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This document forms part of the 4th edition of the UNHCR Emergency Handbook and was generated from the digital
Emergency Handbook system.

Policy on Emergency Preparedness and

Response

Key points
Country operations should monitor risks regularly and should promptly alert headquarters
to any situation that potentially requires an emergency response.
Declaration of a Level 1 emergency triggers active preparation for a likely humanitarian
emergency before it occurs.
Activation of a UNHCR emergency triggers: emergency procedures and accountabilities;
automatic and simplified access to UNHCR's human, financial and material emergency
resources; accelerated partnership arrangements; and the establishment of specific
refugee coordination and decision-making mechanisms at headquarters and at country
and regional level.
From the outset of an emergency, foster the inclusion of persons of concern and engage
with all relevant stakeholders, including government and non-government development
actors, financial institutions, the private sector, civil society, and local organizations. Seek
to build with them an inclusive, comprehensive and well-prepared emergency response,
which mobilizes resources, includes capacity building activities, and interconnects and
cooperates with national social, economic and community safety nets, projects and
development plans.
A UNHCR emergency declaration is internal. It is distinct from an IASC system-wide
scale-up, which the Emergency Relief Coordinator (ERC) activates in response to a
sudden onset or rapidly deteriorating humanitarian situation in a given country.
The expiration of an emergency declaration does not necessarily imply that the crisis it
relates to has come to an end. It indicates rather that the situation has been stabilized and
that it is no longer necessary to mobilize exceptional capacities and emergency
procedures and systems. Should the situation worsen, an emergency may be declared
again at a later stage.

1. Overview
In 2017, UNHCR introduced a new policy on emergency preparedness and response that replaced
UNHCR's 2015 Policy on Emergency Response Activation, Leadership and Accountabilities(the 2015
Policy). It provides the framework for UNHCR's engagement in emergency preparedness and response,

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in line with UNHCR's Strategic Directions 2017-2021.

Drawing on a comprehensive review of the 2015 Policy, the UNHCR's experience of recent global
displacements and the changes in the operational environment and global development, the 2017 policy
introduced a number of improvements. In particular, it reinforces the focus on preparedness;
strengthens field orientation; sharpens provisions on leadership and accountability; improves and
simplifies access to human, financial and material resources; and enhances partnership and inclusivity.

The 2017 Policy was revised in 2019 to align with the Inter-Agency (IASC) emergency-related protocols,
ensure consistency with recently updated guidance on emergency preparedness and response and
reflect on the approach and spirit of the Global Compact on Refugees.

To save life, provide protection, deliver assistance, and promote solutions for persons of concern, the
policy seeks to design and deliver emergency operations as comprehensively as possible by fully
engaging UNHCR's institutional capacities and strengthening its procedures, thereby enabling UNHCR
to act with urgency, speed, and agility during emergencies.

Specifically, the policy sets out UNHCR's internal emergency preparedness and response mechanisms,
including the criteria that determine their activation and deactivation and level, and describes the effects
of activation on:

Access to resources and simplified procedures.

Internal leadership arrangements.

Processes for reviewing and reinforcing operational capacity.

Headquarters coordination and decision-making arrangements.

Accountability.

Partnerships with relevant stakeholders, including government and non-government development

actors, financial institutions, the private sector, and civil society organizations.

In addition, it lists key principles that should guide emergency preparedness and response activities.
UNHCR staff and partners should:

Adopt a ‘whole-of-UNHCR' approach and affirm the pivotal role of country operations.

Place people at the centre.

Respect the overriding duty to 'Do no harm' and act on a 'No regrets' basis.

Accept State responsibility and humanitarian complementarity.

Diversify partnerships.

Find solutions and link them to development.

Prioritize the duty of care.

Innovate.

The policy applies to all UNHCR staff and affiliate personnel in the field and at headquarters who are

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engaged in leading, managing, delivering, overseeing or supporting any aspect of emergency
preparedness and response. Compliance with the policy is mandatory.

2. When and for what purpose

UNHCR defines a humanitarian emergency as any situation in which the life, rights or well-being of
refugees and other persons of concern to UNHCR will be threatened unless immediate and appropriate
action is taken; and which demands an extraordinary response and exceptional measures because
current UNHCR capacities at country and regional level are insufficient.

