties and responsibilities.
What follows is a brief overview of these functions. For detailed
information on the HC’s roles and responsibilities, see the
IASC’s “Terms of Reference for the Humanitarian Coordinator”
in this unit’s Resources section.
• The HC reports directly to the ERC and serves as the
ERC’s representative in the country or region concerned.
• The HC establishes and leads the Humanitarian Country
Team, or HCT, which is the response effort’s primary
strategic and operational decision-making and oversight
forum in-country.
• The HC is supported by the UN Office for the
Coordination of Humanitarian Affairs and the HCT.
The HC, as the leader of the HCT, is responsible for:
• Assessing the situation, identifying the priority needs,
and analyzing the capacity of national authorities and
civil society to respond
• Ensuring as a priority that lives are saved and life-saving
assistance and protection are provided
• Forming a recommendation of which clusters should be
activated and which organizations should lead them and
sharing this recommendation with the ERC and IASC for
approval
• Mobilizing the humanitarian community to deliver an
effective response to identified priority needs
• Agreeing on the regularity and content of initial
information updates
• Determining common advocacy messages for national
authorities, donors, and media
Knowing the responsibilities of the HC is useful in order to
hold HCs accountable for performing their duties in emergency
response.
HC SELF-CHECK 1
True or false? The Humanitarian Coordinator is appointed
HC SELF-CHECK 2
True or False? The Humanitarian Coordinator leads the
Humanitarian Country Team.
 HC SELF-CHECK 3 Whenever possible, the HCT should support and work
Which of the following parts of this scenario does NOT with existing coordination mechanisms, including national
describe the role of the Humanitarian Coordinator and NGO consortia and national government disaster management
Humanitarian Country Team? agencies.
A. Immediately after the earthquake, the Humanitarian NGOs play a unique role on the HCT, and so they should
Coordinator and Humanitarian Country Team always be invited to participate. They provide an operational
coordinate assessments throughout the affected region voice on the HCT, and will often represent NGOs that are not
to assess the situation, determine needs, and identify on the team. For many national NGOs, the HCT provides an
existing capacities for the humanitarian response. entry point to the international humanitarian architecture, and
B. They identify health, water and sanitation, and can form the basis for continuing relationships and long-term
nutrition as immediate needs, and suggest that the improvement in response capacity.
relevant clusters be immediately activated. HCT SELF-CHECK 1
C. They disburse funds to relevant NGOs active in each True or False? The Emergency Relief Coordinator leads the
of the clusters. Humanitarian Country Team.
D. In collaboration with these clusters, they develop a plan
for provision of services to the affected population. HCT SELF-CHECK 2
True or False? The Humanitarian Country Team determines
HUMANITARIAN COUNTRY TEAM (HCT) priorities and strategies for humanitarian assistance in a conflict
Shortly after his or her appointment, the Humanitarian or crisis-affected country.
Coordinator establishes the Humanitarian Country Team, or
HCT, if one is not in place. The HCT is the response effort’s HCT SELF-CHECK 3
primary strategic and operational decision-making and Which of the following might be represented on the
oversight forum in-country. HCTs are composed of a wide Humanitarian Country Team? Select all that apply.
variety of organizations, though the number of organizations A. National Government
involved and which ones are represented varies greatly from B. The International Organization for Migration
country to country. The primary criterion that should be met C. The United Nations
for an organization to join the HCT is “operational relevance.”
D. National and international NGOs
In other words, an organization may join the HCT only if it is
E. The Red Cross/Red Crescent Movement
significantly involved with the relief effort in-country.
F. Donors
An HCT may include UN agencies, the cluster lead heads
of agencies, the International Organization for Migration HCT SELF-CHECK 4
(IOM), national and international NGOs, and components of True or False? The main criterion for participation on the
the International Red Cross and Red Crescent Movement. In Humanitarian Country Team is level of funding by international
some circumstances, the Government, relevant civil society donors.
organizations, and donors may also be invited to participate.
Once established, the HCT has several specific THE CLUSTER APPROACH
responsibilities during a crisis: The cluster approach is the primary tool humanitarian
• Members of the HCT work together to develop an overall actors use to improve coordination. There are global clusters,
strategy and specific plans for the relief effort. which are always active, and in-country clusters, which are
• The HCT works with the HC to form a recommendation activated as needed during a crisis.
on which clusters should be activated, and once approved, A cluster is a group of humanitarian organizations from the
establishes those clusters in-country. same sector of humanitarian action. A cluster can include any
• Members of the HCT work to mobilize resources and number of UN agencies, NGOs, Red Cross/Red Crescent, and
advise the HC on allocation of resources from in-country – at the national and subnational level – relevant government
humanitarian pooled funds, where they exist. agencies. By working together, these organizations are not only
• The HCT is responsible for agreeing on policies and able to provide better assistance to affected populations, they
standards that all team members should strive to adhere are also better equipped to coordinate their work with actors
to. outside of their sector.
• The HCT is also charged with promoting adherence At the global level, there are 11 clusters total, and each one
to international standards and guidelines, such as the has a designated global lead agency, or two co-lead agencies.
humanitarian principles, Principles of Partnership, and These global leads are responsible to the Emergency Relief
IASC guidelines. Coordinator, or ERC, through their agencies. The global lead
agency is usually designated as the in-country lead agency

22
when a country-level cluster is activated, though this will • Urgency, which considers the importance of population
vary depending on the location of the emergency and which displacement, the intensity of armed conflict, and crude
organizations are most active in that area. The head of an in- mortality rates;
country cluster lead agency is accountable to the Humanitarian • Complexity, which examines the multi-layered aspect
Coordinator, or HC. of the emergency, if multiple countries are affected, the
Global clusters work to maintain system-wide preparedness presence of a multitude of actors, lack of humanitarian
and technical capacity for emergency humanitarian responses. access, and high security risks to staff, among other
As they are always active, they help to ensure greater things;
predictability and more effective inter-agency responses • Capacity, which takes into account low national
in their particular sectors. Global cluster lead agencies are response capacity, the status of the affected country as
responsible for strengthening field response through policy weak or fragile, and the fact that needs may outweigh
setting, developing standards, establishing best practices, and the capacity of existing country and regional offices to
providing operational support to in-country clusters. respond. Conversely, high country-level or international
In-country clusters are temporary, and are only activated capacity may offset the other criteria when considering
when there is insufficient coordination capacity at the country L3 declaration.
level in order to avoid gaps and duplication in assistance to • Reputational risk, which gives consideration to media
affected communities. To determine which clusters should and public attention and visibility, as well as expectations
be activated and who should lead them, the HC and the on the humanitarian system by donors, the public,
Humanitarian Country Team will look at initial assessments and national stakeholders, and partners.
form a recommendation. This recommendation is sent to the
ERC, who submits it to the Inter-Agency Standing Committee L3 EMERGENCY SELF-CHECK 1
and global cluster lead agencies for approval. Once approved, A major earthquake has hit Olvitana. Based on the criteria
clusters are established so that humanitarian organizations of scale, urgency, complexity, capacity, and reputational risk,
the Emergency Relief Coordinator, in consultation with the
can coordinate resources, prioritize activities, and define their
respective roles and responsibilities. IASC, has just declared a Level 3 (L3) emergency and appointed
NGO participation in clusters at both the global and a Humanitarian Coordinator in Olvitana.
country levels is crucial. As NGOs can bring the operational 1. Size of affected areas, number of affected / potential
perspective in their respective areas of work, participation in affected, number of countries affected
policy development at the global level is important to ground 2. Importance of population displacement, intensity of
the policies in the reality of field-level operations. At the armed conflict, crude mortality rates
country level, NGOs have a responsibility to participate in 3. Multi-layered emergency, multiple affected countries,
clusters to ensure that their programs are not duplicative and to presence of a multitude of actors, lack of humanitarian
help shape country-level strategy in their sectors. access, high security risks to staff, etc.
CLUSTER APPROACH SELF-CHECK 4. Low national response capacity, weak/fragile state,
needs outweigh the capacity to respond
True or False? When a country-level cluster is activated,
5. Media and public attention and visibility, expectations
the global lead agency is always designated as the in-country
on the humanitarian system by donors, the public,
lead agency, as well.
national stakeholders, and partners
MORE ON L3 EMERGENCIES
An L3 emergency is a major sudden-onset humanitarian A. Reputational risk
crisis triggered by natural disasters or conflict that requires B. Complexity
system-wide mobilization. C. Urgency
As mentioned earlier, when the ERC declares an L3 D. Scale
emergency, IASC organizations are committed to mobilizing E. Capacity
the resources and establishing the systems necessary to respond
to the emergency in a way that complements each agency’s
capacity and supports inter-agency coordination.
The designation of an L3 emergency is based on the analysis
of five criteria:
• Scale, which refers to the size of the affected areas, the
number of affected or potentially affected people, and the
number of countries affected;

23
 L3 EMERGENCY SELF-CHECK 2
What is the significance of declaring an L3 emergency?
A. L3 designation allows the government to mobilize its
military to support search and rescue resources.
B. L3 designation is just an official declaration for any response in Olvitana . Drag each humanitarian actor to the
emergency.
C. L3 designation commits IASC organizations to
mobilize resources and triggers a number of measures,
including ensuring that a system-wide response is
established. This is done in a way that complements
each agency’s capacity and supports inter-agency
coordination.
D. All of the above
REVIEW OF INTERNATIONAL HUMANITARIAN
ARCHITECTURE
You have just reviewed the main components of the
international humanitarian architecture, including:
• Office for the Coordination of Humanitarian Affairs
• Under-Secretary-General/Emergency Relief Coordinator
• Inter-Agency Standing Committee
• Humanitarian Coordinator
• Humanitarian Country Team
• Clusters
• NGO consortia
Here are some questions for you to consider.
Coordinator in Olvitana?
24
INTERNATIONAL HUMANITARIAN
ARCHITECTURE SELF-CHECK
Match the actors in the international humanitarian
architecture to how their responsibilities would help the
corresponding activity.
1. Developed guidelines on how to address gender-based
violence & how to approach human rights issues in
natural disasters
2. Supports the Olvitana government and the HC with the
coordination of national & international humanitarian
actors in the response
3. After assessing the situation in Olvitana, identified
priorities for humanitarian response & recommended
which clusters should be activated
4. Leads the Olvitana HCT
5. NGOs working in Olvitana are represented by certain
NGOs on the HCT, chosen through the local NGO
forum
6. Appointed HC of Olvitana
A. Emergency Relief Coordinator
B. IASC
C. Humanitarian Country Team
D. OCHA
E. Humanitarian Coordinator
F. NGO Consortia
ACTION STUDY 1
What should be the main concern for the new Humanitarian
A. Ensuring that lives are saved and life-saving assistance
and protection is provided
B. Conducting situation assessments, identifying
priorities, and analyzing capacity to respond
C. Making recommendations on which clusters to activate
D. All of the above
 ACTION STUDY 2 ACTION STUDY 4
Prior to the earthquake, the government of Olvitana had Seven clusters are currently involved in the response to
been working to coordinate a variety of activities to address the earthquake in Olvitana. How many clusters are there at the
the development needs in the country. Now, their support global level?
is further required to respond to the impact of the recent A. As many as are needed.
earthquake. The UN Children’s Fund (UNICEF) is supporting B. 11
the government-led response in coordination with other UN C. 7
agencies and international and national NGOs. The Olivitana D. None. Clusters only exist at the country level.
Red Crescent Society (ORCS) is conducting an initial
assessment and providing emergency health support. The CONCLUSION
International Federation of the Red Cross (IFRC), in support I hope this helped you understand what the major parts
of ORCS, is closely monitoring the situation and coordinating of the architecture are, and how they interact with each other.
with the International Committee of the Red Cross (ICRC) and Understanding the architecture helps us to more effectively
other NGOs present in the country to ensure resources and engage with the system, as well as hold the system accountable
support services are available when required. when it is not performing according to these standards.
Why is it important for the Government of Olivtana, Remember, you can always go to the Resources section to
UNICEF, ORCS, IFRC, and other international and national review.
NGOs to coordinate their assessments and programs?
A. Coordination allows all those providing aid to the
people affected by the disaster to share information.
B. Coordination helps ensure that all persons in need
receive aid.
C. Coordination allows us to use our resources as
efficiently and effectively as we can.
D. All of the above
ACTION STUDY 3
With the scale of the crisis that the Government of Olvitana
has to carefully manage, resources and coordination capacity
have been stretched thin. This has led the Government to invite
international actors to assist with coordination through the
cluster approach.
What is the main function of the cluster approach?
A. Clusters are the primary tool that humanitarian actors
use to improve operational coordination
B. Clusters are a funding mechanism for humanitarian
response
C. Clusters exist to permanently replace government
services
D. Clusters do all of the above

25
 Unit 2 | The International Humanitarian
Architecture

Unit 2 Answers Section

SECTION 2.1 | INTERNATIONAL NGO CONSORTIA SELF-CHECK

ANSWER: True. These member organizations (consortia)
HUMANITARIAN ARCHITECTURE represent the interests of their members, both humanitarian
AT THE GLOBAL AND COUNTRY and development NGOs, at the IASC and other forums.

LEVELS HC SELF-CHECK 1
ANSWER: True. The Humanitarian Coordinator is
COORDINATION SELF-CHECK appointed by the Emergency Relief Coordinator.
ANSWER: D. Coordination allows everyone providing
HC SELF-CHECK 2
aid to share information, helps ensure that all persons in need
receive aid, and allows humanitarian actors to use resources ANSWER: True. The Humanitarian Coordinator leads the
efficiently and effectively. Humanitarian Country Team.

OCHA SELF-CHECK HC SELF-CHECK 3

ANSWER: 1. D, 2. C, 3. A, 4. B ANSWER: C. The Humanitarian Coordinator and
Humanitarian Country Team can make recommendations
ERC SELF-CHECK 1 about how funds should be dispersed; however, they themselves
ANSWER: A, C, and D. The ERC leads the IASC, is do not disperse funds.
responsible for selection of the Humanitarian Coordinator, and
HCT SELF-CHECK 1
plays a critical advocacy role, but is NOT based in-country.
ANSWER: False. The Humanitarian Coordinator leads
ERC SELF-CHECK 2 the Humanitarian Country Team, not the Emergency Relief
ANSWER: 1. B 2. A 3. C Coordinator.

IASC SELF-CHECK 1 HCT SELF-CHECK 2

ANSWER: False. UN agencies are members, but the IASC ANSWER: True. The Humanitarian Country Team does
also includes NGO consortia, IFRC, World Bank, and others as determine priorities and strategies for humanitarian assistance
standing invitees. in a conflict or crisis-affected country. The Humanitarian
Country Team includes the cluster lead agencies and selected
IASC SELF-CHECK 2 operational partners involved in the response, and it is within
ANSWER: True. The IASC does create guidelines and the framework of this strategic decision-making forum that the
policies to guide the work of humanitarian actors. Examples overall humanitarian response operation is guided and led.
include guidelines on how to address gender-based violence,
and how to approach human rights issues in natural disasters. HCT SELF-CHECK 3
These can be found in the Resources section. ANSWER: A, B, C, D, E, and F. All of the listed parties
might be represented on the Humanitarian Country Team.
IASC SELF-CHECK 3
ANSWER: False. The IASC works on an on-going basis to HCT SELF-CHECK 4
improve coordination and humanitarian action. ANSWER: False. The main criterion for participation on
the Humanitarian Country Team is operational relevance.

26
 CLUSTER APPROACH SELF-CHECK INTERNATIONAL HUMANITARIAN
ANSWER: False. The Humanitarian Coordinator selects ARCHITECTURE SELF-CHECK
the cluster lead agencies in consultation with the Humanitarian ANSWER: 1. B, 2. D, 3. C, 4. E, 5. F, 6. A
Country Team based on the agencies’ coordination and response
capacity, as well as the location and level of its operational ACTION STUDY 1
presence and/or ability to increase coordination and response ANSWER: D. The primary concerns of the Humanitarian
capacity. Coordinator involve all of the listed duties, including ensuring
The selection of the cluster lead agency ideally mirrors the lives are saved, conducting assessments, and recommending
global-level arrangements, but this is not always possible, and which clusters to activate.
in some cases other organizations may be better placed to take
ACTION STUDY 2
the lead.
ANSWER: D. Coordination is important, as it ensures
L3 EMERGENCY SELF-CHECK 1 efficient resource use, helps ensure all persons in need receive
ANSWER: 1. D, 2. C, 3. B, 4. E, 5. A aid, and allows those providing that aid to share information
with one another.
L3 EMERGENCY SELF-CHECK 2
ANSWER: C. When the Emergency Relief Coordinator ACTION STUDY 3
declares a disaster to be an L3, the IASC organizations are ANSWER: A. Clusters are the primary tool that
committed to mobilize resources and establish a system- humanitarian actors use to improve coordination, but do not
wide response, if one isn’t already underway. The response provide direct funding or permanently replace government
complements each agency’s capacity and supports inter-agency services.
coordination.
ACTION STUDY 4
ANSWER: B. There are 11 global clusters. Unit 3 contains a
much more detailed look at the cluster approach.

