Consolidated Appeal Process (CAP): UNICEF Checklist 2011
for Country Offices, Regional Offices and Headquarters (Working Document)
The purpose of the UNICEF CAP checklist is to clarify UNICEF internal processes and procedures for CAP
submissions between the various organizational levels (i.e. CO, RO, HQ); ensure consistency of information across
UNICEF submissions and highlight areas where further attention is needed, as well as address planning vis a vis the
Core Commitments for Children in Humanitarian Action (CCCs).
Definitions
Common Humanitarian Action Plan (CHAP)
The CHAP is the equivalent of a joint framework addressing humanitarian action and is the basis for developing a
Consolidated Appeal or a Flash Appeal. The CHAP can serve as a reference for joint action. However, once a CHAP
includes project proposals or another appeal for funds, it will be called a Consolidated Appeal.
Flash Appeal (FA)
When crises break, humanitarian agencies (usually the government of the appealing country is consulted throughout
the process) can develop a FA to address the most urgent needs. FA’s are normally issued within 1-2 weeks of the
onset of an emergency with duration of 3 to 6 months. After a FA is issued a FA revision is undertaken normally after
3-6 weeks after the issuance of the original appeal to incorporate new assessment information and new
developments.
Consolidated Appeal (CAP1)
If an emergency continues beyond the timeframe of a FA(3-6 months), the Emergency Relief Coordinator (ERC) in
consultation with the IASC Working Group and concerned Humanitarian Country Team (HCT ) may determine that
the emergency is either complex or major, necessitating a CAP or CAP-like document. Preparation of a CAP takes
place in September /October with a mid-year review the following year in June/July. A CAP can be for one year or
more. Projects included can be planned for more than a year but their budgets must be broken into 12-months
periods. In situations where there is sensitivity to the CAP process – flexibility remains to negotiate with host
governments for ‘CAP-like’ documents – for example Emergency Humanitarian Action Plans (EHAP’s) and other
documents which follow the same processes but under a different name that can be more acceptable to the
Government of the affected State. The CAP should include emergency preparedness and risk reduction. An early
recovery approach must be promoted throughout the response. A phased approach for early recovery is normally
taken and the RC/HC is expected to clarify the process for the UN Country Team/UN Humanitarian Country Team.
IASC Gender Marker
The IASC Gender Marker facilitates tracking gender allocations in humanitarian projects. It aims to strengthen
humanitarian outcomes by ensuring programming and analysis is based on the different needs, concerns, capacities
and contributions of women, men, girls and boys. The IASC Gender Marker is a required element in humanitarian
funding schemes and was implemented in 12 countries in 2011. IASC Gender Standby Capacity (GenCap) experts at
country level can assist your teams as can the Gender Policy team in EMOPS.2
1
The acronym ‘CAP’ is used more frequently/commonly used rather than ‘CA for Consolidated Appeal
Chad, Ethiopia, Niger, Zimbabwe, Yemen, Somalia, DRC, Sudan (N), CAR – Philippines and Haiti still planned for recruitment.
Other Gencaps available for Global Clusters; Pacific; and roaming Gencaps.
2
Links with Central Emergency Response Fund (CERF)
The CERF request are be linked to projects in the FA or CAP. If a CERF grant request is submitted first, for example in
the case of CERF Rapid Response window at the onset of a crisis, a large part of the information and analysis
submitted to support it can be easily transferred to the FA or CAP. Likewise if new projects are being requested to be
funded by CERF – these new projects will have to be incorporated into the FA or CAP. The same is relevant for underfunded CERF requests. http://ochaonline.un.org/cerf/CERFHome/tabid/1705/language/en-US/Default.aspx
Links with UNICEF’s Humanitarian Action for Children (HAC) and other resource mobilisation tools
HAC formerly known as Humanitarian Action Report (HAR) – normally includes the CAP for a country. Note that HAC
budgets and programme scope can exceed that of the CAP if key UNICEF priorities have not been included in the CAP;
but budgets should not be less than the CAP. The HAC also draws attention to countries outside the CAP framework.
The document provides a funding ceiling for the appealing countries and regions submitting appeals .
