Guideline EMERGENCY RESPONSE PREPAREDNESS
GuidelineEMERGENCYRESPONSEPREPAREDNESSJuly 2015IASC Task Team on Preparedness andResilienceDraft for Field Testing
JULY 2015EMERGENCY RESPONSEPREPAREDNESS (ERP)RISK ANALYSIS AND MONITORINGMINIMUM PREPAREDNESSADVANCED PREPAREDNESSAND CONTINGENCY PLANNINGDRAFT FOR FIELD TESTING
This BETA Version of the GuidanceModule was prepared by the TaskTeam on Preparedness and Resilienceof the Inter-Agency StandingCommittee (IASC). The Group is composed of representatives fromIASC UN agencies, the InternationalFederation of the Red Crossand NGOs.The BETA Version will be revisedand finalised in 2016 to take accountof feedback from practitionersand further development in guidanceand tools.
CONTENTSPREFACEINTRODUCTIONSection 1: The Elements of ERPThe Elements of ERPWho is involvedManagement Accountability55791111Implementing Risk Analysis and Monitoring1315171920SECTION 3: MINIMUM PREPAREDNESS ACTIONS (MPAs)Implementing the MPAs2126SECTION 4: ADVANCED PREPAREDNESS ACTIONS (APAs)AND CONTINGENCY PLANNINGAdvanced Preparedness Actions (APAs)27SECTION 2: RISK ANALYSIS AND MONITORINGRisk AnalysisRisk MonitoringCommunicating with HeadquartersContingency PlanningImplementing APAs and Contingency PlanningANNEXESAnnex 1: Risk GraphAnnex 2: Generic Risk Monitoring Indicatorsfor Evolving HazardsAnnex 3: MPA ChecklistAnnex 4: MPA Checklist TemplateAnnex 5: APA ChecklistAnnex 6: APA Checklist TemplateAnnex 7: Contingency Plan2929333435363842465054
List of acronyms44WDatabase: Who does What Where and WhenCAPConsolidated Appeal ProcessCADRICapacity for Disaster Reduction Initiative (UN)CERFCentral Emergency Response FundCHFCommon Humanitarian FundCLACluster Lead AgencyCODCommon Operational DatasetCPContingency PlanningEDGEmergency Directors’ GroupERCEmergency Relief CoordinatorERPEmergency Response PreparednessEWMEarly Warning MonitoringFODFundamental Operational DatasetFTSFinancial Tracking ServiceGCLAGlobal Cluster Lead AgencyHCHumanitarian CoordinatorHCTHumanitarian Country TeamHIRHumanitarian Indicator RegistryHNOHumanitarian Needs OverviewHPCHumanitarian Programme CycleHRPHumanitarian Response PlanIARRMInter-Agency Rapid Response MechanismIAESInter-Agency Emergency SimulationIAHEInter-Agency Humanitarian EvaluationIASCInter-Agency Standing CommitteeIFRCInternational Federation of the Red Cross and Red Crescent SocietiesIOMInternational Organization for MigrationL3Level three emergency responseMPAMinimum Preparedness ActionsMIRAMulti-Cluster/Sector Initial Rapid AssessmentMTGMonitoring Technical GroupNGOsNon-Governmental OrganizationsOCHAOffice for the Coordination of Humanitarian AffairsOPROperational Peer ReviewOPSOnline Projects SystemRCResident CoordinatorSOPStandard Operating ProceduresUNCTUnited Nations Country TeamUNDACUnited Nations Disaster Assessment and Coordination TeamUNDAFUnited Nations Development Assistance Framework
PrefaceIntroductionThe IASC Task Team on Preparedness and Resilience has developedthe ‘Emergency Response Preparedness’ (ERP) approach to enable theinternational humanitarian system to apply a proactive approach toemergency preparedness. The ERP guidance builds on the importanceplaced by the IASC Transformative Agenda on preparedness on boththe programmatic and financial side and, in particular, for HCT and IASCorganizations to act on specific early warning indicators to engage ininter‐agency contingency planning and other coordinated preparednessactions to improve collective response readiness. The ERP approachcan be complementary to development action, e.g. through an UNDAF,that seeks to build national and local resilience, including preparednesscapacity – especially where international and national capacity can beclosely coordinated. The ERP replaces the ‘Inter-Agency ContingencyPlanning Guidelines for Humanitarian Assistance’ as developed in 2001and updated in 2007.The primary aim of the ERP approach is to optimise the speed andvolume of critical assistance delivered immediately after the onset of ahumanitarian emergency.In the majority of emergencies, external support cantake days and in some cases weeks to arrive. Therefore, it isvital that there is a plan in place, based on theavailable in-country capacity, to deal with the initialphase of an emergency.This package provides practical guidance to assist Resident/HumanitarianCoordinators1 and humanitarian country teams2 in preparing to respondto potential emergencies with appropriate humanitarian assistance andprotection. These guidelines are a tool to: Develop a common understanding of risks and to developa system to monitor those risks to ensure early action is takenwhen required. Establish a minimum level of multi-hazard preparedness. Take additional action, including the development of contingencyplans for specific risks that can be used as the basis for initialplanning reflected in Flash Appeal to meet the differentiated needsof an affected population in the first 3-4 weeks of a humanitarianemergency.The ERP focuses on situations in which the scale of thepotential