27
 Unit 3 | The Cluster Approach
Section 3.0: Introduction

UNIT 3 OVERVIEW SITUATION REPORT

When a humanitarian response requires the coordination • It has been 72 hours since a magnitude 7.5 earthquake
of multiple actors working in multiple sectors, a single hit Olvitana
coordination system can make the response more efficient. With • Initial assessments indicate that approximately 50,000
decision making occurring at the local and international level, have been killed and 3 million displaced
humanitarian actors face numerous collective responsibilities. • The Emergency Relief Coordinator has declared an L3
This unit explores and explains how the cluster approach is emergency in Olvitana
employed to make humanitarian response more efficient and • Clusters that already existed are meeting, additional
effective. clusters are likely to be activated
RADIO ANNOUNCEMENT • Humanitarian Corps Worldwide is participating in the
It has been 72 hours since Olvitana was hit by the WASH, Nutrition, and Health clusters
magnitude 7.5 earthquake. With the majority of government WHAT TO EXPECT
services damaged or inoperable, the Olvitani government has
I heard you mention that this was your first cluster
announced that they have accepted offers of assistance from
meeting. The Reference Module for Cluster Coordination at
the UN and outside aid organizations. The humanitarian crisis
the Country Level is a great resource for information on the
in Olvitana has now been designated a Level 3 emergency
cluster approach and how it improves coordination, leadership,
by the Emergency Relief Coordinator with the Office for the
and accountability in humanitarian action. Understanding the
Coordination of Humanitarian Affairs (OCHA).
cluster approach will help you coordinate your work with other
We have yet to see if these developments will help the humanitarian organizations on the ground here in Olvitana.
Olvitani. Access to fresh drinking water continues to be a I have a copy of the reference module here, and it’s available
widespread problem, while some improvement is reported online.
with restoring sanitation and communication systems. Officials
I can explain some of the important parts of the cluster
are working with humanitarian aid agencies to get a better
system, including:
understanding of the extent of the damage, assess the needs of
• Global and country-level clusters
survivors, all the while dealing with the immediate demands
of directly providing aid and shelter to victims of this disaster. • Cluster structure and management
• Roles and lead agencies for each of the 11 clusters
WELCOME
OK, any more questions? Great! That concludes today’s
WASH cluster meeting everyone. We’ll see you all at the next
meeting.
Hi, I don’t think we’ve met. I’m Leila, WASH cluster
coordinator. Are you up to date on the situation here in
Olvitana?

28
 Unit 3 | The Cluster Approach
Section 3.1: Global and Country-Level
Clusters
THE CLUSTER APPROACH
When a crisis occurs, hundreds of organizations and
thousands of individuals may participate in the humanitarian
response. In the past, there was no clear way for these groups
to organize their activities. This lack of coordination led to
duplication in some areas of the response and gaps in others.
To address these issues, humanitarian actors around the
globe came together and, in 2005, introduced several major
reforms to the humanitarian system. This “Humanitarian
Reform” initiative focused on improving coordination,
financing, leadership, and partnership to make humanitarian
response more predictable and more effective. The cluster
approach is a coordination tool, introduced as part of this
process.
The cluster approach is the primary tool humanitarian
actors use to address coordination gaps in non-refugee
situations. There are global clusters, which are always active,
and country-level clusters, which are activated as needed
during a crisis.
A cluster is a group of humanitarian organizations from
the same sector of humanitarian action who coordinate in
order to avoid gaps and duplication in assistance to affected
communities. By participating in clusters, humanitarian actors,
including both national and international NGOs, can better
coordinate activities within their sector and coordinate that
with the work happening in other sectors. The goal is to provide
better assistance to affected populations.
GLOBAL CLUSTERS
There are 11 global clusters: Camp Coordination and
Camp Management; Early Recovery; Education; Emergency
Telecommunications; Food Security; Health; Logistics;
Nutrition; Protection; Shelter; and Water, Sanitation, and
Hygiene.
Each cluster has a designated lead agency or two co-lead
agencies. These global leads are accountable to the Emergency
Relief Coordinator.
Global clusters work to maintain system-wide preparedness
and technical capacity for emergency humanitarian responses.
As they are always active, they help to ensure greater
29
predictability and more effective inter-agency responses in
their particular sectors. Global clusters, under the direction of
their global lead agencies, carry out three main activities:
Standards and Policy-Setting: Global cluster partners
work together to develop and disseminate minimum standards
for actors in their sector to adhere to. They also guide the
improvement of the humanitarian response by setting global
policies, providing guidelines for successful operations, and
consolidating sets of best practices.
Building Response Capacity: Global cluster partners also
work to ensure that humanitarian actors in their sector are
prepared for future emergencies. This includes training staff and
assisting in the development of emergency response systems at
the local, national, regional, and international levels. Global
cluster partners are also responsible for compiling information
on which staff members and what resources should be ready for
mobilization in the event of a sudden-onset emergency, or if an
existing crisis grows in scale. Some global cluster partners even
establish stockpiles of materials in strategic locations so that
resources can be put to use right away during an emergency.
Operational Support: Finally, global cluster partners
provide operational support to their counterparts at the
country level. (More information on in-country clusters will be
provided shortly.) “Operational support” includes:
• Conducting needs assessments
• Providing technical expertise to partners in the field
• Supplementing the logistical capacity of country-level
clusters
• Deploying personnel and material resources where
needed, in order to supplement efforts coordinated at the
country level
• Advocating in support of in-country cluster partners
It’s important to note that the global Protection cluster
differs from other global clusters in one key way. While it still has
a lead agency—the United Nations (UN) High Commissioner
for Refugees—and it carries out the same three primary
activities as all the other clusters, the work of the Protection
cluster is divided into five Areas of Responsibility, or AoRs.
Each AoR has its own focal point agency, the functions and
responsibilities of which are identical to those of a global cluster
lead agency. When the five AoRs carry out their activities at the
country level, they are generally referred to as “sub-clusters” of
Protection. This will be examined in greater detail later.
NGO participation in clusters at the global level is
important to bring an operational field-based voice to the
initiatives launched at the global level. NGOs can benefit from
the tools, guidance, and other support generated at the global
level. Because many of the policies initiated at the global level
have implications for all humanitarian actors, it is important
for NGOs to play a part in their development.
GLOBAL CLUSTER SELF-CHECK
Which of the following are true about global clusters?
Select all that apply.
A. Each cluster is limited to only one lead agency.
B. Global clusters may provide operational support by
providing technical expertise to partners in the field.
C. Global clusters develop and disseminate minimum
standards for their sector.
D. Global clusters train staff to ensure that humanitarian
actors in their sector are prepared for future
emergencies.
COUNTRY-LEVEL CLUSTER CORE FUNCTIONS
When a disaster occurs, country-level clusters may be
activated as a way to improve coordination during the response.
In-country clusters are temporary, and are only activated when
there is insufficient coordination capacity at the country level.
To determine which clusters should be activated and who
should lead them, the Humanitarian Coordinator (HC) and
the Humanitarian Country Team (HCT) will look at initial
assessments and form a recommendation. This recommendation
is sent to the Emergency Relief Coordinator, who submits it
to the Inter-Agency Standing Committee (IASC) and global
cluster lead agencies for approval. Once approved, clusters are
established so that humanitarian organizations can coordinate
resources, prioritize activities, and define their respective roles
and responsibilities.
The global lead agency is usually designated as the in-
country lead agency when a country-level cluster is activated,
though this will vary depending on the location of the emergency
and which organizations are most active in that area.
Though each cluster addresses a different aspect of the
response, there are six core functions all clusters share:
• Support Service Delivery: Cluster members assist each
other when identifying needs and providing services.
• Inform the HC and HCT’s Strategic Decisions: Cluster
members contribute to needs assessments, response
gap analysis, and identification of cross-cutting issues.
This information is passed on to the Humanitarian
Coordinator and Humanitarian Country Team.
30
• Planning and Strategy Development: Cluster members
are responsible for developing sectoral plans, and for
making sure these plans adhere to relevant standards
and guidelines, as well as for developing strategies that
contribute to the wider strategic plan.
• Advocacy: Cluster members support the Humanitarian
Country Team by identifying advocacy concerns, and by
advocating for resource mobilization and allocation on
behalf of affected people and cluster participants.
• Monitoring and Reporting Coordination on the
National and Sub-national Level: Cluster members
contribute to coordination performance reports and
recommend corrective action to cluster strategies.
• Contingency Planning, Preparedness, and Capacity
Building: Cluster members might also develop
contingency plans where the risk of a future disaster is
high. Each cluster is also responsible for integrating early
recovery into their work from the very beginning of the
emergency response.
GLOBAL VS. COUNTRY LEVEL SELF-CHECK
Move each activity under the appropriate heading, based
on whether it would be performed by the global cluster or in-
country cluster.
A. Strengthen system-wide preparedness and technical
capacity
B. Define roles and responsibilities of humanitarian
actors to minimize gaps and overlaps
C. Activated temporarily based on need and existing
capacity
D. Establish and maintain human resources and material
resources
E. Develop and disseminate standards
F. Apply existing standards
G. Active during and between disasters
H. Analyze needs and decide cluster priorities following
a disaster
CLUSTER ACTIVATION
There are 11 clusters, but only certain clusters are activated
in any given emergency. Clusters are activated depending
on what is needed and what coordination capacity already
exists, based on the HCT’s analysis of humanitarian need and
coordination capacity on the ground, in consultation with
national partners.
The criteria for cluster activation are:
• A new crisis – or a significant downturn in a current
crisis – leads to coordination gaps
• Evaluation of existing national response and coordination
capacity shows inability to appropriately meet needs
• Humanitarian needs justify a multi-sectoral approach
that existing coordination and response mechanisms can
no longer adequately address
 • The number of actors and complexity of the response • Under leadership of the Humanitarian Coordinator,
requires a sector-specific coordination mechanism, if the Humanitarian Country Team notes which clusters
this does not already exist. have successfully transferred effective coordination
There is a process for cluster activation: responsibilities to national counterparts and recommends
• Based on these criteria, the HC agrees with the HCT deactivation.
which clusters should be activated. • The Humanitarian Coordinator provides a summary of
• The HC selects cluster lead agencies in consultation with the review to the Emergency Relief Coordinator, outlining
the HCT. which clusters are to transition and subsequently be
• Upon agreement with the HCT, the HC notifies the deactivated.
Emergency Relief Coordinator, outlining his or her • The Emergency Relief Coordinator shares this note with
recommendations and rationale for activation. the IASC Principals and global cluster lead agencies for
• The Emergency Relief Coordinator shares this proposal their approval.
with the IASC Principals and global cluster lead agencies • Once approved, the Humanitarian Coordinator informs
for approval within 24 hours. relevant partners of the agreed arrangements.
• Once approved, the HC informs the relevant parties, and DEACTIVATION SELF-CHECK 1
clusters are established and begin to meet.
Match the type of situation to the review period for
ACTIVATION SELF-CHECK 1 deactivation by dragging the review period to match the
True or False? Clusters are activated based on their capacity disaster type.
to respond, and on the availability of resources for that cluster. 1. New L3 (Level 3) Emergency
2. Not L3 Emergency
ACTIVATION SELF-CHECK 2 3. Protracted Crisis
Place the steps to the right into the timeline below in
the order they occur in cluster activation. First, a large-scale A. Annually
emergency occurs… Last, clusters are established and begin to
B. 3 months
meet.
A. The Emergency Relief Coordinator shares the proposal C. 3 weeks
for cluster activation with the IASC for approval within DEACTIVATION SELF-CHECK 2
24 hours. Place the steps to the right into the timeline below in
B. The Humanitarian Coordinator and the Humanitarian the order they occur in cluster deactivation. First, evaluation
Country Team agree on which clusters to activate. shows a decrease in humanitarian need, and increased capacity
C. Evaluation shows that humanitarian needs exceed of national structures to meet humanitarian needs according
national response and coordination capacity. to humanitarian principles. Then… Last, cluster activities
D. The Humanitarian Coordinator recommends transition from cluster to national counterparts, and the cluster
activation of certain clusters to the Emergency Relief is deactivated.
Coordinator. A. The Humanitarian Coordinator recommends
deactivation of the cluster to the Emergency Relief
CLUSTER DEACTIVATION Coordinator.
Clusters should be a temporary coordination solution. The B. The Humanitarian Country Team recommends
aim should be to resume or establish national coordination deactivation of clusters that have successfully
mechanisms. The Humanitarian Coordinator and transferred responsibilities to national counterparts.
Humanitarian Country Team regularly review the clusters to
C. The Emergency Relief Coordinator shares deactivation
determine whether they are still necessary for coordination.
recommendations with the IASC Principals for their
Not all clusters have to be deactivated at the same time.
approval.
If the emergency is designated an L3, clusters are reviewed
within three weeks of that designation. In the case of a new CORE COMMITMENTS
emergency that is not an L3, clusters are reviewed within three Though all clusters are structured differently, cluster
months. In protracted crises, clusters are reviewed annually. members all share the responsibility of providing timely,
• Clusters are deactivated when there is a decrease effective assistance. This requires a commitment of time and
in humanitarian need and/or when the cluster has resources of all partners, including NGOs, as well as a good
transferred responsibility for delivery to national or understanding of the cluster system as a whole. The IASC’s
development partners. Reference Module for Cluster Coordination at the Country
• The process for deactivation of clusters is very similar to Level includes a list of all cluster partners’ core commitments.
the process for activation. These include:

31
 • Adhering to the humanitarian principles and the ACTION STUDY
Principles of Partnership Imagine it is six months after the Olvitana earthquake.
• Understanding your duties and responsibilities within The Humanitarian Country Team and the currently active
the cluster clusters conduct an assessment. The national government’s
• Participating actively within the cluster and in the road repair and health facilities repair programs have been
cluster’s collective work extremely effective. The health facilities are adequately staffed
• Supporting diverse participation within the cluster, with a combination of local hires and national volunteers to
especially from local organizations, by ensuring effective fill in any gaps. Though many health issues remain, national
communication, including language interpretation health capacity is estimated to have returned to 80% of previous
where needed function, with a likely progression to 100% over the next six
• Taking actions that improve accountability to affected months.
populations, such as the creation of mechanisms for The Health cluster might proceed in which of the following
feedback and complaints, or communicating with the ways:
local community more frequently A. Continue Health cluster activities based on areas where
• Contributing to developing and disseminating advocacy need remains, and develop a plan for transition of all
and messaging health service provision to the national government as
national facilities completely recover.
COSTS AND BENEFITS OF CLUSTER B. Deactivate the Health cluster immediately and reassign
COORDINATION staff to other clusters.
For NGOs, participation in a cluster brings with it certain C. Plan to continue Health cluster activities indefinitely
benefits and certain challenges. Participation requires a and transition to development activities.
significant commitment of time and human resources on the
behalf of all participating partners – this can be especially tough
for smaller NGOs with fewer staff and tighter budgets, as well as
for national or local-level NGOs who may have more barriers
to their participation than international NGOs. In addition,
some organizations might find that their contributions to a
cluster benefit the overall response, but offer no benefit to the
organization itself.
However, the benefits of participation in the cluster
system are well worth the cost, especially when considered
from the point of view of the affected population. In-country
clusters can coordinate activities on the ground, helping
different organizations to avoid duplication. The information
sharing components of the cluster system lead to better needs
assessment, which helps to save lives and conserve resources.
Global clusters help distribute standards and best practices
among a wide variety of organizations, improving the overall
quality of humanitarian action.
In short, the cluster system helps humanitarian actors save
lives and livelihoods, and that is well worth the challenges it
brings with it.
An increased knowledge of the guidance surrounding the
proper operation of the cluster system can help NGOs hold
the clusters accountable to function well and achieve their
stated goals. This can mean addressing our concerns to the
cluster coordinator or the HC. When clusters do not work in
an effective manner, it is the responsibility of cluster partners,
including NGOs, to take steps to improve the functioning of
the cluster.