The Humanitarian Action Update (HAU) is not an appeal in itself but a tool through which an existing humanitarian
appeal (HAC chapters, CAP or FA) can be updated in case of an additional emergency taking place in the country or if
an existing crisis worsens or improves thus changing humanitarian needs on the ground. The HAU allows for the
revision of the requirements (ceiling). http://www.unicef.org/hac2011/
Immediate Needs Document (IND) When UNICEF’s response requires funding in excess of what can be reprogrammed
in an event of an emergency, a brief IND is issued. This occurs within 24–72 hours of the emergency if there are no
inter-agency appeals (IA) planned/ or if the IA is delayed. Note that it will be necessary to clarify that the IND will be
superseded by UNICEF’s contribution to the IA appeal once the latter has been launched. The IND also establishes a
funding ceiling for the country. http://www.intranet.unicef.org/emops/emopssite.nsf/root/Pagexxresponse
Emergency Programme Fund (EPF) . The Emergency Programme Fund (EPF) is a loan mechanism established to
strengthen UNICEF’s capacity for timely emergency response. Funds can be accessed within 24 -48 hours of proposal
submission to HQ. http://www.intranet.unicef.org/emops/emopssite.nsf/root/Pagexxresponse
Appeals and the UNICEF 1 Year Programme Cycle
AWP
Mid-year
Review
HAC
Mid-year
Review
Optional
Real Time Evaluations
CAP
Mid-year
Review
CERF
UFE
2nd Rnd
IND / HAU
Ongoing assessments
Monitoring
Flash Appeal
EMERGENCY
*CERF- RR
*EPF
Ongoing assessments
Flash Appeal Review
CERF
UFE
1st Rnd
Other evaluations
AWP
CAP
HAC
Consolidated Appeal Process Checklist, 2011
*Relevant for Flash Appeals, Flash Appeal Reviews, CAP’s and CAP Mid-year reviews and ‘CAP-like’ appeals.
** Note that different scenarios particularly Level 3 emergencies or multi-country emergencies call for a flexibility
of approach to these processes and that this will be communicated as required.
Appeal Planning and UNICEF
Country Offices will receive guidance from OCHA/RC/HC on timelines for the process for FA and CAP and the Humanitarian
Country Team (HCT) will organise itself aiming to complete the cycle below through the FA and CA process:
→ Analyse the context → Assess needs → Build scenarios → Set goals→ Identify roles and priorities → Plan the
response → Appeal for funds → Implement a coordinated programme → Monitor and evaluate → Revise the plan→
Report → (back to analyse…for new appeal)
 UNICEF CO takes part in the Inter Agency process led by OCHA/RC/HC (UNICEF Representative, Deputy representative
or Emergency Specialist to take the lead)
 Appeals should be designed to achieve expected results. CCCs should be introduced early on in UNICEF projects and
subsequent internal UNICEF planning documents and M & E frameworks (120 day plans etc) to enable reporting on
results.
 Results framed in the appeals should also map onto the UNICEF Annual Work Plan (AWP)
Online Project System (OPS) http://ops.unocha.org/ The OPS allows CAP partners to edit, manage, submit and revise
their FA and CAP projects online, as well as peer-review other projects.
 CO Appeal Focal Point (normally Representative, Deputy Representative, or Emergency Specialist) ensure that at least
all Programme Section Chiefs and Chief Planning/ME , UNICEF cluster coordinators are signed to the OPS (country level
delegation) to input and edit UNICEF project submissions; if it’s the first time using OPS, request guidance from OCHA
or REA (Regional Emergency Advisor).
 RO Appeal Focal point can sign up to OPS with country level delegation to help edit projects when needed; if the focal
point wants a global overview sign up to OPS at HQ level.
 For UNICEF-led clusters (country level) that have a large number of project proposals submitted by cluster members
ensure that the peer review group established by the cluster are registered to OPS to help review cluster member’s
submission of projects. Cluster coordinators should also remind cluster members to register into OPS to upload their
project sheets.
 Surge Staff – note that staff on surge expected to work with OPS will have to also register or re-register on to OPS for
country level delegation.
UNICEF Programme Sections
 Aim to have the least number of UNICEF projects per sector/cluster. There is sometimes a tendency to splinter projects
narrowly, but they should not be splintered excessively, lest this invite narrow donor earmarking. Nor is such
splintering necessary for coordination: as long as each project’s information is clear about what needs it will cover in
which locations, the project can be quite aggregated, even to the ‘programme’ level. As a rule of thumb, aim for one
project per cluster, usually covering multiple locations and activities (specified in the project details).