emergency requires the concerted action of anumber of agencies/organizations.1 RC/HCs as per GA res 46/182 “should facilitate the preparedness of the United Nationssystem and assist in a speedy transition from relief to development.”2 This guidance is written specifically for agencies/organizations involved in providing coordinated international assistance and protection to populations affected by emergencies. In mostcountries there is a standing body, usually a UN Country Team, led by the Resident/Humanitarian Coordinator, which serves as a forum for these agencies/organizations. For the purpose ofthese guidelines, this forum is referred to as a Humanitarian Country Team. While participationvaries, Humanitarian Country Teams include UN Agencies, International Organizations, theInternational Red Cross and Red Crescent Movement and NGO representatives.5
NoteThis guide has beendesigned to be as lean andas user-friendly as possible,in order to be useful topractitioners irrespectiveof the resources and timeavailable. Throughout thisguide, the reader will findKey questions. These areintended to help the countryteam focus their thinkingon the practical mattersof greatest importance tosuccessful preparedness ateach stage of theERP approach.These guidelines are premised on the understanding that governmentshold the primary responsibility for providing humanitarian assistance towomen, girls, boys and men and sub-groups of the population in need.3The ERP outlines how the international humanitarian community canorganize itself to support and complement national action.The ERP enables the humanitarian community to state itscapacity and the value it can add to national response.The extent of involvement of national and subnational authoritiesdepends on the context. In all situations, emergency responsepreparedness should be based on knowledge of the planning,capacities and systems of national and local authorities. This should becomplemented with a knowledge of the underlying inequalities andvulnerabilities influencing risk susceptibility and resilience of women,men and their communities in a given context and guided by theprinciples of neutrality and impartiality.The ERP design reflects the IASC Transformative Agenda’s aim to delivereffective relief and protection to affected people by strengtheninghumanitarian leadership, streamlining coordination, and enhancingaccountability. It is part of the Humanitarian Programme Cycle (HPC).In countries with ongoing emergencies, the ERP approach should bemainstreamed in the humanitarian response planning process.The ERP approach serves as a guide for preparing for all emergencies(both slow and sudden onset) requiring a coordinated response, duringwhich the Resident/Humanitarian Coordinator is responsible for ensuringthat response preparedness efforts of relevant organisations are inclusiveand coordinated.The international procedures for surveillance, preparedness, assessment,and management of public health emergencies of international concernsis set out in the International Health Regulations (2005)4 and led byWHO. The ERP will guide the preparedness for the management ofpotential humanitarian relief requirements arising with these crises.There is always an opportunity cost involved inpreparedness as it puts demands on time and resources.The ERP approach is intended to be flexible andresource- light so that it can be tailored to the capacityof the country team.3 “Each State has the responsibility first and foremost to take care of the victims of naturaldisasters and other emergencies occurring on its territory. Hence, the affected State has theprimary role in the initiation, organization, coordination, and implementation of humanitarianassistance within its territory.” GA Resolution 46/1824 See the definition of public health emergencies of international concerns and the agreed international procedures under the international health regulations: www.who.int/ihr/procedures/pheic/en/; www.who.int/ihr/public health concerns/en/6
Section 1Three Elements ofEmergency ResponsePreparedness (ERP)7
GRINOTEPAREDNENIM PRSSOMUACIINTIMOSNRISK ANALYSIS&MFigure 1Emergency Response Preparedness (ERP) CycleADVANCEDPREPAREDNESSACTIONS &CONTINGENCYPLANNING8FLASHAPPEAL
Three Elements of ERPERP is a continuous process, divided into three key elements.1Although risk analysisis undertaken by most HCTsas part of preparedness,very few put in place riskmonitoring, which resultsin a lack of early warningand most importantlyearly action.Risk Analysis and MonitoringA clear and common understanding of the risks which maytrigger a crisis significant enough to require a coordinatedhumanitarian response is fundamental to the entire ERPprocess. Analysis informs the planning while monitoringensures that the process is responsive to emerging risks. Therisk analysis process identifies the hazards that could triggera crisis and ranks them by impact and likelihood. The riskranking determines whether thresholds are low, medium, orhigh. Development of a contingency plan (see