32
 Unit 3 | The Cluster Approach
Section 3.2: Cluster Structure and
Management
CLUSTER LEAD AGENCIES
There is a designated cluster lead agency (or co-lead
agencies) for each cluster at the global level. This agency
is responsible for working with other partners to develop
coordinating mechanisms, set standards and best practices,
and support data collection and analysis.
The same agency is usually the cluster lead when clusters
are activated in-country. However, this may vary depending on
the agency’s experience and presence at country level.
The head of each in-country cluster lead agency joins
the Humanitarian Country Team. When participating on the
Humanitarian Country Team, these individuals are responsible
for representing their clusters in addition to their organizations.
The Humanitarian Country Team includes representatives from
many different organizations that are working in the response.
Members of the Humanitarian Country Team work together to
plan and lead the overall response.
Cluster lead agencies are also the “provider of last resort”
for their sector. Where necessary, and depending on access,
security, and availability of funding, the cluster lead, as provider
of last resort, must be ready to ensure the provision of services
required to fulfill critical gaps identified by the cluster and
reflected in the Humanitarian Coordinator-led Humanitarian
Country Team Response Plan.
SHARED LEADERSHIP
Sharing leadership of clusters between UN, NGO, Red
Cross/Red Crescent Movement, and other humanitarian actors,
including IOM and national government agencies, strengthens
the overall response. Shared leadership improves partnership,
advocacy, and information sharing, and ensures stronger
engagement and better coordination.
Shared leadership is particularly effective in remote field
locations with a limited or non-existent UN presence. In such
instances, NGOs with a strong and consistent presence are
well-positioned to provide a leadership role in coordination.
In addition to access, NGO cluster leadership can offer
technical expertise, different approaches on accountability to
affected people, and long-term community involvement and
understanding.
33
Sharing leadership requires actors to clearly define roles
and responsibilities, including complementary roles of cluster
lead agencies, cluster coordinators, and cluster participants.
The appropriate and transparent sharing of leadership among
different actors is a true reflection of the interdependency of
the humanitarian community to ensure an effective strategic
response.
CLUSTER LEADERSHIP SELF-CHECK 1
True or false? When there are critical gaps in the
humanitarian response, the cluster lead agency is responsible
for working to address that need.
CLUSTER LEADERSHIP SELF-CHECK 2
True or false? Shared leadership strengthens the response
and makes transition to national leadership smoother.
CLUSTER LEADERSHIP SELF-CHECK 3
True or false? The head of each designated in-country
cluster lead agency joins the Humanitarian Country Team, or
HCT.
CLUSTER MANAGEMENT
Every disaster is different and requires a different type of
response. The specific structure of how clusters are managed
and led can vary. Sometimes clusters need to organize smaller
groups to address specific issues within their cluster. Other
times, clusters need to work together on issues that affect the
work of multiple clusters.
Let’s look at some other elements of the cluster approach,
including the ways work is organized within a cluster and how
we strive to coordinate between clusters.
SAGS AND TWIGS
Every disaster is different, so there is no single model for
cluster management. One model that has been effective is the
creation of Strategic Advisory Groups, or SAGs, complemented
by forums for broader information exchange. The SAG is
chaired by the cluster coordinator and is responsible for
developing and adjusting the strategic framework, priorities,
and work plan for the cluster. In addition to operational UN,
International Organization for Migration (IOM), and NGO INTER-CLUSTER COORDINATION
representatives, SAG members have included representatives Many aspects of disaster response cannot be addressed by
from: governments, donors, national NGO forums, Red Cross one cluster. Just as it is important to coordinate within a cluster,
and Red Crescent Societies, the UN Office for the Coordination it is important to coordinate work across clusters. This is called
of Humanitarian Affairs (OCHA), and, where appropriate, the inter-cluster coordination.
military. Selection for SAG membership may be determined Inter-cluster coordination can occur at three levels:
by, for instance, nomination and voting by cluster partners.
• In the Humanitarian Country Team, the cluster lead
SAG membership must be representative of the overall
agencies represent their clusters and work together on
cluster partnership, but should also be limited to a maximum
the overall strategic plan for the response
of 15 partners to ensure they can work efficiently. SAGs will
• Groups of clusters coordinate implementation of specific
be formed based on the context and the need to ensure the
strategic objectives
leadership required to manage the cluster, and not all clusters
will have them. • Inter-cluster coordination forums that bring together
all clusters and other relevant actors to address strategic
Technical Working Groups (TWGs or TWiGs) are task-
and operational issues—these are generally organized by
oriented and time-limited groups of technical experts. They are
OCHA
created as needed to solve specific issues, for example agreeing
on minimum standards and formulating appropriate technical Inter-cluster coordination core functions include:
practices. TWiGs are coordinated by a focal point or technical • Ensuring cluster strategies are in line with the overall
advisor, who is nominated by the SAG, when there is one in strategic direction of the response
place. TWiGs should consist of no more than 15 people. • Facilitating the design and implementation of common
approaches to information management tools
SAGS AND TWIGS SELF-CHECK • Addressing cross-cutting issues
As part of the Olvitana emergency relief effort, the
Water, Sanitation, and Hygiene (WASH) cluster will create
_______________ to guide the direction of the cluster.
A. A Cluster Review Committee
B. A Strategic Advisory Group
C. District Focal Points
D. None of the above
SUB-CLUSTERS
Within any of the 11 clusters, sub-clusters may be created
to focus on a specific issue or geographic area.
Sub-clusters might be created to deal with a specific issue
related to a specific disaster. For example, if a particular disaster
affected a very large proportion of children, a sub-cluster on
child protection might be created.
When a response takes place in a very large or remote area,
sub-clusters might be created to coordinate cluster activities on
a sub-national level. This improves response time from decision
to implementation and allows adaptation to local circumstances.
SUB-CLUSTERS SELF-CHECK
When are sub-clusters created? (Select all that apply.)
A. When there is a need to focus on a specific issue, such
as gender-based violence
B. When there is a need to focus on a geographic area,
such as a regional sub-cluster
C. When there are too many clusters

34
 Unit 3 | The Cluster Approach
Section 3.3: Roles and Lead Agencies for
the 11 Clusters

THE CLUSTER APPROACH IN ACTION

Now that you’ve learned about the cluster approach more broadly, let’s look at some of the activities of each cluster. There
are 11 clusters: Camp Coordination and Camp Management; Early Recovery; Education; Emergency Telecommunications; Food
Security; Health; Logistics; Nutrition; Protection; Shelter; and Water, Sanitation, and Hygiene. Explore this diagram to learn
more about the work of each cluster. Click on each cluster wedge to learn the responsibilities of each cluster. Explore each cluster
before advancing to the next section.
Health
WHO
Food Security Logistics
WFP & FAO WFP

Emergency
Telecom-
munications Nutrition
WFP UNICEF

R e c o n st r u c t i o n
Prevention

Education
UNICEF & Protection
Save the UNHCR
Children

Early Shelter
Recovery IFRC/
M it

UNDP UNHCR
iga

ry
ve
ti o

co
n

Camp Water,
Re

Coordination and Sanitation

Camp Management and Hygiene
IOM/UNHCR UNICEF
Pr
e pa se
re d n
ne s Re s po
s
Disaster

35
 CAMP COORDINATION AND CAMP
MANAGEMENT (CCCM)
The goal of the Camp Coordination and Camp Management, (FAO).
or CCCM, cluster is to improve living conditions for displaced
persons by facilitating protection and services in camps and
camp-like settings. The cluster also works toward long-term
solutions for the affected populations, ensuring organized
closure and phase-out of camps.
In conflict situations, the lead agency for the CCCM cluster them when they do.
is the UN High Commissioner for Refugees, or UNHCR. In
emergencies caused by natural disasters, the CCCM lead agency
is the International Organization for Migration, or IOM.
EARLY RECOVERY
The goal of the Early Recovery cluster is to support
on-going humanitarian assistance operations while also
supporting longer-term recovery of affected populations.
Early recovery includes many things: the restoration of basic
services, livelihoods, shelter, governance, security and the rule
of law, environment, and social dimensions, including the
reintegration of displaced populations as soon as this is feasible.
The cluster lead for Early Recovery is the United Nations
Development Programme (UNDP).
EDUCATION
The goal of the Education cluster is to ensure children and
youth affected by the disaster have as little disruption in their
education as possible. The Education cluster may implement
emergency education systems such as schools in camps, and
work with local and national authorities to restore permanent
education systems where these have been disrupted.
The cluster leads for Education are the UN Children’s Fund
(UNICEF) and an NGO called Save the Children.
EMERGENCY TELECOMMUNICATIONS
The goal of the Emergency Telecommunications Cluster
is to provide timely, predictable, and effective information,
communication, and technology services to support the
humanitarian community in carrying out its work.
If requested, within 48 hours of a disaster, the Emergency
Telecommunications Cluster provides basic security
communications services and shared voice and internet
connectivity to all humanitarian actors in the field.
The cluster lead for Emergency Telecommunications is the
World Food Programme (WFP).
FOOD SECURITY
The goal of the Food Security cluster is to strengthen food
security responses in crisis situations, support early recovery
of local food production and markets, and enhance national
capacity. They might do this by monitoring how food aid affects
local farmers or markets, for example, or by finding ways to
support local farmers and markets by buying food for disaster-
affected populations nearby, whenever possible.
The cluster leads for Food Security are the World Food
Programme (WFP) and the Food and Agriculture Organization
HEALTH
The goal of the Health cluster is to identify the health needs
of the affected population and determine the most efficient and
effective ways to address these. They work to prevent health
issues such as disease outbreaks from occurring, and to address
The cluster lead for Health is the World Health Organization
(WHO).
LOGISTICS
The goal of the Logistics cluster is to ensure efficient logistics
of humanitarian operations. Members of this cluster are
largely focused on transportation and resource management.
The Logistics cluster works to ensure that the humanitarian
operation is flowing smoothly and successfully, and provides
information and technical training on logistics.
The cluster lead for Logistics is the World Food Programme
(WFP).
NUTRITION
The goal of the Nutrition cluster is to safeguard and improve
the nutritional status of affected populations. This cluster
coordinates supplemental and therapeutic feeding programs
that target those who are ill or in need of additional nutrition.
The Nutrition cluster lead is the United Nations Children’s
Fund (UNICEF).
PROTECTION
The goal of the Protection cluster is to protect the rights
of the crisis-affected population – regardless of age, gender,
social, ethnic, or religious background. They also help ensure
humanitarian actors consider protection concerns as they go
about their work.
The global lead agency for the Protection Cluster is the
UN High Commissioner for Refugees (UNHCR). However,
the global Protection cluster is responsible for ensuring
effective response in several specialty areas, known as Areas
of Responsibility, or AoRs. Each AoR has its own focal point
agency, the functions and responsibilities of which are identical
to those of a global cluster lead agency. The AoRs and their
focal point agencies are:
• Child Protection, headed by the UN Children’s Fund, or
UNICEF
• Gender-Based Violence, headed by the UN Population
Fund (UNFPA) and UNICEF
• Housing, Land, and Property, headed by UN-Habitat
• Mine Action, headed by the UN Mine Action Service,
and
• Rule of Law and Justice, headed by the UN Development
Programme (UNDP) and the UN Office of the High
Commissioner for Human Rights, or OHCHR
36
 Even though these specialty areas are called “AoRs” at the CLUSTER SYSTEM SELF-CHECK
global level, they are typically referred to as “sub-clusters” at the Match each cluster to its responsibility. Drag the
country level. responsibilities in the center of the diagram and drop onto the
SHELTER cluster that manages each.
1. Logistics
The goal of the Shelter cluster is to provide basic and
immediate shelter needs to disaster-affected populations. This 2. Nutrition
includes tents, insulation materials, other temporary emergency 3. Emergency Shelter
shelter solutions, and shelter-related non-food items. They may 4. Camp Management & Coordination
also address longer-term shelter support, housing construction 5. Health
and reconstruction, and settlement support such as site 6. Protection
planning and urban planning. 7. Food Security
In natural disasters, the Shelter cluster lead is the 8. Emergency Telecommunication
International Federation of Red Cross and Red Crescent 9. Early Recovery
Societies (IFRC). In situations involving armed conflict, the
10. Education
cluster lead is the United Nations High Commissioner for
11. Water, Sanitation Hygiene
Refugees (UNHCR).
WATER, SANITATION, AND HYGIENE (WASH) A. Disease prevention
The goal of the WASH (water, sanitation, and hygiene) B. Disposal of human waste
cluster is to coordinate agencies that work on water delivery, C. Operational support such as transportation
storage, and treatment. The WASH cluster also coordinates D. Voice and Internet connectivity
agencies that promote safe disposal of human waste and that E. Therapeutic feeding programs
promote general hygiene.
F. Shelter and shelter-related non-food items
The cluster lead for WASH is the UN Children’s Fund
G. Protect safety of population
(UNICEF).
H. Support recovery of food markets
I. Restore schools
J. Restore livelihoods
K. Coordinate service delivery in camps
CROSS-CUTTING ISSUES
A cross-cutting issue affects all areas of concern and has
an impact in more than one cluster. Examples of cross-cutting
issues include: age, gender, environment, and accountability
to affected populations. It is the responsibility of each cluster
to consider how to address these cross-cutting issues in that
cluster’s activities. For current information on cross-cutting
issues, please refer to humanitarianresponse.info.
CROSS-CUTTING ISSUES SELF-CHECK
Which of the following could be among the cross-cutting
issues addressed by all clusters during an emergency?
A. Age
B. Gender
C. Environment
D. Disabilities
E. Accountability to affected persons
F. All of the above

37
 REVIEW CONCLUSION
Now that you’ve reviewed the basics of the cluster approach, I hope this review of the cluster approach has been helpful.
let’s start thinking about how it affects our work. Here is a The cluster approach is the main mechanism for coordination
question for you to consider. within the humanitarian architecture.
By participating in clusters, humanitarian actors, including
ACTION STUDY both national and international NGOs, can better coordinate
The earthquake has affected a large number of elderly men activities within their sectors and coordinate that with the
and women. Younger family members would typically care for work happening in other sectors. The goal is to provide better
the elderly in Olvitana, but many of them have been injured services to affected populations.
or killed in the earthquake. Though food aid and water are The Resources section contains more information on all
available in adequate amounts, the community has noted that aspects of the cluster approach.
the elderly, particularly disabled elderly, are unable to walk
to the distribution centers. Some neighbors are assisting by
delivering rations and collecting water for them; however, all of
the affected people are struggling with taking care of their own
families and themselves.
Which of the following are true?
A. An Elderly cluster can deal with these issues well, and
should be activated
B. This is primarily a health issue, and should be managed
by the Health cluster
C. As “age” is a cross-cutting theme, all clusters should
dedicate some time and thought to how to address the
issues faced by the elderly in the disaster

38
 Unit 3 | The Cluster Approach
Unit 3 Answers Section

SECTION 3.1 | GLOBAL AND SECTION 3.2 | CLUSTER

COUNTRY-LEVEL CLUSTERS STRUCTURE AND MANAGEMENT
GLOBAL CLUSTER SELF-CHECK CLUSTER LEADERSHIP SELF-CHECK 1
ANSWER: B, C, and D. Global clusters may provide True. The cluster lead agency is the “provider of last resort.”
operational support by providing technical expertise to partners Where necessary, and depending on access, security, and
in the field, develop and disseminate minimum standards for availability of funding, the cluster lead, as provider of last resort,
their sector, and train staff to ensure that humanitarian actors must be ready to ensure the provision of services required to
in their sector are prepared for future emergencies. fulfill critical gaps identified by the cluster and reflected in the
Humanitarian Coordinator-led Humanitarian Country Team
GLOBAL VS. COUNTRY LEVEL SELF-CHECK Response Plan.
ANSWER: Answers A, D, E, and G belong under the Global
heading. Answers B, C, F, and H belong under the In-Country CLUSTER LEADERSHIP SELF-CHECK 2
heading. ANSWER: True. Sharing leadership allows multiple entities
to contribute their relative strengths. Sharing leadership with
ACTIVATION SELF-CHECK 1 national government strengthens the response and makes
ANSWER: This statement is false. Clusters are activated transition to national capacity smoother.
based on the need of the affected community and existing
national coordination and response capacity. CLUSTER LEADERSHIP SELF-CHECK 3
ANSWER: True. The head of each in-country cluster lead
ACTIVATION SELF-CHECK 2 agency joins the Humanitarian Country Team, where they
ANSWER: The correct order is C, D, B, A. participate in strategic decisions on the response.
DEACTIVATION SELF-CHECK 1 SAGS AND TWIGS SELF-CHECK
ANSWER: 1 matches with C, 2 matches with B, and 3 ANSWER: B. A Strategic Advisory Group, or SAG, can
matches with A. guide the WASH cluster in Olvitana.
DEACTIVATION SELF-CHECK 2 SUB-CLUSTERS SELF-CHECK
ANSWER: The correct order is B, A, C. ANSWER: A and B. Sub-clusters can be created to focus on
a specific issue or geographic area.
ACTION STUDY
ANSWER: A. Olvitana’s capacity is recovering, but as long
as there is still need, the Health cluster should remain active.