 Please ensure that your beneficiaries are distinguished by sex and age and that beneficiary numbers in the project
sheets are aligned with the cluster/sector plans.
 Please ensure that beneficiary disaggregated data and numbers in the tables and the narrative are consistent with each
other. (e.g. sometimes there is reference to women and children in the narrative but then only reference to children is
made in the beneficiary numbers; oftentimes children are lumped into one category rather than distinguishing
between boys and girls, including adolescent boys and girls)
 Ensure use of current language and programmatic commitments as outlined in the CCCs e.g . WASH programmes
(Water, Sanitation and Hygiene) rather than WATSAN. e.g Core commitments to Children in Humanitarian Action
rather than Core commitments to Children in Emergencies etc.
 Please ensure projects are informed by a gender analysis, and that gender dimensions are reflected in project
objectives, needs assessment, project design, activities and outcomes.
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 Cross check your targets for inter-sectoral consistency i.e. latrines built for schools and Child Friendly Spaces ...numbers
should be consistent through the WASH, Child Protection and Education project sheets
 Ensure you include all relevant cross-cutting issues are also addressed( HIV, youth etc)
 Ensure Gender-based Violence prevention and response coordination and programming is addressed including
adequate budget lines.
Where UNICEF country Office is Cluster/Sector lead agency (CLA)
Guidance for CLA’s and cluster/sector coordinators has been produced for appeals. Please ask your Global Cluster Leads or
OCHA in your country for the guidance if you have not seen this. Main points to consider are the Terms of Reference for
Sector/Cluster Leads at the Country Level. 3
http://oneresponse.info/Coordination/ClusterApproach/publicdocuments/Forms/DispForm.aspx?ID=24
 Within the UNICEF projects submitted for the FA/CAP distinguish cluster/sector coordination costs – the best way to do
this is by creating a separate project sheet for coordination. Typical cluster budgets include costs for a coordinator or
portion of double hatting officer; information manager; support funds for assessments and surveys.
 Data included in the appeal should come from official UN sources e.g. Water and sanitation data included in the CAP
documents should come from the official UN source for MDG 7 - the Joint Monitoring Programme (JMP) managed by
WHO/UNICEF. Currently many countries continue to reference the UNDP HDR (which itself is drawn from the JMP, but
often with a timelag and missing sanitation data).
Indicators & Humanitarian Performance Monitoring
UNICEF has developed an approach to strengthen Humanitarian Performance Monitoring to improve the CO response
through, standardizing and strengthening UNICEF cooperation partner monitoring and reporting, increasing UNICEF CO
capacity to monitor through field monitoring visits, assessing UNICEF progress
 Agree with your clusters 2-3 key indicators which will be used to monitor results, track progress and identify key gaps.
The Performance Monitoring Toolkit can guide you
http://www.intranet.unicef.org/emops/emopssite.nsf/root/PageCCCPM1
 Clusters also have global cluster indicators available
Budgets
 OPS has very few budget lines so for smaller budget lines please integrate direct programme costs to a few budget
lines . Make a decision how UNICEF will do this across all sectors and convey to your team how you will include
programme support costs in the projects (they should ideally be incorporated into programme budget lines, including
security etc - as these are part of the costs of running programmes)
 Remember to add 7% HQ recovery costs 4
 Once finalized please double check that your budget calculations add up
 Check that your overall budget submissions (across all UNICEF projects) logically reflect the evolving ceilings set in HAC,
HAU, IND etc. The FA or CAP will set a new ceiling for the CO so in theory the overall budget should remain the same or
increase (unless the former documents had over-estimated needs – if so this will have to be communicated to RO,
EMOPS and PARMO asap).
Financial Tracking System (FTS) http://www.reliefweb.int/fts. FTS records all humanitarian funding information provided
by donors, recipient agencies, and country teams, and turns it into analytical tables. These are key tools for advocacy, realtime monitoring, and operational decision-making (including use of pooled funds). FTS has also become an on-line project
database that offers project information for donors and coordinators. Donors can see IASC Gender Marker codes on the
global Financial Tracking System (FTS) and may use this information when they choose what projects to fund.