Section 3 –Advanced Preparedness Actions and Contingency Planning)is recommended when risk thresholds are determined to bemedium or above.In parallel, risk monitoring should be undertaken usingindicators identified as part of the risk analysis process.Monitoring provides early warning of emerging risks which inturn allows for early action, such as tailoring the contingencyplan and where possible taking action that could mitigate theimpact of the emerging risk.2Minimum Preparedness Actions (MPA)3Advanced Preparedness Actions andContingency PlanningThe MPAs are a reversedengineered approach –they look at what the coreelements of a successfulresponse are and then workbackwards to identify whatpreparedness actions areneeded to achieve thosepositive response outcomes.Minimum Preparedness Actions are a set of activitiesthat every country team must implement in order to establisha minimum level of emergency preparedness within thecountry. The MPAs are not risk or scenario-specific andusually do not require significant additional resources toaccomplish. Minimum Preparedness Actions include riskmonitoring, establishment of coordination and managementarrangements, preparing for joint needs assessments,response monitoring, information management, andestablishing operational capacity and arrangements to delivercritical relief assistance and protection. ImplementingMPAs will make a fundamental difference to eventualresponse and provide flexibility to respond to differenttypes of emergencies.Advanced Preparedness Actions (APAs) and ContingencyPlanning (CP) are two sets of complementary activities thatshould be initiated together to plan for specific riskswhen risk analysis and monitoring indicate moderateor high risk.Advanced Preparedness Actions are designed to advanceHCT readiness to respond to specific risks. Unlike the MPAs,the APAs are risk-specific. They build on the MPAs already in9
place. The APA checklist (see Annex 3), includes essential preparednessactions that complement and support the contingency planning process.A contingency plan sets out the initial response strategy and operationalplan to meet the humanitarian needs during the first three to four weeksof an emergency. A contingency plan addresses what could happen andwhat might be needed; actions to take and resources required and gapsto be bridged. It lays the ground for a Flash Appeal, if required.Figure 2Key principles of the ERP approach The Emergency Response Preparedness (ERP) approach should be practical. It shouldfocus on needs; what we have and how to bridge the gaps. It looks at now we mightreach affected people with assistance. In other words, the ERP is a process of askingand answering a set of critical operational questions. The ERP should be flexible. HCTs should prioritise actions in light of capacity within thecountry to undertake preparedness. Risk analysis and monitoring are key to dynamic and responsive preparedness. Simulations and other such tools should regularly be applied to ensure the emergencyreadiness of HCTs to carryout the action plans developed through the ERP process.In this way problems can be anticipated, sources for relief items can be identified inadvance and roles and responsibilities of different actors can be better understood. Thechances of good coordination will be greatly improved. The ERP should be participatory. Planning is most effective when all those who will berequired to work together are engaged in the process from the start. Strategic leadership by the RC/HC and strong commitment from heads of Agency atcountry level to making staff and resources available to support the process are vitalto the success of an ERP. The success of the ERP process depends on each and everymember of the HCT.10
Who is involvedAll actors likely to take part in a response are required in ERP planning.The approach is:ÈÈ Led by a Resident/Humanitarian Coordinator.ÈÈ Managed by a Humanitarian Country Team.ÈÈ Supported by an inter-cluster/sector coordination group andclusters/sectors.ÈÈ Inclusive of a broad range of actors, including at sub-national level.ÈÈ Supports of the national authorities, who have primary responsibilityfor affected people.The ERP approach has three inter-related levels of action:Figure 3Different levels of preparednessINTER-AGENCYBuilds the over-arching framework to guide the collective actionof all potential humanitarian respondersSECTOR/CLUSTERDefines how agencies will work together to achievesector-specific objectivesORGANIZATION-SPECIFICDescribes how the organization’s response will be deliveredNote: The ERP approach does not define the form of Agency-level planning.Note on refugee and ‘mixed situation’ operations: The Joint UNHCROCHA Note on Mixed Situations: Coordination in Practice clarifiesleadership and coordination arrangements in the situation where acomplex humanitarian emergency or natural disaster is taking place,a Humanitarian Coordinator has been appointed, and a UNHCR-ledrefugee operation is also underway. The Note sets out the respectiveroles and responsibilities of the UNHCR Representative and the HC,and the practical interaction of IASC coordination and UNHCR’s refugeecoordination arrangements, to ensure that coordination is streamlined,complementary and mutually reinforcing.55 The Joint Note can be found at: ituations-coordination-practice. UNHCR’sPreparedness Package for Refugee Emergencies (PPRE) uses the same approach as the ERP.11