39
 SECTION 3.3 | ROLES AND LEAD
AGENCIES FOR THE 11 CLUSTERS
CLUSTER SYSTEM SELF-CHECK
ANSWER: 1. C, 2. E, 3. F, 4. K, 5. A, 6. G, 7. H, 8. D, 9. J,
10. I, 11. B
CROSS-CUTTING ISSUES SELF-CHECK
ANSWER: F. All of these issues are cross-cutting, and
should be addressed by all clusters during an emergency.
ACTION STUDY
ANSWER: C. As a cross-cutting issue, all clusters should
dedicate some time and thought to how to address the issues
faced by the elderly in the disaster.

40
 Unit 4 | Planning and Funding the
Humanitarian Response
Section 4.0: Introduction

UNIT 4 OVERVIEW SITUATION REPORT

In a large humanitarian response, a cooperative and
transparent structure for planning and action is necessary for
incorporating all the expertise and resources available into a
single multifaceted relief effort. This unit is about planning
and funding humanitarian response. Specifically, this unit
addresses the Humanitarian Programme Cycle, pooled
funding mechanisms, and the main mechanisms for tracking
and reporting humanitarian funding.
RADIO ANNOUNCEMENT
It has been ten days since a magnitude 7.5 earthquake
struck Olvitana. Experts estimate 50,000 dead and millions
displaced. The crisis in Olvitana has been declared a Level 3, or
L3, emergency, and the international community is responding.
International aid organizations that were already
working in Olvitana have now been joined by over 200
additional organizations from around the world. International
governments are sending financial support and supplies.
WELCOME
Hi, I’m June, finance officer here at Humanitarian Corps
Worldwide. Let’s look at the larger picture of how planning
for an emergency response takes place in the international
coordination system. We’ll then look at how non-governmental
organizations (NGOs) can access humanitarian funding to
implement the plan.
Are you up to date with the situation in Olvitana?
Humanitarian Corps Worldwide Update:
• It has been 10 days since Olvitana was hit by a magnitude
7.5 earthquake
• Initial rapid assessments have been completed, now
following up with more detailed and more sectoral
assessments
• Initial assessments indicate that approximately 50,000
people have been killed and 3 million displaced
• The Emergency Relief Coordinator has declared an L3
emergency in Olvitana
• The Strategic Response Plan was finalized a few days ago
• Funds have been released from the CERF
WHAT TO EXPECT
In this unit, we will discuss:
• The Humanitarian Programme Cycle
• Pooled humanitarian funding mechanisms
• And some of the main mechanisms for tracking and
reporting humanitarian funding

41
 Unit 4 | Planning and Funding the
Humanitarian Response
Section 4.1: The Humanitarian Programme
Cycle
STEPS OF THE HUMANITARIAN PROGRAMME CYCLE (HPC)
The process that organizes the response to humanitarian emergencies is called the Humanitarian Programme Cycle (HPC).
The HPC is a coordinated series of actions undertaken to help prepare for, manage, and implement humanitarian response. It
consists of a number of elements coordinated in a seamless manner, with one step logically building on the previous and leading
to the next.
The Humanitarian Programme Cycle is intended to be a collective, consultative process that creates an environment in which
all those involved in a response can see their role in relation to others. Processes that are inclusive and consultative generate better
planning decisions, more robust cooperation, greater accountability, and legitimacy. It’s important for NGOs to understand the
elements of the HPC so that they can fully participate in the phases of the emergency response alongside other humanitarian
actors.
Let’s look at an overview of all of the elements of
the HPC. After we’ve reviewed the cycle as a whole,
we will look in more detail at some of the elements
that NGOs are likely to encounter.
These are the phases in the Humanitarian
Programme Cycle:
1. needs assessment and analysis
2. strategic response planning
3. resource mobilization
4. implementation and monitoring
5. operational review and evaluation
Preparedness is also an important part of effective
response and should be incorporated throughout the
cycle.
In order to implement the HPC effectively, there
are two elements at the heart of the cycle.

1. Effective coordination with national and local authorities and humanitarian actors. Responding to the needs of affected
people is at the heart of humanitarian response, and coordination facilitates that response.
2. Information management -- Information management underpins each phase of the HPC and helps connect phases
by carrying enriched information from one to another. It is important that organizations participating in the response
collect and share information, including the “4Ws” of who is doing what, where, and when.
Let’s take a moment to look at each element of the cycle.

42
 THE 4W
The 4W is a global tool to capture data from the field. The
Ws stand for Who does What Where and When. A 3W tool
is sometimes used that does not include the “when” category.
When completed, the matrix helps to generate information
products such as maps and tables of achievements to date.
There are standard templates developed by the UN Office for
the Coordination of Humanitarian Affairs (OCHA); however,
clusters can modify these according to their information
management needs.
It is important that all humanitarian actors, including
NGOs, responding to an emergency participate in the assembly
of the 4Ws matrix, as it is a key tool in reducing duplication and
addressing gaps in programming. The information generated
by the 4Ws is useful to the entire humanitarian community, but
its accuracy depends on the inputs received.
PREPAREDNESS
Preparedness is a phase of the Humanitarian Programme
Cycle that should precede the other phases, as well as be present
throughout all the phases in the cycle. It is important to prepare
as much as possible before emergencies strike. Preparedness
covers everything from collecting background information
on the country, to putting in place and practicing standard
operating systems in your organization, to being familiar with
how the aid funding and implementation system works on the
ground. It also includes integrating emergency response plans
and disaster risk reduction into development programming.
NEEDS ASSESSMENT AND ANALYSIS
Needs assessment and analysis provide the evidence on
which the whole Humanitarian Programme Cycle is based.
Immediately following the onset of a crisis, initial information
gathering may be done so that a response can start taking
place right away, but an effective humanitarian response
requires a multi-sector assessment of needs and capabilities.
This joint assessment is undertaken with the goal of providing
decision makers with enough accurate information to make
key decisions in a timely manner. This information can affect
everything from strategic planning to program implementation,
so it is essential that needs are accurately assessed and jointly
analyzed. All humanitarian actors conduct needs assessments,
but it is important to coordinate so that assessments are done
jointly or with a harmonized approach.
STRATEGIC RESPONSE PLANNING
Using the information collected through needs assessment
and analysis, the Humanitarian Coordinator, or HC, with
the active participation of the Humanitarian Country Team,
or HCT, develops a Strategic Response Plan, which defines
priorities, gaps, and accountabilities and includes detailed
funding requirements. This plan helps guide the response by
deciding what actions are most urgent, who is responsible for
these actions, and where they will be working.
43
RESOURCE MOBILIZATION
The strategic response planning process helps indicate what
money, staff, and materials will be needed to implement the
plan. Whether donors fund an organization directly, through
another international or UN agency, or contribute money into a
pooled fund, donors and recipients should ensure that funding
aligns with the strategic response planning: resources need to
be raised to match the specific assessed needs.
IMPLEMENTATION AND MONITORING
The HCT regularly reviews information on the humanitarian
operations to monitor the response and makes adjustments to
the strategic plan as needed. Of course, our job is to implement
the programs we have taken responsibility for. Working within
the strategic response plan adds value to our programming, as
we know what complementary services others are providing
and we know how their work will affect our work.
OPERATIONAL REVIEW AND EVALUATION
Evaluating a response helps us to better understand what
actions or decisions were effective and how the humanitarian
community can be more effective in helping a disaster-affected
community the next time we respond to a humanitarian crisis.
It also helps us identify any necessary changes to improve the
quality of the ongoing response.
HPC SELF-CHECK
The Humanitarian Programme Cycle (HPC) links
assessments, planning, and monitoring into a cohesive
framework. Match each activity of your NGO, Humanitarian
Corps Worldwide, to the phase of the HPC it would correspond
to:
1. Ensure there are sufficient supplies warehoused in the
area to address predictable issues, and that staff are
appropriately trained
2. Work with local agencies and fellow NGOs to identify
which areas have been hit hardest and from previous
demographic data how many people are likely to be
affected in each area
3. Based on assessment, identify priorities and outline
what we will do and how we will do it
4. Consistently track inputs, outputs, and outcomes of
our programs
5. After the response, consult internally and externally to
identify things that worked well and areas that could
be improved
A. Operational review and evaluation
B. Strategic response planning
C. Preparedness
D. Needs assessment and analysis
E. Implementation and monitoring
 NEEDS ASSESSMENT
Now that you’ve seen an overview of the Humanitarian
Programme Cycle, let’s take a closer look at some of the
elements that NGOs may come across as they engage with the
overall cycle. First, we’ll examine some of the activities that are
carried out during the needs assessment phase.
The HPC reinforces the necessity that agencies work
together, and with the disaster-affected community, to come
up with as clear a picture as possible as soon as possible of
the humanitarian needs. This is not just a simple list, but an
overview that identifies the affected population, with estimated
numbers of people in need, and needs in each sector prioritized
by urgency. In a sudden-onset emergency, agencies may work
together on a joint Multi-Cluster Initial Rapid Assessment, or
MIRA. In ongoing emergencies, the document describing all
this is called the Humanitarian Needs Overview (HNO). The
purpose of the HNO is to present a shared understanding of
the impact of a crisis on humanitarian needs and to inform the
Humanitarian Country Team’s Strategic Response Plan (SRP).
Let’s discuss the MIRA and the HNO in a bit more detail.
MULTI-CLUSTER INITIAL RAPID ASSESSMENT
(MIRA)
In the immediate aftermath of an emergency, it is
important to get a good understanding of priority needs. When
organizations conduct assessments separately, the information
they gather represents only one piece of the humanitarian
response. The Multi-Cluster Initial Rapid Assessment, or MIRA,
is a coordinated assessment framework that was developed to
show the overall picture of the operational response.
The MIRA should be carried out by a team of emergency
specialists, including assessment and sectoral specialists, drawn
from the various clusters or sectors present in the country to
ensure that local knowledge is included in the findings.
The MIRA has two outputs: the preliminary scenario
definition, which informs decision-making in the days following
a disaster, and the MIRA report, which will be produced later
and contains a more detailed assessment.
The preliminary scenario definition and MIRA report
both contain information on eight themes, some of which are:
the scope of the crisis, national and international capacities,
humanitarian access, and gaps and priorities.
Because the MIRA aims to support the identification of
strategic humanitarian priorities, it is important that NGOs
participate in the information gathering aspect and help drive
the selection of priorities. This helps all humanitarian actors
reach, from the outset, a common understanding of the
situation.
Coordination of a MIRA is usually handled at the Inter-
Cluster Coordination Forum; NGOs should be in touch with
the relevant cluster coordinator or with the OCHA office for
details.
44
HUMANITARIAN NEEDS OVERVIEW (HNO)
While the MIRA is used in sudden-onset emergencies,
the Humanitarian Needs Overview is applied in ongoing
emergencies.
As the name implies, the HNO is an overview of the
humanitarian needs in the affected country. It is based on
assessments, existing data, and information provided by
clusters.
An HNO is produced to identify and prioritize needs in-
country six months after a crisis starts or in a protracted crisis,
in advance of the Strategic Response Plan.
Humanitarian Country Teams are encouraged to produce
an HNO for every humanitarian crisis in their countries as a
means of informing the humanitarian response.
The HNO is not a static document. HNOs should be revised
when there is a significant change in circumstances, upon HCT
decision. The HNO should precede major revisions in strategic
planning.
The HNO is an analysis of the latest available assessments.
In order for the data collected by everyone to be useful, it is
important for NGOs to coordinate on assessment planning and
collection of data for HNOs. This is usually done through the
relevant cluster.
Once assessments have been completed by an NGO or
its local partners, it is strongly encouraged that the results are
shared so that others can benefit, even if the organizations
concerned don’t plan to use them for their own operational
purposes. OCHA field offices usually maintain assessment
registries as part of their role in information management
coordination.
And once an HNO is completed, NGOs and others can use
the data to improve their response.
HNO SELF-CHECK 1
True or false? The Humanitarian Needs Overview is an
appeal document to solicit funds for relief.
HNO SELF-CHECK 2
True or false? The Humanitarian Needs Overview describes
the humanitarian needs in a crisis and is commonly revised
every six months.
HNO SELF-CHECK 3
True or false? The Humanitarian Needs Overview provides
guidance to the clusters when they are creating a detailed work
plan for their sector.
STRATEGIC RESPONSE PLAN (SRP)
Next, let’s take a closer look at the strategic response
planning phase. One major activity during this phase is the
development of a Strategic Response Plan.
The Strategic Response Plan outlines how we as a
humanitarian community will respond to an emergency in a
coordinated and effective manner. It draws on the HNO (or
MIRA in sudden-onset emergencies) to define the overarching
strategy for the response and identify key priorities to be
addressed. Additionally, the SRP helps identify gaps that might
exist or develop, and it includes detailed funding requirements
for the emergency. While an SRP includes a description of
funding needs, it only says how much money is needed and is
not an actual funding mechanism.
The SRP includes strategic indicators and objectives
by which to measure progress, for example reducing child
mortality rates to a certain level. NGOs can help develop
these indicators and objectives, and also hold the leadership to
account if they are not being met.
While the HC and HCT are responsible for developing and
implementing the SRP, the entire humanitarian community
should be involved all aspects of it, especially its design.
International and national NGOs, particularly, have firsthand
knowledge of the situation on the ground and therefore can
ensure the strategy and priorities accurately reflect the realities
in the field. The SRP should also take into account consultation
with national authorities and the views of the affected people.
SRPs are usually initiated by inter-agency planning
workshops. These workshops form the basis of the plan and
thus are prime opportunities for the humanitarian community
to engage and influence it. The workshops generally involve the
HCT, cluster coordinators, and often other stakeholders such
as the host government, donors, and participants from the Red
Cross/Red Crescent and NGO community.
In the development of the SRP, NGOs should work together
with others in their respective clusters to ensure that their views
are considered. The SRP will include cluster response plans, so
NGOs can be in contact with their in-country clusters for more
information. NGOs can use the SRP to illustrate where their
programming fits with the overall strategic plan within their
countries of operation.
SRP SELF-CHECK 1
True or False? The Strategic Response Plan helps
humanitarian actors coordinate key strategies and priorities for
the response.
SRP SELF-CHECK 2
True or False? The Humanitarian Needs Overview and SRP
are created by OCHA and given to the clusters to execute.
THE CONSOLIDATED APPEAL PROCESS (CAP)
As you can see, putting the Humanitarian Programme
Cycle into place requires a lot a of work between all actors. In
the past, a process called the Consolidated Appeal Process, or
CAP, was the main mechanism for much of what has just been
described. Sometimes something called a “Flash Appeal” would
also be used in the initial phases of an emergency. Even though
now the Humanitarian Programme Cycle is in place, you may
still hear reference to these terms.
REVIEW
I hope this review of the HPC was helpful. It’s a critical part
of how we conduct, and coordinate, our response activities.
It’s important for NGOs to be aware of the different aspects of
the HPC and understand where our strategic participation is
necessary.