4
Suggested: multiply the existing sub-total by 0.07 and add it to the total
4
 PARMO will ask for regular updates to review FTS tracking matrixes on a monthly basis and for CO to provide updated
allocations of contributions to projects that are in the appeal.
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Process and Clearance of FA’s and CAP’s
The table below highlights key actions that need to be taken at CO, RO and HQ level through the CAP submission process. For ease of reference the flow of action follows the steps
set out in OPS (as indicated by the arrows below).
Field Submission
Cluster
UNICEF CO
1
Agency HQ’s
UNICEF Cluster Coordinators @ Country Level
Regional Office
OCHA HQ
CAP Publication
HQ
Global Cluster
Start of the Process
 CO alerts REA (Regional Emergency
Advisors) and EMOPS focal points (in the
Humanitarian Field Support Section) of
upcoming FA or CAP
 Alert RO if advocacy or support is needed
around the appeal/assessments
2
Humanit. Coord.
 Join in needs assessment to fill key information gaps in
preparation for the appeal
 Analyze needs assessment results relevant to the
cluster, to map the needs (as preparation for making an
operational cluster plan for coverage) and to analyze
them for priorities and interaction with needs in other
sectors.
 Update the contact / membership list; ensure all
appropriate UN and non-UN partners, the Gender
Marker Focal Point and cross cutting issues’ working
groups/advisors/focal points and focal points for crosscutting issues (HIV/AIDS etc) are included.
 REA/RO CAP focal point will
raise any issues related to
potential and ongoing
appeals that need to be
flagged at HQ with the IASC
CAP sub-working group.
 Provide support as request
by CO
 EMOPS, HFSS will send
regular updates on
discussions on appeals to
RO and will represent
UNICEF at the IASC CAP
sub-working group.
 PARMO will maintain
communication with CO’s
to update FTS
 Provide guidance
and support as
requested by the
country cluster
coordinators/and
or CLA
 Establish internal deadlines
with the CO to share project
submissions for review.
 Establish RO sectoral advisors
and a RO CAP focal point if
different from REA (as REA is
normal entry point) – inform
CO CAP focal point and
EMOPS, HFSS.
 REA/RO CAP focal point will
inform EMOPS, HFSS if there
are sectors that cannot be
covered by RO during the
 Programme Division
Emergency focal points
with EMOPS-HFSS will
provide support to RO’s if
there are some sectors
that cannot be covered by
the region in terms of
providing CO guidance,
support in development
of project sheets.
 In some specific
Field Submission – development of agency project submissions and cluster/sector plans
 Provide the Regional Emergency Adviser
(REA) with a CAP focal point at country
level who will provide oversight on this
process and will coordinate with country
level UNICEF programme sections and
UNICEF led Clusters.5
 Establish internal deadlines with the REA
to share project sheets for review and
technical clearance by RO. Note that
clearance of FA/CAP at Regional level. is a
quality check against the CCCs.
 CO’s start liaising and sharing draft of
project sheets with REA or any other focal
 Meet with cluster members to agree cluster priorities,
draft SMART objectives & indicators.
 Present draft criteria for selection & prioritisation
 Present CAP project on-line format and on-line system
user guide.
 Develop with the cluster an operation plan for who will
cover what, where and when. If there are gaps
encourage cluster member organizations to cover them.
If there are redundancies (more than one organization
planning to cover the same needs in the same location),
resolve them. When the cluster has agreed on the
operational plan, each organization uploads a draft
project onto OPS that reflects its part of the plan.
5
and rare cases (as
agreed at IA level)
the GCC can
provide direct
support to the
process at country
level
Representative always remains responsible for the CO emergency preparedness and response – including as Cluster Lead Agency - the preparation of UNICEF’s inputs to Appeals can be
delegated to the Deputy Representative or Chief, Planning M&E or Emergency Specialist if the function exists at CO level.
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UNICEF CO
points designated by the REA . The REA will
ensure that project sheets are reviewed by
RO staff (including RO sectoral advisors)
depending on RO capacity.

3
Regional Office
 Cluster/sector coordinator starts writing the response
plan chapter. Include cross-cutting issues – Gender, HIV,
Youth, etc
 Cluster/sector coordinator e-mails the draft cluster
response plan to full cluster, including cross-cutting
theme groups or advisors, for comment; incorporates
comments, noting controversial or contradictory
comments for discussion in meeting.
appeal phase to ensure
adequate support can be
provided to the region to
cover this function.