Management AccountabilityFigure 4Management AccountabilityIn countries whereIASC humanitariancoordinationstructures arein placeIn countries whereIASC humanitariancoordinationstructures arenot in placeSystems for management support and accountability will differdepending on the degree of humanitarian system involvement. Figure 4illustrates the different approaches taken in different contexts.The HC working with the HCT and country level clusters/sectors should lead the Emergency Response Preparedness processand is responsible for ensuring that response preparedness effortsof relevant organisations are inclusive and coordinated.The Resident Coordinator (RC) should work with theUN country team and national authorities to implement the ERP.The RC should encourage the input and participation ofIFRC and NGOs, including women’s organisations, active in thecountry, to ensure that their humanitarian capacities andexpertise are recognized, and that they can contribute fully.In-country coordination mechanisms may need to beexpanded for this purpose.For further support, please contact OCHA regional offices.OCHA Regional Office forthe PacificTel: 679 331 6760Fax: 679 330 9762ochapacific@un.orgOCHA Regional Office forthe Middle East and North AfricaTel: 2 02 24535691/96Fax: 2 02 24535683ocharomena@un.orgOCHA Regional Office for Westand Central AfricaTel. : 221 33 869 85 00Fax : 221 33 869 85 27ocharowca@un.orgOCHA Regional Office for Asiaand the PacificTel: 66 2288 1234Fax: 66 2288 1043ocha-roap@un.orgOCHA Regional Office forEast AfricaTel: 254-20-762-2166Fax: 254-20-762-2632ochakenya@un.orgOCHA Regional Office for LatinAmerica and the CaribbeanTel: 507 3171748Fax: 507 3171744ocha-rolac@un.orgOCHA Regional Office forthe Caucasus and Central AsiaTel. 7 727 312 26 43rocca@un.orgOCHA Regional Office forSouthern AfricaTel: 27 11 517 0000ocharosa@un.org12
Section 2Risk Analysis andMonitoring13
Risk Analysis and MonitoringTHRESHO1RISK ANALYSISSLDSTEPHazard identificationLikelihood and impactRISK MONITORINGAssign risk valueSTEP2EARLYWARNINGWHENThe ERP process should beginwith risk analysis. Risk analysisand monitoring should be anongoing process. However, anoverall review of risk analysisinvolving all partners should becarried out at least once a year.TerminologyHazardA shock, natural or man-made, withnegative humanitarian consequences.LikelihoodThe probability of a hazard occurring.ImpactThe humanitarian consequencesof a hazard, if it occurs.14RiskAn attribute of a hazard representing thecombination of likelihoodand impact.Risk AnalysisThe process of determining thelikelihood and impact of a hazard in adefined period, and consequently therisk that the hazard possesses.AlertA short term, high certainty notice thathazard occurrence is imminent, thatprovides a scenario for short term noregrets early action.
To the extent possiblenational authorities andother national actorsshould be engaged inthe risk analysis processto ensure commonunderstanding of risk.STEP1The first step of ERP is to assess the risks that all or part of the country’spopulation face and which might require a coordinated humanitarianresponse. Risk analysis is an essential component of the ERP as itprovides both a common understanding and a prioritization of the risksthat could require a humanitarian response. All risks ranked mediumor higher need to be monitored to ensure that the planning processremains responsive to changes in the risk context of the country.The following section outlines the steps that are required to undertakerisk analysis and monitoring at the country level. More detailed guidanceand examples, as well as useful links, can be found in Annexes 1-2.Risk Analysisa. Risk analysis begins with identifying potential hazards thatmay affect the country. For the purpose of ERP, the focus is placedon the following five threat categories which have potentialhumanitarian consequences:Existing risk analysisdeveloped bynational authorities,humanitarian ordevelopment agencies,and local or internationalresearch institutionsshould be consideredand taken into account.1. Natural hazards, either hydro-meteorological (floods,landslides, storms, droughts) or geophysical (earthquake, volcaniceruption, tsunami).2. Armed conflict and civil unrest.3.
the ‘Emergency Response Preparedness’ (ERP) approach to enable the international humanitarian system to apply a proactive approach to emergency preparedness. The ERP guidance builds on the importance placed by the IASC Transformative Agenda on preparedness on both the programmatic and financial side and, in particular, for hct and iASc
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