45
 Unit 4 | Planning and Funding the
Humanitarian Response
Section 4.2: Pooled Funding Mechanisms
WHAT IS POOLED FUNDING?
In most cases, the funding for humanitarian aid comes
from the public—from governments of countries not affected
by the crisis, foundations, and the donations of individual
citizens, including people from the affected population. This
means we are entrusted with public money, and are expected
to use it wisely, effectively, and efficiently. One of the ways
that humanitarian actors work to ensure this money is used
responsibly is through pooled funds.
Pooled Funds are closely linked to the goals of the
Humanitarian Reform initiative. Pooled funds are intended
for rapid and flexible aid flows that are strategically targeted at
priority needs.
Sometimes a donor funds a program directly. Other times,
multiple donors combine their money into a single fund for
distribution. These are called pooled funding mechanisms.
There are several benefits of pooled funds. Pooled funds
allow donors to contribute to a response effort without having
to select a specific recipient. Pooled funds relieve administrative
burden by bringing together many contributions from many
donors and managing funds centrally. Pooled funds also
encourage actors to coordinate their activities and work
together to identify priorities.
Pooled funding mechanisms are intended to disburse
money quickly when a crisis occurs.
There are three funds you should know about: the Central
Emergency Response Fund, the Common Humanitarian Fund,
and the Emergency Response Fund.
The Central Emergency Response Fund (CERF) allocates
funds to crises worldwide. Common Humanitarian Funds
(CHF) and Emergency Response Funds (ERF) are country
based. Funds from the CERF are available only to United
Nations (UN) agencies and the International Organization
for Migration (IOM). However, NGOs may partner with UN
organizations to access these funds. Funds from CHFs and
ERFs are available to NGOs, Red Cross/Red Crescent, and UN
agencies.
Overall, the volume of pooled funds has increased
from US$600 million in 2006 to almost 900 million in 2012.
46
However, together, pooled funds make up about 5% of the
global humanitarian aid budget. The CERF accounts for about
half of that.
Where would you like to start? Click on a pooled funding
mechanism to learn more about it.
THE CENTRAL EMERGENCY RESPONSE FUND
The Central Emergency Response Fund is a humanitarian
pooled funding mechanism. It includes a grant and a loan
component.
The CERF’s objectives are to:
• promote early action and response to reduce loss of life;
• enhance response to time-critical requirements;
• strengthen core elements of humanitarian response in
underfunded crises.
The CERF is administered by the Emergency Relief
Coordinator, or ERC, who is also head of the Office for the
Coordination of Humanitarian Affairs, or OCHA.
The CERF can make grants up to a ceiling of US$450
million annually and loans totaling up to US$30 million.
The CERF is replenished annually through contributions
from governments, the private sector, foundations, and
individuals.
It is important to note that the UN, its agencies, and the
IOM can directly apply for loans or grants from the CERF,
with the exception of OCHA, which is only eligible for loans.
It is not open directly to affected country governments or to
NGOs. However, NGOs sometimes receive these funds as
implementing partners of UN agencies. This would be done
through a sub-granting agreement between the UN agency and
the NGO. This agreement, its structure, rules, and application
format will differ based on the contracting UN agency.
Examples of this are instances where an NGO may
distribute food aid on behalf of the World Food Programme, or
implement a vaccination program for the UN Children’s Fund,
thus benefitting from the CERF indirectly.
The CERF offers two types of funding: CERF loans and
CERF grants. The grants are divided between rapid response
funds and underfunded emergencies.
 RAPID RESPONSE FUNDS UNDERFUNDED EMERGENCIES SELF-CHECK 2
Rapid response funds help support life-saving, humanitarian Which of the following would qualify for underfunded
activities in the initial stages of a sudden-onset crisis. Rapid emergency funding from the CERF?
response allocations should fulfill the “life-saving” criteria, as A. Life-saving activities in a new, rapid-onset emergency
defined by CERF’s mandate, and result from a country’s needs B. A disaster preparedness program for a region facing a
assessment. potential disaster
The Humanitarian Coordinator will make the request C. A humanitarian response that is fully funded and
for CERF funds, usually on the advice of the Humanitarian wants to expand activities
Country Team, so there’s an opportunity for NGOs to advise D. A humanitarian response that has used all rapid
and lobby for the needed resources through the Humanitarian response funds and significant needs remain unmet
Country Team. Activities should be prioritized according to
E. An NGO with a longstanding presence in a protracted
the framework of a Strategic Response Plan, or in the absence
crisis
of such a plan or similar appeals, be based on needs from recent
assessments.. These funds are often used in acute, sudden- CERF LOANS
onset disasters. They may also be used in the case of a rapid The CERF loan mechanism provides money to eligible
deterioration of an existing crisis with a clear trigger. UN humanitarian organizations that have received a donor’s
Rapid response funds are disbursed as soon as possible. official commitment, but experience a delay between the actual
A maximum of US$30 million rapid response funds can be commitment and the transfer of funds.
allocated to a crisis. The funds can be used as soon as a disaster They pay this money back out of the funds they raise
occurs and must be expended within six months of receipt of through their individual program appeals to donors. These
the funds. loans help UN agencies begin implementing their emergency
RAPID RESPONSE FUNDS SELF-CHECK response activities. They must be paid back within one year.
Which of the following would qualify for rapid response CERF LOANS SELF-CHECK
funding? Which of the following would qualify for a CERF loan?
A. Livelihoods program in a protracted crisis A. NGOs providing life-saving aid in a new emergency
B. A long-term development project B. A UN agency with pledges from donors but insufficient
C. Staff training for professional development funds for current activities
D. Funding for immediate response to a new emergency C. A UN agency that does not have capacity to fundraise
UNDERFUNDED EMERGENCIES D. A UN agency that expects other funding in 18 months
E. A UN agency that wants to have its staff attend training
Approximately one-third of CERF grants are set aside
for professional development
for underfunded emergencies. In two rounds per year, the
ERC decides on the most poorly funded countries to receive THE COMMON HUMANITARIAN FUND
CERF underfunded grants based on in-depth analyses and Common Humanitarian Funds exist in-country to provide
consultations with agencies conducted by the CERF secretariat. early and predictable funding to priority humanitarian needs
Following the analysis, the ERC makes the final selection of through an inclusive and coordinated process at the field level.
countries to receive an underfunded allocation and the amount CHF funding is aligned to the Strategic Response Plan
apportioned to each country. within the context of the Humanitarian Programme Cycle.
UNDERFUNDED EMERGENCIES SELF-CHECK 1 CHFs are currently present in six countries with on-going,
Which piece corresponds to underfunded emergencies? large humanitarian operations –Afghanistan, Central African
Click on the part of the pie chart that represents underfunded Republic, the Democratic Republic of the Congo, Somalia,
emergencies. South Sudan, and Sudan.
Fund size varies year to year, but in the past, CHFs have
ranged from US$10 million (in the Central African Republic)
and US$127 million (in South Sudan) per year. CHF grants
average US$300,000 for NGOs.
All UN agencies, IOM, national and international NGOs,
and the Red Cross/Red Crescent can apply for funding from
the CHF.
There is generally a CHF grant application process twice a
year in-country, but there is also a small reserve window that
can act as and when it is needed.

47
 The HC, supported by OCHA, is responsible for the use In 2014, ERFs are available in 13 countries: Afghanistan,
and management of the CHF. These allocations are made in Colombia, Democratic Republic of the Congo, Ethiopia, Haiti,
consultation with clusters and other relevant stakeholders at Indonesia, Kenya, Myanmar, occupied Palestinian territory,
the country level, who work to prioritize humanitarian needs. Pakistan, Syria, Yemen, and Zimbabwe.
The rules on how these funds can be used vary from Grants from the ERF are generally smaller than those from
country to country. The fund is advised by a local Advisory the Common Humanitarian Fund – around US$250,000 per
Board, including NGOs, UN agencies, and donors. grant.
To apply for CHF funding, NGOs prepare initial project NGOs, the Red Cross/Red Crescent, IOM, and UN agencies
can apply at any time to the ERF, and the aim is to quickly turn
concept notes that address the agreed-upon strategic priorities
for the emergency response. Cluster coordinators then identifyaround decisions and funds.
a limited number of project concept notes considered best ERFs operate under the management and oversight of the
suited to address the needs. Once the HC approves this list ofHumanitarian Coordinator. The Humanitarian Coordinator
pre-selected concept notes, partners will develop full projectis supported by a review board made up of representatives of
proposals for technical review. A Technical Review Committee UN humanitarian agencies, IOM, and NGOs to assess and
is tasked with reviewing full project proposals; member prioritize project proposals based on jointly assessed needs and
compositions vary depending on what projects are up for in line with the clusters’ priorities. The whole aim is to process
review. Based on recommendations from this committee, CHF vital funding quickly to respond to unforeseen emergencies in
allocations may be adjusted by the HC, who holds ultimate a timely manner.
responsibility for allocation decisions. ERFs support activities in line with Strategic Response
In most countries, an NGO would submit a proposal Plans and cluster priorities developed in-country–or equivalent
using three standard forms: the Standard Allocation template, humanitarian planning frameworks. In order to apply for
Project Summary template, and Project Budget template. You funding from an ERF, NGOs must be proven eligible to receive
can find these forms and additional information on Common the funds. In order to do so, OCHA uses a Capacity Assessment
Humanitarian Funds in the resources section. Tool to analyze the managerial, financial, and technical
soundness of the internal systems and processes of each NGO.
CHF SELF-CHECK 1
ERFs utilize standard application templates that are
What is the main purpose of the CHF? annexed to the Global ERF Guidelines. You can find these in
A. To provide funds whenever organizations request them the Resources section.
to meet unforeseen needs
B. To allocate funds to priority humanitarian needs ERF SELF-CHECK 1
through an inclusive and coordinated process at the What is the main purpose of the ERF?
field level A. To provide funds for long-term development programs
C. To provide early and predictable funding on a global B. To enable the effective delivery of humanitarian
level assistance by providing humanitarian partners with
D. To provide funds to the affected state government a rapid, timely, and flexible in-country funding
E. To provide loans to support underfunded programs mechanism to respond to unforeseen priority needs
C. To provide early and predictable funding on a global
CHF SELF-CHECK 2 level
Which organizations are eligible to apply for CHF funds? D. To provide funds to the affected state government
A. United Nations agencies only E. To provide loans to support underfunded programs
B. Non-governmental organizations only
C. Local government agencies only ERF SELF-CHECK 2
D. Red Cross/Red Crescent and non-governmental Which organizations are eligible to apply for ERF funds?
organizations only A. United Nations agencies only
E. Non-governmental organizations, United Nations B. Non-governmental organizations only
agencies, and Red Cross/Red Crescent C. Local government agencies only
D. Red Cross/Red Crescent and non-governmental
EMERGENCY RESPONSE FUND (ERF) organizations only
Emergency Response Funds, or ERFs, provide rapid E. Non-governmental organizations, United Nations
and flexible funding to address critical gaps in humanitarian agencies, IOM, and Red Cross/Red Crescent
emergencies. They are intended to meet unforeseen needs
and to support NGO response in an emergency by providing
complementary funding for life-saving activities.

48
 TIPS FOR NGOS TO PARTICIPATE IN ERFS/CHFS
Participation in ERFs and CHFs is away for NGOs—both international and national—to engage with the international
humanitarian funding mechanisms. In order to optimize engagement, NGOs should consider doing the following:
• Liaise with OCHA’s Humanitarian Financing Unit on conducting a capacity assessment for your NGO prior to submitting
a proposal;
• Before drafting a proposal for an ERF or a CHF, consult with OCHA’s Humanitarian Financing Unit Fund Manager to see
if they are the right mechanisms to respond to the identified need;
• Prepare your proposal in consultation with the respective cluster coordinator and the relevant OCHA field office to get
their support throughout the project cycle, to avoid overlapping with other projects, and to shorten the review process as
much as possible;
• Follow the country-specific website to obtain updates on funding and allocations, strategies, guidelines, or templates
• Utilize the ERF and CHF guidance and templates
POOLED FUNDING MECHANISMS SELF-CHECK
Move each item to its apporopriate place in the table. There should be one empty space in this grid.
Central Emergency Common Humanitarian Emergency Response Fund
Response Fund (CERF) Fund (CHF) (ERF)

What is the fund for?

Where is it used?

Who can receive funds? UN, IOM, NGOs, and Red

Cross/Crescent
How large is a typical grant?

A. In-country in 13 countries
B. Grants and loans for sudden-onset or underfunded
crises
C. Grants around $250,000
D. Grants around $300,000
E. Only UN agencies and IOM are eligible
F. Priority humanitarian needs
G. Global level
H. UN, IOM, NGOs, and Red Cross/Crescent
I. Critical gaps in humanitarian emergencies
J. In-country in 6 countries
CRITICAL THINKING
What do you think are some of the benefits of pooled
funding? Take some time to write down three benefits. When
you’re ready, click next.

49
 TRACKING & REPORTING
THE FINANCIAL TRACKING SERVICE
There are several mechanisms in place for tracking and
reporting on humanitarian funding.
The main source of information on past and present
funding flows in the humanitarian systems is OCHA’s Financial
Tracking Service (FTS). FTS collects information from donors
and recipient organizations. The data in FTS can be sorted in
many different ways, including by emergency, donor, recipient,
sector, and year.
All the data is downloadable. Of course, the system is only
as good as the data going into it, so one of the challenges is to
get donors and agencies to report information on pledges and
donations in a timely manner. Donors and NGOs can report
contributions directly on the FTS website through a simple
form or via e-mail. The FTS allows users to see in real time just
how much of an appeal or inter-agency response plan has been
funded and by whom. The FTS database has historical financial
data going back to 2000, thus allowing you to look at financing
trends for more than a decade to see who got what for whom
and where.
FTS can be accessed on-line.
There are a number of ways that FTS can be useful for
NGOs.
• By publicizing project proposals: FTS shows proposed
projects with their budgets and unfunded balances. NGOs
can therefore use FTS to publicize their humanitarian
projects and draw attention to funding needs.
• By increasing visibility: If informed of contributions,
FTS can show each NGO’s full effort in a given crisis.
• As a fundraising tool: FTS shows major donors to each
crisis, including those that have made pledges. This can
potentially help NGOs identify available or new sources
of funding.
• As an advocacy tool: Financial tracking provides raw
material for advocacy, by identifying crises with the
greatest resource needs, highlighting under-funded
crises and sectors, monitoring changes in humanitarian
resource needs in evolving situations, and tracking the
timeliness of donor response to urgent needs. Financial
tracking also gives credit where it is due.
• And for coordination: FTS offers information at a glance
on which implementing organizations and donors are
working, in which crises and sectors, and to what scale.
50
FTS SELF-CHECK
What information can you find through the Financial
Tracking Service?
A. Humanitarian funding for UN agencies reported to
FTS
B. Humanitarian funding for NGOs and Red Cross/Red
Crescent organizations reported to FTS
C. Humanitarian funding for countries with inter-agency
response plans, as well as countries without a response
plan
D. Both humanitarian and development funding
ANALYTICAL REPORTS
At the global level, there are three main reports that provide
comprehensive data on global humanitarian assistance. These
reports also offer an analysis of humanitarian funding trends
and the issues behind it.
Click a report to learn more about it. Complete reports are
available in the resources section.
GLOBAL HUMANITARIAN ASSISTANCE REPORT
The most comprehensive and most used is the annual Global
Humanitarian Assistance Report, published by Development
Initiatives. The report is downloadable from their site, as are a
series of extensive Excel datasheets that contain all the data and
graphics used in the report. There are country reports, sector-
specific reports, and other trend analysis, all of it focusing on
financial flows.
WORLD DISASTERS REPORT
The World Disasters Report is published annually by
the International Federation of Red Cross and Red Crescent
Societies (IFRC). It contains a set of chapters each year on key
issues in the humanitarian field and an extensive set of tables
on the occurrence and effects of crises worldwide.
THE STATE OF THE HUMANITARIAN SYSTEM
REPORT
The Active Learning Network for Accountability and
Performance (ALNAP) produces a “State of the Humanitarian
System Report” every two years. This report is more analytical
than the others and assesses the overall efficiency and
effectiveness of the humanitarian system.
REVIEW
I hope this overview helped clarify the different kinds
of humanitarian funding and how NGOs can access them.
It’s important to see how funding fits into the big picture of
programming and coordination. NGOs can play a large role
in assessments, strategic planning, and implementation of
programs in a coordinated response, as well as holding the
system accountable for working efficiently and effectively on
behalf of the affected population. Goodbye!
 Unit 4 | Planning and Funding the
Humanitarian Response

Unit 4 Answers Section

SECTION 4.1 | THE SECTION 4.2 | POOLED FUNDING

HUMANITARIAN PROGRAMME MECHANISMS
CYCLE RAPID RESPONSE FUNDS SELF-CHECK
ANSWER: D. Rapid response funds provide funds in the
HPC SELF-CHECK
early stages of a sudden-onset crisis.
ANSWER: 1. C, 2. D, 3. B, 4. E, 5. A
UNDERFUNDED EMERGENCIES SELF-CHECK 1
HNO SELF-CHECK 1
ANSWER: One-third of CERF grants are set aside for
ANSWER: False. The Humanitarian Needs Overview is a underfunded emergencies.
description of current humanitarian needs. It is not a request
for funding. UNDERFUNDED EMERGENCIES SELF-CHECK 2
ANSWER: D. A humanitarian response that has used all
HNO SELF-CHECK 2
rapid response funds and significant needs remain unmet
ANSWER: True. It is important to revisit the plan to ensure qualify for underfunded emergency funding from the CERF.
that new gaps or redundancies have not developed over time. It
may be revised more often depending on the situation. CERF LOANS SELF-CHECK
ANSWER: B. CERF loans are a cash-flow mechanism to fill
HNO SELF-CHECK 3
gaps between the time funding is promised and when it arrives.
ANSWER: True. From the HNO, cluster participants have
an informed view of the situation that allows them, as a cluster, CHF SELF-CHECK 1
to create a plan addressing the specific needs of their cluster, ANSWER: B. CHF funding is currently available in six
including any cross-cutting issues. countries to provide early and predictable funding.
SRP SELF-CHECK 1 CHF SELF-CHECK 2
ANSWER: True. The SRP establishes strategies and ANSWER: E. The CHF provides funding for UN agencies,
priorities. SRP development should be an inclusive process so NGOs, and the Red Cross/Red Crescent.
various actors coordinate their activities and get input from
affected communities. ERF SELF-CHECK 1
ANSWER: B. The ERF helps meet unforeseen needs that
SRP SELF-CHECK 2 were not included in other appeals.
ANSWER: False. Everyone is involved in creating the
HNO and SRP; this includes national NGOs and community ERF SELF-CHECK 2
organizations, the local and national governments, as well as ANSWER: E. The ERF provides funding for UN agencies,
United Nations agencies, the Red Cross/Red Crescent, and IOM, NGOs, and the Red Cross/Red Crescent.
international NGOs.