 The Regional Director (or by
delegation the REA) internally
approves UNICEF programmes
for and UNICEF projects for
inclusion into the FA/CA6 (PPP
Manual).
HQ
Global Cluster
Cluster - the Review Process
 UNICEF sections to participate in their
relevant cluster discussions to review
project submissions on OPS.
 Adjust UNICEF project submissions as per
discussions and suggestions of cluster
review.
4
UNICEF Cluster Coordinators @ Country Level
 Second meeting of full Cluster team or project selection
committee to peer-review all project proposals, approve
those meeting the criteria for selection in the CAP and
honestly reflecting the division of labour in the
operational plan of coverage, and rating the priority
among the selected projects, per the general CAP
prioritisation criteria, plus any additional cluster-specific
filtering on which the group agrees. Discuss and agree
any outstanding issues in response plan chapter.
 Cluster/Sector Coordinators e-mails chapter to OCHA
country office, and signals that cluster review of projects
on OPS is finished, by deadline.
Humanitarian Coordinator - Clearance Process
 The HC with the UNHCT or a peer review
group will look at the inclusiveness of the
CAP process; ensuring that only needsbased, appropriate, and appropriately
budgeted projects are selected for
inclusion in the CAP and that they cover
the map of needs without gaps or
redundancies7; ensuring that selected
projects are prioritized objectively and
transparently within the prioritisation
6
PPP Manual http://www.intranet.unicef.org/Policies/DHR.nsf/cc58cfbb4d01337f85256720005e2cd7/e12930044a77cfbe85256d28006e52b3?OpenDocument
In the cluster approach, decisions on selection and prioritization of projects for the appeal (and hence funding requirements) are done with increasing effectiveness by clusters, through peer-review methods. This ensures that prioritization and
funding requests are based on technical assessment and vetting of projects at field level.
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7
UNICEF CO
UNICEF Cluster Coordinators @ Country Level
Regional Office
HQ
Global Cluster
 REA/RO CAP focal point will
inform EMOPS,HFSS regarding
the UNICEF projects that have
been cleared by RO.
 REA/RO CAP focal point please
cross-check with CO that the
final UNICEF project sheets
that are uploaded and cleared
by Clusters and/or HC at field
draft stage reflect the final CO
and RO revisions.
 Alert EMOPS HFSS if there are
any major issues to flag at this
stage of the process.
 EMOPS HFSS will receive
the final documents for
final review of UNICEF
projects with a 24-48
hour turnaround. EMOPS
HFSS will coordinate with
PD Emergency focal
points and UNICEF GCC’s
to review UNICEF project
sheets by sector.
 PD Emergency focal
points will flag any key
issues in the project
sheets directly with the
CO, RO sectoral advisors,
copying in the REA/CAP
focal point and EMOPS
HFSS
 Substantial changes
(especially to budgets)
can only be made once
information comes from
RO/CO and has been
approved by the cluster
lead and the HC at
country level.
 The GCC will
review cluster
coordination
project sheets
 GCC’s will flag any
key issues in the
project sheets
directly with the
Country level
Cluster
Coordinators
Substantial
changes (especially
to budgets) can
only be made once
information comes
from RO/CO and
has been approved
by the cluster
coordinator and
the HC at country
level.
process (done by clusters) .
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Agency HQ – Review Process
 Check on OPS to see if the final UNICEF
project submissions are correct.
 If there are changes to be made please flag
with clear details of changes needed to
REA/RO CAP focal point . Note that major
changes to budgets or submission of new
projects approval will have to be sought
from the relevant cluster and the HC.
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OCHA HQ Review and Publication
 The appeal will be published online
thereafter changes and adjustments can
be made with discussion with cluster
coordinators and HC.
EMOPS Humanitarian Field Support Section Regional Coverage
WCARO, TACRO, CEE/CIS – Sara Bordas Eddy [email protected]
ESARO, MENA – Francois Ducharme [email protected] (will change in July 2011)
EAPRO, ROSA and HQ EMOPS CAP Focal Point - Jalpa Ratna [email protected]
HQ FTS Focal Point: Maria Hartono [email protected]
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