UNHCR declares an emergency to ensure that, together with its partners and interlocutors, it provides
an appropriate level of attention and support when it prepares for and responds to potential, unfolding or
escalating emergencies.

The policy sets out actions that should be taken before emergencies occur to sharpen UNHCR's
preparedness. These actions include risk analysis, preliminary planning, training, and resource
mobilization.
Based on the existing capacity of the country operation(s) and Regional Bureau(x) concerned, the policy
defines three levels of emergency which take into account the emergency's expected magnitude,
complexity and consequences. The aim is to ensure that UNHCR can assume its leadership
responsibilities and deliver an effective and accountable response. Based on these criteria, UNHCR
applies the following definitions:

Emergency Level 1: proactive preparedness. Level 1 is activated when a country operation must
prepare actively for a likely humanitarian emergency but faces such significant gaps in resources,
staffing or expertise that it is unable to plan or implement preparedness actions for a high risk
emergency scenario. Activation triggers support by the Regional Bureau, the Division of Emergency,
Security and Supply (DESS) and other divisions. Support may include preparedness missions and
initiatives to raise human, financial and material resources.

Emergency Level 2: stepped-up Bureau support. Level 2 is activated when an operation requires
additional support and resources, mainly from the relevant Regional Bureau, in order to respond in a
timely and effective manner.

Emergency Level 3: whole-of-UNHCR response. A level 3 emergency is activated in exceptionally

serious situations where the scale, pace, complexity or consequences of the crisis exceed the existing
response capacities of both the relevant country operation(s) and relevant Regional Bureau(x), and
require a corporate, whole-of-UNHCR response.

3. Summary of guidance and/or options

Pre-emergency phase: preparedness

All UNHCR Representatives and country operations will:

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 Annually complete a risk analysis and take minimum preparedness actions (MPAs) in accordance
with the guidance set out in UNHCR's Preparedness Package for Refugee Emergencies (PPRE).

Place the country operation on the high alert list for emergency preparedness (HALEP) whenever an
emergency is assessed to be ‘at high risk' or is ‘escalated'.

In addition, they will:

Designate a senior-level Preparedness Focal Point who shall be responsible for self-assessment
and other preparedness reporting in accordance with the advanced preparedness actions (APAs)
set out in the PPRE.

Develop and implement a preparedness action plan (PAP), including (where appropriate) a
scenario-based contingency plan, in collaboration with government counterparts and other
partners.Contribute to the development of a regional refugee response plan or other resource
mobilization instrument.

Integrate security conditions in planning as early as possible, consistent with the organization's
duty of care.

Align all activities with the approaches promoted by the GCR, including (but not limited to) its
support for partnerships.

Where risks are associated with a non-refugee situation, participate in inter-agency processes led
by the UN Resident Coordinator (RC) or Humanitarian Coordinator (HC), and lead relevant cluster
preparedness initiatives, applying the emergency response preparedness (ERP
) approach set out by the Inter-Agency Standing Committee (IASC).

Procedure for activating an emergency; determining the duration of emergency levels

To activate a Level 1 emergency (proactive preparedness), the DESS and Bureau Directors provide
analysis and recommend activation to the Assistant High Commissioner for Operations (AHC-O), who
confirms their recommendation and informs all members of the Senior Management Committee. An
Emergency Level 1 activation automatically expires after six months.

To activate a Level 2 emergency (stepped-up Bureau support),the AHC-O recommends activation to the
High Commissioner (HC), after consulting DESS and the relevant Bureau(x). The High Commissioner
declares the activation of a Level 2 emergency via a UNHCR broadcast message.

To activate a Level 3 emergency (whole-of-UNHCR response),the AHC-O recommends activation to the

High Commissioner, after consulting the DESS and Bureau(x). The High Commissioner declares a
Level 3 emergency via an all staff email; in refugee situations, the High Commissioner also notifies the
United Nations Emergency Relief Coordinator (ERC) and the IASC Principals.
The level of a sudden-onset emergency is determined within 72 hours of the initial event, as verified by
the concerned Bureau(x).

UNHCR Level 2 and Level 3 emergency declarations remain in force for a maximum of six months, after
which they expire automatically. In exceptional circumstances, after consulting the Senior Level Working
Group (SLWG), the AHC-O may recommend to the High Commissioner a three month extension of the
activation. The maximum duration of a Level 2 or Level 3 emergency declaration is therefore nine
months. Any recommendation to extend must be made before the initial six month declaration expires.