51
 POOLED FUNDING MECHANISMS SELF-CHECK
Central Emergency Common Humanitarian Emergency Response Fund
Response Fund (CERF) Fund (CHF) (ERF)

What is the fund for? B. Grants and loans F. Priority humanitarian I. Critical gaps in
for sudden-onset or needs humanitarian emergencies
underfunded crises
Where is it used? G. Global level J. In-country in 6 countries A. In-country in 13 countries

Who can receive funds? E. Only UN agencies and H. UN, IOM, NGOs, and Red UN, IOM, NGOs, and Red
IOM are eligible Cross/Crescent Cross/Crescent
How large is a typical grant? D. Grants around $300,000 C. Grants around $250,000

CRITICAL THINKING
Compare your answers to this suggested list from the 2013 Global Humanitarian Assistance Report:
• Improve humanitarian effectiveness at country level
• Improve equity at a global level
• Some organizations are able to access more money under different terms
• Increase the flexibility and speed of funding to recipients
• Reduce the costs of humanitarian financing
• Provide smaller and more diverse donors an opportunity to contribute funds
• Good opportunity for countries and individuals who want to respond to crises but lack the presence on the ground or the
analytical capacity to know how best to allocate funds

FTS SELF-CHECK
ANSWER: A, B, and C. FTS records all humanitarian funding that is reported to it. FTS does not record development
funding.

52
 Unit 5 | International Law and
Humanitarian Standards
Section 5.0: Introduction
UNIT 5 OVERVIEW
International humanitarian response would be difficult
without shared principles as the foundation of the actions
of the humanitarian community. Though the humanitarian
community may not share a common language, nationality, or
experience, they adhere to a single code of conduct, professional
standards, and international humanitarian law (IHL). This unit
offers an overview of the standards, code, and body of law
under which humanitarian workers operate in order to provide
assistance to those in need.
RADIO ANNOUNCEMENT
It has been 10 days since Olvitana was struck by a 7.5
earthquake. Reports have estimated that there are more than 3
million Olvitani internally displaced.
With government services disrupted, tensions among
groups within Olvitana that had already been an issue before the
earthquake have escalated, and the security situation is rapidly
deteriorating. There are reports of violence in the mountainous
regions outside of the city.
Most major roads continue to be impassable except by
four-wheel drive vehicles. Some militant groups are controlling
road access in the mountainous regions in central and western
Olvitana.
Perceptions of assistance being distributed inequitably
have flared existing tensions between groups.
WELCOME
Hi, I’m Mark, the protection officer here at Humanitarian
Corps Worldwide. I understand that you are new to this country
and to our organization.
Are you up to date on the situation here in Olvitana?
53
SITUATION REPORT
Humanitarian Corps Worldwide Update:
• Perceptions of inequitable distribution of aid have flared
existing tensions between groups in Olvitana, and the
security situation is rapidly deteriorating. There are
reports of violence in the mountainous regions outside
of the city.
• Major roads are badly damaged, and moving throughout
the country requires vehicles with four-wheel drive.
Militant groups have set up roadblocks on several major
routes around the capital.
• There have been reports of misconduct by humanitarian
actors.
WHAT TO EXPECT
The chaos caused by the earthquake has exacerbated
tensions between the two major ethnic groups in Olvitana. This
raises some important issues about our role as humanitarian
workers in conflict situations. It is important to understand the
laws and standards that guide our work, including in situations
of violent conflict. I’m going to tell you about some of the laws
and standards that apply to humanitarian work.
In this unit, we will discuss:
• International Humanitarian Law and Human Rights
Law, and
• Professional Norms and Standards.
 Unit 5 | International Law and
Humanitarian Standards
Section 5.1: International Humanitarian
Law and Human Rights Law
INTERNATIONAL HUMANITARIAN LAW
As humanitarian workers, it is very important that
we understand international humanitarian law, or IHL.
International humanitarian law is a set of rules that seek, for
humanitarian reasons, to limit the effects of armed conflict. It
protects persons who are not or are no longer participating in
the hostilities and restricts the means and methods of warfare.
International humanitarian law is also known as the law of war
or the law of armed conflict.
ORIGIN OF IHL
There are many historical examples of atrocities committed
during conflict. These acts include mistreatment of wounded
soldiers and prisoners-of-war.
Through a series of important treaties, the international
community has developed, adopted, and promoted
International humanitarian law. IHL seeks to limit the means
and methods of warfare. IHL also regulates conduct during
armed conflict with the aim of protecting civilians, including
humanitarian aid workers, and combatants who are no longer
taking part in the conflict.
IHL SELF-CHECK 1
True or False? International humanitarian law is a set of
rules that restricts methods of warfare, and thus only protects
military personnel.
IHL SELF-CHECK 2
Which of the following is included in International battlefield. It also addresses protection for medical personnel,
Humanitarian Law? Select all that apply
A. Protection of those who are not, or no longer, taking
part in fighting
B. Regulations on whether or not a state can use force
C. Restrictions on the means of warfare and the methods
of warfare
THE GENEVA CONVENTIONS
The four Geneva Conventions of 1949 and the two
Additional Protocols of 1977 are the foundation of modern
IHL.
54
Among many other things, the Geneva Conventions
recognize the principle of impartiality. According to the
principle of impartiality, humanitarian actors must undertake
their work on the basis of need alone, making no distinctions
on the basis of factors such as nationality, race, gender, religious
beliefs, and political opinions.
All countries of the world have signed the Geneva
Conventions. However, the Convention’s Additional Protocols
have not been universally ratified. Even if a country hasn’t signed
the Additional Protocols, though, a country is still bound by
certain rules included in these agreements. This is because many
of the rules included in these protocols, in addition to other
rules, are now recognized as part of “customary international
humanitarian law.” This means all parties engaging in conflict
have to follow these rules, even if they haven’t formally signed
the Additional Protocols. Customary international law is a
result of state practice and the international community’s belief
that such practice is required by law.
Please take a moment to review the four Geneva Conventions.
Click the button for each of the Geneva Conventions to learn
more. Once you’ve reviewed each convention, you can proceed
to the next section.
GENEVA CONVENTION 1
The First Geneva Convention is titled “Convention (I) for
the Amelioration of the Condition of the Wounded and Sick
in Armed Forces in the Field.” This convention focuses on
humane treatment of wounded and sick armed forces on the
religious workers, and civilians in the battle zone.
GENEVA CONVENTION 2
The Second Geneva Convention is titled “Convention (II)
for the Amelioration of the Condition of Wounded, Sick and
Shipwrecked Members of Armed Forces at Sea.” This convention
includes provisions similar to the First Geneva Convention but
is applicable to individuals who are injured at sea.
GENEVA CONVENTION 3
The Third Geneva Convention is titled “Convention (III)
relative to the Treatment of Prisoners of War.” This convention
sets out rules providing for the humane treatment of prisoners The wounded and sick shall be collected and cared for.
taken during war. This includes basic conditions that must be An impartial humanitarian body, such as the International
guaranteed during captivity and the obligation to release and Committee of the Red Cross (ICRC), may offer its services to the
repatriate prisoners at the end of hostilities. Parties to the conflict. The Parties to the conflict should further
endeavor to bring into force, by means of special agreements,
GENEVA CONVENTION 4 all or part of the other provisions of the present Convention.
The Fourth Convention is titled “Convention (IV) relative The application of the preceding provisions shall not affect the
to the Protection of Civilian Persons in Time of War.” This legal status of the Parties to the conflict.”
convention legally protects civilians and civilian objects, such
as hospitals, medical stores, or places of religious worship. HORS DE COMBAT
“Hors de combat” literally translates into “outside the fight”
GENEVA CONVENTIONS SELF-CHECK 1 and is generally used in legal contexts to refer to:
True or False? Geneva Convention #4 protects civilians and • prisoners of war,
civilian objects such as places of worship and hospitals from
• soldiers who have expressed an intention to surrender,
attack here in Olvitana.
and
GENEVA CONVENTIONS SELF-CHECK 2 • soldiers who are unable to defend themselves due to
True or false? Countries that have not ratified the Additional injury or illness.
Protocols to the Geneva Conventions have no legal obligation Anyone who is “hors de combat” cannot be legally targeted
to abide by any of the rules contained in these treaties. by a military attack.

COMMON ARTICLE 3 COMMON ARTICLE 3 SELF-CHECK 1

One important element that is mentioned in the Geneva Common Article 3 is included in all four of the Geneva
Conventions is called Common Article 3. Common Article 3 Conventions and describes actions that should not be done to
appears in all four of the Geneva Conventions, and it is where people who are not taking part in the conflict. Who is protected
the legal basis for the protection of civilians in non-international by Common Article 3? (Select all that apply)
armed conflicts can be found. It describes actions that should A. Prisoners of war
not be done to people who are not taking part in the conflict. B. Soldiers who have laid down their arms
Specifically, Common Article 3 prohibits: C. Soldiers who are unable to defend themselves due to
• the infliction of violence, including mutilation, cruel injury or illness
treatment, and torture; D. Persons taking no active part in the hostilities
• denial of due process if someone is charged with a crime;
• and outrages upon personal dignity, including
COMMON ARTICLE 3 SELF-CHECK 2
humiliating and degrading treatment. Under Common Article 3, which of the following acts are
Click next to read Common Article 3. prohibited at any time and any place with respect to individuals
who are NOT involved in conflict? Select all that apply.
FULL TEXT OF COMMON ARTICLE 3 A. Murder of all kinds, mutilation, cruel treatment, and
“Persons taking no active part in the hostilities, including torture
members of armed forces who have laid down their arms and B. Being sentenced without due process
those placed ‘hors de combat’ by sickness, wounds, detention, C. Inhumane treatment
or any other cause, shall in all circumstances be treated D. The right to be visited by the International Federation
humanely, without any adverse distinction founded on race, of Red Cross and Red Crescent Societies
colour, religion or faith, sex, birth or wealth, or any other E. Denial of medical care when wounded
similar criteria. To this end, the following acts are and shall
remain prohibited at any time and in any place whatsoever with ADDITIONAL AGREEMENTS ON IHL
respect to the above-mentioned persons: Beyond the Geneva Conventions and the additional
• violence to life and person, in particular murder of all protocols, there are other agreements that govern methods and
kinds, mutilation, cruel treatment and torture; means of warfare and the design and use of weapons. Here are
• taking of hostages; a few examples:
• outrages upon personal dignity, in particular humiliating The Hague Conventions were created before the Geneva
and degrading treatment; Conventions of 1949. The Hague Conventions concern
• the passing of sentences and the carrying out of disarmament, the laws of war, and war crimes.
executions without previous judgment pronounced by The Convention on the Prevention and Punishment of
a regularly constituted court, affording all the judicial the Crime of Genocide defines genocide in legal terms. This
guarantees which are recognized as indispensable by convention was adopted by the United Nations (UN) in 1948.
civilized peoples.
55
 The 1951 Convention Relating to the Status of Refugees However, in such scenarios, the actual practical application
is the key legal document that defines who is a refugee, their of international humanitarian law is very challenging. One
rights and obligations, and the legal obligations of states. The reason is that, especially in situations in which armed groups
1967 Protocol supplemented the Convention by removing lack organizational structure, the lines between civilians and
restrictions based on time or location regarding who qualifies combatants sometimes become blurred and knowledge of the
as a refugee. rules of international humanitarian law is often scarce. The
The 1980 Conventional Weapons Convention states that prevalence of such situations suggests the importance of robust
weapons should not cause superfluous injury or unnecessary promotion and education about the rules of international
suffering. Unlike the Geneva Conventions, not all countries in humanitarian law.
the world have signed this particular convention.
HUMAN RIGHTS LAW
APPLICATION OF IHL Another body of law that governs our work, during
It important to know about these conventions. peacetime and conflict, is called human rights law. Human
Unfortunately, you may encounter instances in which these rights law applies at all times, and international humanitarian
laws have been violated, and understanding these conventions law and human rights law are complementary. Some rights can
will help you understand the legal context better. be restricted or suspended by a state during a serious public
Some of these conventions have been accepted as an emergency. However, other aspects of human rights law — such
international standard that all countries are bound by, whether as the prohibition on torture— are non-derogable, meaning
or not they have individually signed the convention. As they cannot be limited in any way, at any time, for any reason,
discussed earlier, this is referred to as customary international even during an armed conflict.
humanitarian law. Fulfilling people’s human rights is what we are doing
Depending on whether a conflict is international, occurring here, so knowing more about this is important. The core of
between two states, or national, occurring within one state, international human rights law is the International Bill of
different pieces of IHL apply.
WHEN AND HOW DOES IHL APPLY?
International humanitarian law applies only to armed
conflicts. For international armed conflicts, the Geneva
Conventions and Additional Protocol I apply. For non-
international armed conflicts, Common Article 3 and
Additional Protocol II apply.
The rules of non-international armed conflict are less
developed than those addressing international armed conflicts.
Though Common Article 3 applies to all non-international
conflicts, Additional Protocol II applies only to situations in
which an armed group meets certain criteria regarding internal
organizational structure and control of territory. Additionally,
governments are often reluctant to recognize the existence of a
non-international armed conflict out of a concern that doing
so might legitimize armed groups operating on territory under
the government’s sovereignty.
When situations of violence fall short of the intensity
of armed conflict, international humanitarian law is not
applicable. In these contexts, human rights law and domestic
legislation apply.
APPLYING IHL TO NON-CONVENTIONAL
CONFLICTS
The past two decades have seen an increase in internal
conflicts involving state failure — such as in Somalia — and
conflicts focused on ethnic identity — such as in the former
Yugoslavia in the 1990s. In these situations, as long as the
threshold of armed conflict has been met, international
humanitarian law is still applicable.

56
Human Rights, which consists of the Universal Declaration
of Human Rights; the International Covenant on Economic,
ENFORCING IHL
Social, and Cultural Rights with its Optional Protocol; and the INTERNATIONAL COURT OF JUSTICE AND
International Covenant on Civil and Political Rights with its INTERNATIONAL CRIMINAL COURT
two Optional Protocols. When one of these international laws is violated, the
The Universal Declaration of Human Rights articulates response will vary. Usually, other states or international
rights for which UN member states pledged to achieve organizations such as the UN use diplomacy to address any
universal respect. It contains 30 articles or 30 fundamental concerns related to breaches of international laws. When this
rights all human beings are entitled to. fails, sanctions involving economic or financial threats or
The International Covenant on Economic, Social, and promises may be used. In addition, treaties with the violating
Cultural Rights states the right to the highest attainable standard states can be suspended by security council members or
of health, life, and basic needs, which applies in peacetime individual member states.
and during conflicts or crises. When we provide health aid, or There are two permanent international courts that
nutrition, we are helping meet this standard. have jurisdiction over international law: the International
The International Covenant on Civil and Political Rights Court of Justice and the International Criminal Court. The
is a treaty that outlines and commits its parties to ensuring the International Court of Justice settles disputes between states,
civil and political rights of individuals, including the right to while the International Criminal Court handles prosecution of
life, freedom of speech and expression, freedom of assembly individuals. It should be noted that there are other international
and freedom of religion, electoral rights, and rights to due ad hoc courts, such as the International Criminal Tribunal for
process and a fair trial. the Former Yugoslavia and the International Criminal Tribunal
There are many examples of how humanitarian for Rwanda.
professionals may apply human rights law:
• upholding a policy of non-discrimination against
MORE ABOUT THE ICC
women, minorities, and members of all religions The International Criminal Court, or ICC, is a permanent
court of last resort. If an individual or group of individuals
• recognizing an obligation to take care of the particular
needs of children and youth violates international law, national governments have the
primary responsibility to hold these individuals accountable. If
• being alert to issues of cultural sensitivity and medical
that state fails to do so or does not have the capacity, then the
ethics
ICC can hold individuals accountable.
• ensuring aid is accessible to all. Sometimes that means
The ICC, which was established by the Rome Statute in
creating separate spaces for women and children.
2002, can only prosecute individuals who are alleged to have
HUMAN RIGHTS LAW SELF-CHECK committed genocide, crimes against humanity, and/or war
Which of the following are instruments of human rights crimes in 2002 or later. While the vast majority of the world’s
law? (Select all that apply) governments are under the jurisdiction of the ICC, some
A. The Universal Declaration of Human Rights countries have chosen not to ratify the Rome Statute.
B. Convention on the Law of the Sea ICC SELF-CHECK
C. The International Covenant on Economic, Social, and True or false? The International Criminal Court (ICC) is
Cultural Rights the court of last resort.
D. International Covenant on Civil and Political Rights
NATIONAL LAWS
In addition to international humanitarian law, humanitarian
aid workers must also follow the laws of the country in which
they are working. Every country has different laws, so it is best
for non-governmental organizations (NGOs) to seek guidance
from local authorities when starting operations in a new
country.
NATIONAL AND INTERNATIONAL LAW SELF-
CHECK
Are you and other humanitarian workers required to follow
local Olivitani law while you are responding to this emergency?

57
 ACTION STUDY
Two major indigenous groups have been living in Olvitana
since the colonial era. Conflict between these groups has
gradually escalated since Olvitana gained independence.
Several years ago, the conflict in Olvitana erupted into a civil
war.
Both sides were accused of using civilians as shields and
looting supplies from civilian homes and farms. Hospitals,
roads, and schools were destroyed by both sides, and were often
targeted to harm the other side’s chance of success.
Application of IHL to this scenario leads to all of the
following conclusions, except:
A. All wounded combatants, combatants no longer
participating in active conflict, and civilians have the
right to receive humane treatment and aid.
B. Both sides must allow aid to be delivered to affected
civilians by impartial actors.
C. In times of war, the government may declare a state of
emergency and forcibly take food and other supplies
from civilians.
D. All parties engaged in conflict must treat prisoners of
war humanely, with access to adequate food, water,
shelter, and health care.

58
 Unit 5 | International Law and
Humanitarian Standards
Section 5.2: Professional Norms and
Standards
PROFESSIONAL NORMS
International humanitarian law, national laws, and human
rights laws apply to everyone. But in addition, humanitarian
agencies and workers have developed their own professional
norms. These are codes and standards we hold ourselves
and our colleagues accountable to; most of them have been
developed over the past 20 years.
The Code of Conduct for the International Red Cross
and Red Crescent Movement and Non-Governmental
Organizations in Disaster Relief sets out norms for how we
should behave and treat those around us when we are working
in crises.
The humanitarian organizations represented in the Inter-
Agency Standing Committee (IASC) have developed resources
to help guide our work.
There are many organizations and initiatives devoted to
developing and disseminating standards for humanitarian
professionals. We will discuss The Sphere Project, People in
Aid, and the Humanitarian Accountability Partnership.
ORIGIN OF THE CODE OF CONDUCT AND TEN
PRINCIPLES OF CONDUCT
Let’s start with the Code of Conduct for the International explicitly or implicitly, the recipient to convert to a particular
Red Cross and Red Crescent Movement and Non-Governmental religion or political ideology.
Organizations in Disaster Relief. The Code of Conduct
was sponsored and written by the members of the Steering
Committee for Humanitarian Response (SCHR), in 1994.The
Code of Conduct was designed to set standards for professional
behavior. It didn’t address technical specifics of aid provision,
such as how many calories food rations should contain, or how
many latrines there need to be per family. It mainly focused on
how we as aid workers should behave.
THE CODE OF CONDUCT AND TEN PRINCIPLES be the alleviation of suffering, with no political motivations.
OF CONDUCT
Take a moment to explore this summary of the ten
principles of conduct, and consider how they might apply to
your work. You can find the full explanations in the Resources
section. Click on each of the principles, and then proceed to the traditions, both when implementing aid projects (for example,
next section.
59
ONE
One. “The humanitarian imperative comes first.”
That means all citizens, regardless of nationality, have a
right to humanitarian aid, and the international community
recognizes its obligation to provide humanitarian assistance
whenever it is needed.
TWO
Two. “Aid is given regardless of the race, creed or nationality
of the recipients and without adverse distinction of any kind.
Aid priorities are calculated on the basis of need alone.”
We as humanitarian professionals agree to provide aid to
those who need it, regardless of where they are from, or what
their ethnicity, gender, sexual orientation, race, or religion is.
Much of this is codified in international law.
THREE
Three. “Aid will not be used to further a particular political
or religious standpoint.”
Some NGOs have religious affiliations, or are affiliated
with national political parties. This principle simply states
that humanitarian aid workers will not be used to coax, either
FOUR
Four. “We shall endeavor not to act as instruments of
government foreign policy.”
Many governments have humanitarian funds they donate
to NGOs to support our work. This article states that we will
continue to maintain our independence, by making sure that
we never use aid to act on behalf of a government, collect
information for a government, etc. The sole goal of aid should
FIVE
Five. “We shall respect culture and custom.”
We aim to respect local norms and cultures and religious
design of hospital wards, clinics, and feeding centers that allow
women and girls to have culturally appropriate privacy) and as
individuals working in this country.
SIX
Six. “We shall attempt to build disaster response on local
capacities.”
All communities, even those struggling with conflict and
disasters, have tremendous resilience and capacity, in addition
to their vulnerabilities. Whenever possible, humanitarian aid
should aim to strengthen local capacity instead of weakening it.
This can be done by, for instance, hiring local staff, buying from
local markets, and purchasing local materials.
SEVEN
Seven. “Ways shall be found to involve program beneficiaries
in the management of relief aid.”
In order to have a successful response, the local community
must be involved in the design and implementation, as well as
in reviewing programs and their impact. This ensures that aid
is culturally appropriate, relevant, and helps make sure it will
be acceptable to the recipients. We never want to impose aid on
a community. They must have a role in it in order for it to be
accepted and successful.
EIGHT
Eight. “Relief aid must strive to reduce future vulnerabilities
to disaster as well as meeting basic needs.”
Relief does a lot of direct good for the affected population,
but occasionally can cause harm if not done thoughtfully. NGOs
such as ours have years of expertise in how best to ensure aid is
helpful and does not harm, but we can always do better. Also,
as aid is implemented, it is important to think of how it affects
vulnerability to future disasters.
NINE
Nine. “We hold ourselves accountable to both those we
seek to assist and those from whom we accept resources.”
This involves accountability of us as staff internally to
our own NGO, but also to donors, and most importantly to
the populations we are trying to help. This includes financial
accountability, reporting on the use of resources, and accurately
reflecting the impact of our programs (for example, what
worked? What didn’t work?).
TEN
Ten. “In our information, publicity and advertising
activities, we shall recognize disaster victims as dignified
humans, not hopeless objects.”
Survivors of a disaster are no different than our own families
and friends. Or ourselves. As such, we need to respect them in
the ways we portray them either personally or in national and
international settings, such as with the media.
CODE OF CONDUCT SELF-CHECK
What is the first and foremost principle in the Code of
Conduct?
A. “The humanitarian imperative comes first.”
B. “Aid is given regardless of the race, creed or nationality
of the recipients and without adverse distinction of any
kind. Aid priorities are calculated on the basis of need
alone.”
C. “Aid will not be used to further a particular political or
religious standpoint.”
D. “We shall endeavor not to act as instruments of
government foreign policy.”
E. “We shall respect culture and custom.”
F. “We shall attempt to build disaster response on local
capacities.”
G. “Ways shall be found to involve program beneficiaries
in the management of relief aid.”
H. “Relief aid must strive to reduce future vulnerabilities
to disaster as well as meeting basic needs.”
I. “We hold ourselves accountable to both those we seek
to assist and those from whom we accept resources.”
J. “In our information, publicity and advertising activities,
we shall recognize disaster victims as dignified humans,
not hopeless objects.”
INTER-AGENCY STANDING COMMITTEE
RESOURCES
Since 1992, the humanitarian organizations represented
in the Inter-Agency Standing Committee (IASC) have agreed
on several policy statements, working tools, guidelines,
and manuals, which help to set the normative frameworks,
common standards, and good practice for all the humanitarian
community.
These IASC products have been developed through a
collective process involving multiple actors, including the UN,
IOM, Red Cross/Red Crescent, and NGOs.
Given the inclusive membership of the IASC, once endorsed
by the IASC, these products carry a broad consensus within the
humanitarian community and guide the work of many UN and
non-UN humanitarian partners.
These guidelines cover many central aspects of humanitarian
work, including:
• IASC Guidelines on Mental Health and Psychosocial
Support in Emergency Settings
• IASC Operational Guidelines on Human Rights and
Natural Disasters
• Guidelines on Gender-Based Violence Interventions in
Humanitarian Settings
These guidelines and many more can be found in the
Resources section.
60
 PROFESSIONAL STANDARDS • Protection Principle 3: Protect people from physical and
OK, the Code and the guidelines from the IASC are psychological harm arising from violence and coercion.
about how we work. But since the late 1990s, there have been • Protection Principle 4: Assist people to claim their rights,
many organizations and initiatives devoted to developing and access available remedies, and recover from the effects of
disseminating standards for humanitarian professionals. These abuse.”
standards describe in much more detail what we do, what aid
CORE STANDARDS
we should provide, and how we should go about our work.
These are much more akin to professional operating standards. The Sphere Handbook also talks about Core Standards,
Some you are likely to hear about and should be familiar with which are key guidelines for all of us in the field. These
are: are standards that apply to all sectors of humanitarian aid,
regardless of the specific sector a program addresses. These
• The Sphere Project
include coordination, collaboration, transparency, and good
• People In Aid needs assessment.
• The Humanitarian Accountability Partnership (HAP)
I will describe each of these briefly, but you can access much MINIMUM STANDARDS
more information on all of them in the Resources section. In addition to these core principles, the Sphere Handbook
establishes minimum standards by sector, describing what
THE SPHERE PROJECT we should be striving to meet when we design and deliver a
In 1997, the Sphere Project was launched to create core humanitarian response.
minimum technical standards for all humanitarian assistance The four sections are:
and improve the quality of delivery globally. • Minimum standards in water supply, sanitation, and
The Sphere Project resulted in the publication of a book hygiene promotion.
commonly known as the “Sphere Handbook,” though its official • Minimum standards in food security and nutrition.
name is Humanitarian Charter and Minimum Standards
• Minimum standards in shelter, settlement, and non-food
in Humanitarian Response. It is an important technical
items.
resource for every humanitarian worker in the field. The
Sphere Handbook has many different components, including • Minimum standards in health action.
The Humanitarian Charter, four Protection Principles, Core THE SPHERE PROJECT SELF-CHECK
Standards, and minimum standards by sector. Click a Sphere The Sphere Standards Handbook includes: (Select all that
Handbook element to continue. After you’ve explored each apply)
element, you can proceed to the next section.
A. Minimum standards in water supply, sanitation, and
Sphere developed an e-learning course on the Sphere hygiene promotion
Handbook and how to use it in key aspects of humanitarian
B. Minimum standards in food security and nutrition
work, you can find a link to it in the resources section.
C. Minimum standards in shelter, settlement, and non-
HUMANITARIAN CHARTER food items
Essentially, the Humanitarian Charter says all people D. Minimum standards in health action
affected by a disaster or conflict have a right to humanitarian E. Protection Principles
aid.
Local and national organizations and government are the
PEOPLE IN AID
first to provide aid to those who need it, and have a primary role At the same time as agencies were developing the Sphere
in providing aid to their own population. When local or national Standards, they also came together to build an organization
civil society and government agencies can’t meet this role, it is and standards that focused on advocating, supporting, and
our role and responsibility, as the international humanitarian recognizing good practice in the management of people in
community, to help—but only in close collaboration with local the humanitarian and development sectors worldwide. The
and national authorities. organization People In Aid was formed to drive this, and
the cornerstone of its work is People In Aid’s Code of Good
FOUR PROTECTION PRINCIPLES Practice. The intention of the Code, and of People In Aid’s
The four Protection Principles from the Sphere Handbook work, is to improve agencies’ support and management of their
guide our work in delivering humanitarian aid. staff and volunteers.
• “Protection Principle 1: Avoid exposing people to further
FOCUSING ON THE AFFECTED POPULATION
harm as a result of your actions.
All the standard and guidelines I have described focus on
• Protection Principle 2: Ensure people’s access to
us, what we do. The final set of guidelines I want to tell you
impartial assistance – in proportion to need and without
about focus on the communities caught up in crisis and how we
discrimination.
should be accountable to them.
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 ACCOUNTABILITY
NGO workers have been given the responsibility to help
people affected by crisis who need humanitarian assistance.
It is our responsibility to make sure we do what we set out to
achieve according to internationally accepted standards and
in close collaboration with the communities we are trying to
assist.
We are accountable to the disaster-affected communities,
the host government, our partners, our organization, our
donors, and to other humanitarian workers. In order to ensure
we are accountable, it’s important to get good input from
everyone involved – at all stages of preparedness and response.
In planning stages, communities affected by crises and
disasters can let you know what they think, what they need, and
how they should get it. As work progresses, we can consult with
them about whether they are getting the services they need,
and how they view the situation.
It’s important to think about how your program will meet
all laws, standards, and guidelines from the very beginning.
Because that will help ensure accountability.
We need to provide input and feedback to others in the
system, too, such as our donors and our partners. We provide
them with information and, in turn, get feedback from them
about whether they think we’re achieving what they expected,
and in some cases what they funded, us to achieve.
HUMANITARIAN ACCOUNTABILITY
PARTNERSHIP (HAP)
The Humanitarian Accountability Partnership International
(HAP) is a partnership of humanitarian and development
organizations dedicated to ensuring greater accountability to
people affected by crises through the promotion of a Standard
on Quality and Accountability. It also certifies organizations
against that Standard.
HAP’s work is intended to complement other standards
related to accountability to people affected by crises, including
the work of the Sphere Project and People In Aid.
The HAP Standard defines a set of ten Standard Principles internationally accepted standards and work closely with the
and a set of six specific requirements or “benchmarks.” Each communities we are trying to serve. In addition to holding
benchmark has a list of related requirements and means of ourselves and our NGOs accountable, this knowledge about
verification—the information that will be used to determine laws and standards can help us hold the international response
whether the benchmark is met – as well as additional system accountable, as well.
requirements for organizations working with partners.
ACTION STUDY 1
You are developing a proposal for a new water and
sanitation program in Olvitana. You want to be sure that your
program meets the highest standards of accountability. Where
would you look for the following information? Click and drag
the orange box to the correct location.
1. Liters of water needed per person per day.
2. Standards to measure the accountability of your
program to affected populations.
3. Guidelines for managing and supporting your program
personnel
A. Humanitarian Accountability Partnership (HAP)
Standards
B. People In Aid
C. Sphere Handbook
ACTION STUDY 2
Humanitarian Corps Worldwide adheres to the standard
guidelines that have been developed to ensure accountability.
This includes providing programmatic reports, adhering to
humanitarian principles, and consulting with the affected
community. In this Olvitana disaster, who are we accountable
to? (Select all that apply)
A. The Olvitani government
B. Your organization, its mission, standards, and
overarching principles
C. Your donors
D. The Olvitani people
REVIEW
I hope I’ve been helpful in telling you some of the laws and
standards that govern what we do.
This is an important part of accountability. NGO workers
like you and me have been given the responsibility to help
people affected by crisis and conflict who need humanitarian
assistance. It is our responsibility to make sure we follow
We are accountable to the disaster-affected communities,
the host government, our partners, our organization, our
donors, and to other humanitarian workers. In order to ensure
we are accountable, it’s important to get good input from
everyone involved – at all stages of preparedness and response.

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 Unit 5 | International Law and
Humanitarian Standards
Unit 5 Answers Section

SECTION 5.1 | INTERNATIONAL HUMAN RIGHTS LAW SELF-CHECK

ANSWER: A, C, and D. The Universal Declaration of
HUMANITARIAN LAW AND Human Rights, The International Covenant on Economic,
HUMAN RIGHTS LAW Social, and Cultural Rights, and International Covenant on
Civil and Political Rights are all instruments of human rights
IHL SELF-CHECK 1 law.
ANSWER: False. In addition to military personnel, IHL ICC SELF-CHECK
regulates conduct during armed conflict with the aim of
ANSWER: True. This means when an individual or group
protecting civilians, including humanitarian aid workers, and
of individuals violates international law, national governments
combatants who are no longer taking part in the conflict.
have the primary responsibility to hold these individuals
IHL SELF-CHECK 2 accountable. If national governments fail to do so or do not have
ANSWER: A and C. IHL seeks to limit the effects of armed the capacity, then the ICC can hold individuals accountable for
conflict but it does not regulate whether a State may actually committing genocide, crimes against humanity, and/or war
use force. crimes.