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The expiration of an emergency declaration does not necessarily imply that the emergency itself has
ended. Rather, it indicates that advanced preparedness actions are in place or that the operational
response has been stabilized and is being delivered sustainably through regular processes and
procedures, and that as a result it is no longer necessary to mobilize exceptional capacities or apply
emergency procedures and systems. If the situation subsequently worsens, a new emergency
declaration may be made.

Activation of an Inter-Agency Standing Committee (IASC) system-wide

scale-up is declared by the Emergency Relief Coordinator. System-wide mobilization occurs when it is
necessary to respond to a sudden onset or rapidly deteriorating humanitarian situation in a given
country, including at
subnational level, but capacity to lead, coordinate and deliver humanitarian assistance does not
match the scale, complexity and urgency of the crisis. In such emergencies, UNHCR normally:

Leads the Protection, Shelter, and Camp coordination and camp management (CCCM) clusters
when displacement is conflict-related.

Determines its interventions and cluster leadership on a case by case basis when displacement is
due to a natural disaster.

UNHCR fulfils its commitments as an IASC member in accordance with the IASC Protocol. Where it
deems fit, it will initiate or maintain a UNHCR emergency declaration at the same time as an IASC
system-wide scale-up activation. A Joint Note
prepared and agreed by UNHCR and the United Nations Office for the Coordination of Humanitarian
Affairs (OCHA) determines the coordination arrangements in ‘mixed' IDP/refugee situations.

IASC scale-up activation automatically expires after a maximum period of six months. The IASC
Emergency Directors Group (EDG) meets towards the end of the activation period to review the
situation.

In exceptional circumstances and before the scale-up activation expires, the EDG may recommend to
the ERC that scale-up activation should be extended for an additional three months (to a total maximum
duration of nine months). Exceptional circumstances might include a further deterioration of the
situation, based on an Operational Peer Review (OPR) recommendation.

Note. For more information, see the Entry on Inter-Agency Standing Committee (IASC) System-wide
Scale-Up Activation
.

Consequences of an emergency declaration

Leadership
In Level 3 emergencies, the High Commissioner confirms the existing leadership arrangements or
makes new arrangements. Where a Representative's profile and experience are not evidently suited to
the new situation, the High Commissioner can request the Representative to step aside. The

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Representative may also request such a course of action. Where the Representative steps aside, a staff
member who has the required seniority, experience and aptitudes is deployed to assume interim or
permanent leadership of the operation.

Country-level coordination of refugee emergencies

In refugee emergencies, the Representative immediately:

Forms a multi-functional emergency team in the Country Office, Sub-Office or across the operation
(as appropriate) to support management of the emergency operation on the ground.

Puts in place the arrangements that are set out in the Refugee Coordination Model (RCM), while
fostering a multi-stakeholder approach and inclusive engagement with partners as set out in the
GCR.

Ensures that all key functional and response areas are adequately and effectively coordinated by
staff of UNHCR or partners who have an appropriate profile, experience and authority.

Regional refugee coordination

In Level 3 refugee emergencies that cover more than one country, the HC may designate a Regional
Refugee Coordination function. This responsibility is normally allocated to a senior staff member in the
relevant Regional Bureau. The person appointed provides overall internal and external coordination and
oversight of emergency preparedness and the response operation. The accountabilities, responsibilities,
authority and reporting lines of the function are set out in terms of reference (TORs) that are drafted
either by the Director of the relevant Regional Bureau, or by the High Commissioner if the emergency
situation affects more than one Regional Bureau.

Coordination
In Level 1 emergencies, the Regional Bureau determines coordination arrangements.

In Level 2 and Level 3 emergencies, the following arrangements are established to support the country
operation and enable it to mount and deliver an effective response:

The AHC-O convenes a Senior Level Working Group (SLWG). This is composed of the Directors of
the relevant Regional Bureau(x) and Divisions, notably the Division of Emergency, Security and
Supply (DESS), the Division of International Protection (DIP), the Division of Programme Support
and Management (DPSM), the Division of Human Resources (DHR), the Division of External
Relations (DER) and the Division of Information Systems and Telecommunications (DIST). The
SLWG meets within two weeks to review the operation's performance and confirm that coordination,
leadership, and operational delivery arrangements are effective. It continues to monitor the overall
effectiveness of the operation, including its strategy, inter-agency relations, management, operational
performance, and external relations, and meets as required to achieve this purpose.

An Emergency Cell (EC) is chaired by the Director or Deputy Director of the relevant Regional
Bureau, with technical support from DESS. The EC coordinates support for the country operation(s),
troubleshoots, and generally ensures that all the requirements and issues associated with an
effective response are addressed rapidly and effectively. Membership of the EC is confined to a
small number of senior staff who have authority to take decisions on behalf of the relevant Bureau(x),
DESS, DIP, DPSM, DHR, DER and DIST. The country operations are represented by their
respective Bureau(x) and maintain technical contact with the divisions as required.

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 The EC may establish specialist or subject-specific cells. These focus on issues and challenges, and
track the progress of required actions in specific functional areas. The main areas include: human
resources, supply, protection, programme, public information, resource mobilization, security, and
administration and finance.

Automatic mobilization of resources

On declaration of a Level 2 or Level 3 refugee or IDP emergency, emergency procedures, guidelines

and tools become applicable and central and regional emergency resources (human, financial and
material) are made available to the operation(s) concerned.

Human resources
Accelerated recruitment of local staff, including temporary and affiliate staff, is a priority.

Other human resources can be deployed by Emergency Services (ES) and DHRM through the Senior
Corporate Emergency Roster (SCER), functional rosters, the Emergency Response Team (ERT) roster,
or standby partnership arrangements. Staff may also be sought from affiliate workforces, technical
divisions, among former ERT members, and through other short and longer deployment arrangements.
In Level 3 emergencies, multi-functional ES response teams, led by a Principal or Senior Emergency
Coordinator, will be deployed automatically, in addition to technical staff specialized in life-saving and
other key sectors.

Emergency deployment should transition to more stable staffing arrangements as soon as possible,
using temporary assignments or appointments and Fast Track assignments. Vacancies for Fast Track
assignments should normally be announced within 8 weeks.

Financial resources
Contingency plans, regional refugee response plans and humanitarian response plans should set out
resource requirements and associated supplementary budgets and mobilization strategies. These
strategies should appropriately reflect and integrate the participation of partners. In declared Level 2 or
Level 3 emergencies, the authority to draw on UNHCR's operational reserve to meet emergency needs,
and increase the Operational Level (OL), is delegated to (a) the relevant Regional Bureau director for
requests up to a maximum of USD 5 million, and (b) the AHC-O for requests up to USD 10 million. Such
emergency appropriations and associated OL increases can only be used for the online project system
(OPS) and administrative budget and obligation documents (ABOD) in country operations. Initial
allocations should be released within 24 hours to cover immediate response needs, including critical
security requirements.

Material resources
On request, DESS will promptly release material resources that an emergency response considers
critical. The Global Stock Management provides core relief items (CRIs) for up to 600,000 persons of
concern, as well as vehicles and security equipment for operations, and other materials as needed.
Where conditions allow, cash-based interventions and local procurement should be preferred to
international procurement.

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Partnerships
Project partnership agreements
To facilitate partnership engagement, special conditions apply to partnership agreements during the first
6 months of Level 2 and Level 3 emergencies.

Partner selection is decentralized to country operations. The Representative can waive the
mandatory implementing partner selection process without seeking the approval of the Implementing
Partnership Management Service / Division of Financial and Administrative Management
(IPMS/DFAM).

When selecting partners, the threshold for small scale projects is USD 100,000, the number of
objectives or outputs under one agreement is not limited, and prior registration of partners on the
Partner Portal is not necessary. A simplified Letter of Mutual Intent (LOMI) can be issued for up to 6
months. Exceptionally an extension may be authorized by the country operation for a short period,
but no later than 31 December of the current budget year.

Strategic partnership engagement

Where large movements of refugees occur, the GCR approach is to be applied in collaboration with
Governments, UN agencies, NGO partners, development, business and financial institutions, and local
stakeholders. Collaboration should cover, inter alia: the admission, reception and registration of new
arrivals; support for immediate and on-going needs; assistance to local and national institutions and
communities that receive refugees; solution initiatives; and relations with national social, economic and
community safety nets.