GENEVA CONVENTIONS SELF-CHECK 1 NATIONAL AND INTERNATIONAL LAW SELF-

ANSWER: True. The fourth convention protects civilians CHECK
and civilian objects. However, all four of the conventions ANSWER: Yes. As visitors in Olvitana, we must follow the
include language that protects individuals not taking part in local laws even during an emergency. If you find that local law
hostilities. conflicts with international humanitarian law or human rights
law, consult with your supervisor.
GENEVA CONVENTIONS SELF-CHECK 2
ANSWER: False. Certain rules contained in the Additional ACTION STUDY
Protocols are part of customary international law and apply ANSWER: C. In times of war, the government may declare
regardless of whether or not a country has signed these treaties. a state of emergency but may not forcibly take food and other
supplies from civilians.
COMMON ARTICLE 3 SELF-CHECK 1
ANSWER: A, B, C, and D. Common Article 3 protects
individuals who are NOT involved in combat. This includes SECTION 5.2 | PROFESSIONAL
civilians, including humanitarian workers, and “hors de combat”
or individuals “outside the fight.” It is especially important NORMS AND STANDARDS
to note that as humanitarian workers, it is our adherence to
CODE OF CONDUCT SELF-CHECK
humanitarian principles, such as impartiality, that protects us.
ANSWER: A. “The humanitarian imperative comes
COMMON ARTICLE 3 SELF-CHECK 2 first.
” All citizens, regardless of nationality, have a right to
ANSWER: A, B, C, and E. Under Common Article 3, humanitarian aid, and the international community recognizes
individuals who are not taking part in hostilities have the right its obligation to provide humanitarian assistance whenever it
to be kept safe from violence, treated humanely, and to due is needed.
process if they are charged with a crime.

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 THE SPHERE PROJECT SELF-CHECK
ANSWER: A, B, C, D, and E. All of these are in the Sphere
Standards Handbook.
ACTION STUDY 1
ANSWER: 1. C, 2. A, 3. B
ACTION STUDY 2
ANSWER: A, B, C, and D. It’s important that you be aware
of whom we are accountable to as humanitarian actors.

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 Glossary
CENTRAL EMERGENCY RESPONSE FUND (CERF)
This pooled funding mechanism was established by the
United Nations General Assembly on December 15, 2005
and launched in March 2006. It was established to create
a more timely and reliable response to victims of disasters
and complex emergencies. The fund is replenished annually
through contributions from governments, the private sector,
foundations, and individuals. Only UN agencies and the IOM
can directly access these funds and programming must be either
lifesaving or part of core emergency humanitarian programs.
This fund is divided into two elements: one for rapid responses
and one for underfunded emergencies. Although not directly
accessible by NGOs, CERF funding is sometimes channeled
through UN agencies to NGOs as implementing partners.
CLUSTER APPROACH
The cluster approach is a mechanism that can help to
address identified gaps in response and enhance the quality
of humanitarian action. It is part of a wider reform process
aimed at improving the effectiveness of humanitarian response
by ensuring greater predictability and accountability, while
at the same time strengthening partnerships between NGOs,
international organizations, the International Red Cross and
Red Crescent Movement, and UN agencies. Clusters are groups
of humanitarian organizations, both UN and non-UN, in each
of the main sectors of humanitarian action, e.g. water, health,
and logistics. They are designated by the Inter-Agency Standing
Committee and have clear responsibilities for coordination.
THE CODE OF CONDUCT FOR THE CONSORTIUM
INTERNATIONAL RED CROSS AND RED An association, partnership, or union made up of various
CRESCENT MOVEMENT AND NGOS IN DISASTER organizations coming together for a common goal. In this
RELIEF course, it refers to consortia of NGOs, such as the International
The Code of Conduct for the International Red Cross and
Red Crescent Movement and Non-Governmental Organizations
in Disaster Relief was prepared jointly by the International
Federation of Red Cross and Red Crescent Societies (IFRC) and
International Committee of the Red Cross (ICRC), sponsored
by the members of the Steering Committee for Humanitarian
Response (SCHR), in 1994.The Code of Conduct was designed
to set standards for professional behavior.
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COMMON HUMANITARIAN FUND (CHF)
The Common Humanitarian Fund (CHF) is a type of
pooled funding mechanism. The CHF provides funding for
UN organizations, NGOs, and the Red Cross/Red Crescent,
but not government agencies. Priority is given to underfunded
emergencies. Currently six countries are recipients of CHF
funds. A local board, including NGO and UN agencies,
administer these funds.
COMPLEMENTARITY (A PRINCIPLE OF
PARTNERSHIP)
One of five Principles of Partnership established by the
Global Humanitarian Platform in 2007, the principle of
complementarity states: “The diversity of the humanitarian
community is an asset if we build on our comparative advantages
and complement each other’s contributions. Local capacity
is one of the main assets to enhance and on which to build.
Whenever possible, humanitarian organizations should strive
to make it an integral part in emergency response. Language
and cultural barriers must be overcome.”
CONSOLIDATED APPEAL PROCESS (CAP)
The Consolidated Appeal Process (CAP) was a tool used
prior to 2013 by humanitarian stakeholders to plan, coordinate,
implement, and monitor activities in major sudden onset and/or
complex emergencies that require a system-wide humanitarian
response. Although the CAP was not a funding tool, it did
contain estimates of funding needs for the response.
Council of Voluntary Agencies (ICVA), InterAction, and the
Steering Committee for Humanitarian Response (SCHR).
EMERGENCY RELIEF COORDINATOR (ERC)
The Under-Secretary-General for Humanitarian Affairs
and Emergency Relief Coordinator (ERC) is the head of the UN
Office for the Coordination of Humanitarian Affairs (OCHA).
The ERC is responsible for the oversight of all emergencies
requiring UN humanitarian assistance. He or she also acts HUMANITARIAN COUNTRY TEAM (HCT)
as the focal point for governmental, intergovernmental, and The Humanitarian Country Team (HCT) is a strategic and
non-governmental relief activities. The ERC plays a critical operational decision-making and oversight forum established
advocacy role in specific crises and in the promotion of and led by the Humanitarian Coordinator. Composition
humanitarian action. The ERC also leads the Inter-Agency includes representatives from the UN, International
Standing Committee (IASC). Organization for Migration, NGOs, and the Red Cross/Red
EMERGENCY RESPONSE FUND (ERF) Crescent Movement. The HCT is responsible for agreeing on
common strategic issues related to humanitarian action.
A pooled funding mechanism, the ERF is an OCHA-
managed fund that aims to provide rapid and flexible funding HUMANITARIAN IMPERATIVE
to in-country actors to address urgent and unforeseen The concept of the “humanitarian imperative” means that
humanitarian needs. ERFs fund UN, International Organization action should be taken to prevent or alleviate human suffering
for Migration, NGOs, and Red Cross/Crescent, and distribute arising out of disaster or conflict, and that nothing should
funding in allocations that average US$250,000. override this principle.
EQUALITY (A PRINCIPLE OF PARTNERSHIP) HUMANITARIAN PRINCIPLES
One of five Principles of Partnership established by the First declared as seven principles in Vienna in 1965 by
Global Humanitarian Platform in 2007, the principle of the Red Cross and Red Crescent Movement, the Fundamental
Equality states: “Equality requires mutual respect between Humanitarian Principles have been universally adopted as four
members of the partnership irrespective of size and power. The humanitarian principles per UN General Assembly Resolution
participants must respect each other’s mandates, obligations 46/182 (19 December 1991). Humanitarian assistance must be
and independence and recognize each other’s constraints and provided in accordance with these humanitarian principles of
commitments. Mutual respect must not preclude organizations humanity, neutrality, impartiality, and independence.
from engaging in constructive dissent.”
HUMANITARIAN PROGRAMME CYCLE (HPC)
GENEVA CONVENTIONS The Humanitarian Programme Cycle (HPC) is a
The Geneva Conventions are a set of treaties regarding coordinated series of actions undertaken to help prepare for,
humanitarian issues of civilians and combatants in wartime. manage, and deliver humanitarian response. It consists of a
There are four Geneva Conventions, last revised in 1949, and number of elements coordinated in a seamless manner, with
three Additional Protocols - two from 1977, and one from 2005. one step logically building on the previous and leading to
GLOBAL HUMANITARIAN PLATFORM (GHP) the next. The steps in the HPC include: preparedness, needs
assessment and analysis, strategic response planning, resource
A forum launched in July 2006 to bring together on an
mobilization, implementation and monitoring, and operational
equal footing the three main families of the wider humanitarian
review and evaluation.
community: non-governmental organizations, the Red Cross
and Red Crescent Movement, and the United Nations and HUMANITY (A HUMANITARIAN PRINCIPLE)
related international organizations in order to enhance the The notion of humanity means that when we seek to assist,
effectiveness of humanitarian action. we treat individuals as human beings with dignity who should
HUMANITARIAN COORDINATOR (HC) be respected.
The Humanitarian Coordinator (HC) is responsible for IASC PRINCIPALS
leading and coordinating the efforts of all UN and non-UN Inter-Agency Standing Committee (IASC) Principals
humanitarian organizations when a country is affected by a are the heads of all IASC member agencies or their
major disaster or conflict. The Emergency Relief Coordinator representatives. Their responsibilities include: making strategic
(ERC) selects the HC from a small pool of qualified professionals, and operational policy decisions for the IASC; advocating
and his or her appointment is approved by the Inter-Agency common humanitarian principles, collectively or individually,
Standing Committee (IASC). The HC leads the Humanitarian on behalf of the IASC; and bringing issues to the attention of
Country Team (HCT) in deciding the most appropriate the Secretary-General and the Security Council through the
coordination solutions for the country, taking into account the Emergency Relief Coordinator.
local situation. The HC is charged with leading the relief effort
while ensuring that the entire response is principled, timely, IMPARTIALITY (A HUMANITARIAN PRINCIPLE)
effective, efficient, and contributing to longer-term recovery Impartiality means that humanitarian aid must be
efforts. delivered impartially, regardless of, for example, gender, race,
or ethnicity. People should get assistance on the basis of need,
and need alone.

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INDEPENDENCE (A HUMANITARIAN PRINCIPLE) INTERNATIONAL ORGANIZATION FOR
Independence means that humanitarian action must be MIGRATION (IOM)
autonomous from the political, economic, military, or other The International Organization for Migration (IOM) is
objectives that any actor may hold with regard to areas where an inter-governmental organization. The IOM is dedicated to
humanitarian action is being implemented. promoting humane and orderly migration for the benefit of
all. It does so by providing services and advice to governments
INTER-AGENCY STANDING COMMITTEE (IASC) and migrants. IOM works to help ensure the orderly and
The Inter-Agency Standing Committee (IASC) is a unique humane management of migration, to promote international
inter-agency forum for coordination, policy development, cooperation on migration issues, to assist in the search for
and decision-making involving the key UN and non-UN practical solutions to migration problems, and to provide
humanitarian partners. It was established in June 1992 in humanitarian assistance to migrants in need, be they refugees,
response to General Assembly Resolution 46/182. UN agencies displaced persons, or other uprooted people.
are permanent members and others have standing invitations
to participate. The IASC is the only decision-making group L3 EMERGENCY
related to humanitarian response that includes UN agencies, A Level 3, or L3, emergency response is declared when
the World Bank, the International Organization for Migration a humanitarian crisis requires a system-wide response from
(IOM), the International Committee of the Red Cross (ICRC), Inter-Agency Standing Committee (IASC) organizations.
the International Federation of Red Cross and Red Crescent The Emergency Relief Coordinator, in consultation with the
Societies (IFRC), and NGOs. Their focus is primarily on IASC Principals, determines when an L3 response is required
development of policies and guidelines for field application. The based on the criteria of scale, complexity, urgency, capacity,
IASC is a forum that allows humanitarian agencies to coordinate and reputational risk. The L3 declaration commits IASC
on an on-going basis. This way, when disaster strikes, they have organizations to mobilizing the resources and establishing the
addressed common concerns and co-developed mechanisms systems necessary to contribute to the response in a way that
for coordination. complements each agency’s capacity and supports inter-agency
coordination.
INTERNATIONAL COMMITTEE OF THE RED
CROSS (ICRC) NEUTRALITY (A HUMANITARIAN PRINCIPLE)
The ICRC is a private humanitarian institution that has The principle of neutrality dictates that humanitarian actors
a unique authority under international humanitarian law to must not take sides in hostilities or engage in controversies of a
protect the life and dignity of the victims of international and political, racial, religious, or ideological nature.
internal armed conflicts. The ICRC works worldwide to provide
humanitarian help for people affected by conflict and armed
NON-GOVERNMENTAL ORGANIZATION (NGO)
violence and to promote the laws that protect victims of war. An organized entity that is functionally independent of,
and does not represent, a government or State.
INTERNATIONAL FEDERATION OF RED CROSS
AND RED CRESCENT SOCIETIES (IFRC) POOLED FUNDING MECHANISMS
The International Federation of Red Cross and Red Money gathered from donors and combined into a single
Crescent Societies (IFRC) is a global humanitarian organization ”pot,” which is then distributed to agencies. The pooled funding
that coordinates and directs international assistance following mechanism was created as part of the humanitarian reform
natural and man-made disasters in non-conflict situations. process of 2005, and can help lead to a more coordinated
The IFRC works with National Societies in responding response. Pooled funds also may reduce administrative costs
to catastrophes around the world. Its relief operations and may be simpler to administer for donors. Examples of
are combined with development work, including disaster pooled funds include the Emergency Response Fund, Central
preparedness programs, health and care activities, and the Emergency Response Fund, and Common Humanitarian Fund.
promotion of humanitarian values. PRINCIPLES OF PARTNERSHIP
INTERNATIONAL HUMANITARIAN LAW (IHL) The Global Humanitarian Platform adopted the Principles
A set of rules which seek, for humanitarian reasons, to of Partnership in 2007 to promote and enhance the role of
limit the effects of armed conflict. It protects persons who are partnership in humanitarian response. The five Principles
not or are no longer participating in the hostilities and restricts of Partnership are: equality, transparency, results-oriented
the means and methods of warfare. International humanitarian approach, responsibility, and complementarity.
law is also known as the law of war or the law of armed conflict.

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 RED CROSS AND RED CRESCENT MOVEMENT
The Red Cross and Red Crescent Movement consists of
several distinct organizations that are legally independent
from each other, but are united within the movement through
common basic principles, objectives, symbols, statutes, and
governing organizations. The movement’s parts are: The
International Committee of the Red Cross (ICRC), The
International Federation of Red Cross and Red Crescent
Societies (IFRC), and National Red Cross and Red Crescent
Societies.
RESIDENT COORDINATOR (RC)
The Resident Coordinator (RC) coordinates development
operations for all UN agencies in a given country. In a complex
emergency, the RC or another UN official may be designated
as the Humanitarian Coordinator (HC). In large-scale
complex emergencies, a separate HC is often appointed. In
countries where large multi-disciplinary UN field operations
are in place, the Secretary General might appoint a Special
Representative (SRSG). The relationship between the SRSG
and the RC/HC is defined in a note issued by the Secretary-
General on 11 December 2000 (Note of Guidance on Relations
Between Representatives of the Secretary-General, Resident
Coordinators and Humanitarian Coordinators, dated 30
October 2000).
RESPONSIBILITY (A PRINCIPLE OF
PARTNERSHIP)
One of five Principles of Partnership established by the
Global Humanitarian Platform in 2007, the principle of
responsibility states: “Humanitarian organizations have an
ethical obligation to each other to accomplish their tasks
responsibly, with integrity and in a relevant and appropriate
way. They must make sure they commit to activities only when
they have the means, competencies, skills and capacity to
deliver on their commitments. Decisive and robust prevention
of abuses committed by humanitarians must also be a constant
effort.”
This e-learning course is made possible by the generous support of the American people through the United States Agency for
International Development (USAID). The contents are the responsibility of International Medical Corps, Concern Worldwide,
and the Humanitarian Academy at Harvard, and do not necessarily reflect the views of USAID or the United States Government.
68
RESULTS-ORIENTED APPROACH (A PRINCIPLE
OF PARTNERSHIP)
One of five Principles of Partnership established by the
Global Humanitarian Platform in 2007, the principle of results-
oriented approach states: “Effective humanitarian action must
be reality-based and action-oriented. This requires results-
oriented coordination based on effective capabilities and
concrete operational capacities.”
TRANSPARENCY (A PRINCIPLE OF
PARTNERSHIP)
One of five Principles of Partnership established by the
Global Humanitarian Platform in 2007, the principle of
transparency states: “Transparency is achieved through dialogue
(on equal footing), with an emphasis on early consultations
and early sharing of information. Communications and
transparency, including financial transparency, increase the
level of trust among organizations.”
UNITED NATIONS (UN)
The United Nations (UN) is an intergovernmental
organization established to promote international cooperation.
Its objectives include maintaining international peace and
security, promoting human rights, fostering social and
economic development, protecting the environment, and
providing humanitarian aid in cases of famine, natural disaster,
and armed conflict.
UNITED NATIONS OFFICE FOR THE
COORDINATION OF HUMANITARIAN AFFAIRS
(OCHA)
OCHA is the part of the United Nations Secretariat
responsible for bringing together humanitarian actors to ensure
a coherent response to emergencies. OCHA also ensures there
is a framework within which each actor can contribute to the
overall response effort.