Joint senior level missions, real-time reviews, and evaluations

The Director or Deputy Director of DESS, accompanied by the Director or Deputy Director (or
equivalent) of the concerned Regional Bureau, and the Regional Refugee Coordinator if applicable,
should undertake a Joint Senior Level Mission (JSLM) within two weeks of the declaration of a
UNHCR Level 3 or Level 2 emergency. Its purpose should be to review the overall response,
including the operation's protection and operational strategy, and provide operational guidance. On
completing the mission, the team initially provides an oral briefing, followed by a written report to the
AHC-O within one week, summarising its findings and recommendations. The AHC-O reviews the
recommendations and takes action accordingly. He or she may escalate to the High Commissioner
actions that require his or her decision.

The relevant Regional Bureau and DESS undertake a joint real-time review of each UNHCR Level 3
refugee emergency situation three months after it starts. Reviews take the form of a joint mission or
workshop. The review invites key stakeholders to take stock of the timeliness, appropriateness and
effectiveness of UNHCR's operational response, monitors its application, and recommends
adjustments and course corrections that may be necessary. In consultation with the SLWG, DESS
may undertake a similar exercise in Level 2 emergencies.

Within 18 months (or earlier if so decided by the High Commissioner), the Evaluation Service
commissions and oversees an evaluation of each UNHCR Level 3 emergency operation. Evaluations
of Level 1 or Level 2 emergencies may also be commissioned in accordance with UNHCR's policy on
Evaluations.

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NOTE. Under the protocol that regulates activation of IASC humanitarian system-wide scale-ups, an
operational peer review (OPR) must take place within 5 months of activation, and an inter-agency
humanitarian evaluation must take place within 9-12 months. For details, see the Entry on Inter-Agency
Standing Committee (IASC) system-wide scale-up activation
.

Accountability
UNHCR is accountable to persons of concern for all aspects of its emergency preparedness and
response, in accordance with its institutional, policy and strategic documents, including UNHCR's
Strategic Directions 2017- 2021
, and the IASC's Accountability to Affected Populations (AAP) Operational Framework
. The High Commissioner, members of the Senior Executive Team (SET), the Assistant High
Commissioner for Operations, Division Directors, Bureau Directors, Regional Representatives and
Country Representatives are accountable for fulfilling specific responsibilities during the pre-emergency
and emergency response phases of an operation. For a summary of their accountabilities, please see
the attached table.

4. How to implement this at field level?

To identify potential high risk scenarios, country operations should regularly monitor the likelihood of
refugee emergencies and participate in inter-agency risk-monitoring processes. The Representative is
responsible for alerting headquarters promptly if any situation potentially requires an emergency
response, based on an analysis of the country situation and application of the criteria set out in the
Entries on Preparedness package for refugee emergencies (PPRE
) and High alert list for emergency preparedness (HALEP)
.

Representatives and senior staff need to familiarize themselves with the Representative's
accountabilities during both the pre-emergency and response phases in order to understand what
actions they, the country office, and relevant regional bureau should take.

To implement the policy effectively, country operations need to engage with host governments at all
levels, and with partners and other stakeholders, in accordance with the refugee coordination model
and the Inter-Agency Standing Committee's transformative agenda
. They should adopt and implement a multi-stakeholder approach that engages inclusively with partners,
in accordance with the GCR.

In principle, an emergency declaration is in force for a maximum of six months, after which it expires
automatically. In exceptional circumstances, after consulting the SLWG, the AHC-O may recommend to
the High Commissioner a three month extension. The Representative's analysis of the situation makes a
crucial contribution both to activation of an emergency and to any extension.

For technical guidance, UNHCR staff and partners at Headquarters and in the field should refer to the U

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NHCR Emergency Handbook
. The Handbook will continue to issue and update emergency tool kits (with checklists, tools and
practical guidance) on key areas, including human resources, resource allocation, programming,
protection, resource mobilization, supply, and administration and finance.

Need help?

CONTACT Emergency Services in the Division of Emergencies, Security and Supply (DESS). At:
hqemhand@unhcr.org.

Annexes

Policy on Emergency Preparedness and Response - UNHCR HCP 2017 Rev.1

Summary - Table of Accountabilities 2019

Version and document date

Version: 4.7
Document date: 13.06.2022

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