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Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response 1OPPORTUNITY KNOCKSRealising the potential of partnerships inthe Nepal earthquake response

AcknowledgementsThis report was commissioned by a consortium of UKbased international non-governmental organisations,which included: ActionAid CARE CAFOD Christian Aid Oxfam GB Tearfund.The research project was overseen by Tearfund’sHumanitarian Policy Officer, Tim Ingram, and supportedby a steering committee which included: Jane Backhurst (Senior Adviser Humanitarian Policyand Advocacy, Christian Aid) Francisco Yermo (Humanitarian Policy and AdvocacyAdviser, ActionAid) Anne Street (Head of Humanitarian Policy, CAFOD) Debbie Hillier (Senior Humanitarian PolicyAdviser, Oxfam) Frédérique Lehoux (Humanitarian PartnershipCoordinator, CARE).The report was written by Andy Featherstone, withassistance from Subindra Bogati, who supportedthe research and contributed to the report. The sixcommissioning NGOs have provided invaluable supportboth in Nepal and the UK, and particular thanks areowed to Tim Ingram in the UK, and Douwe Dijkstra,Tearfund’s Country Director in Nepal, for their supportin guiding the process. The research would not havebeen possible without the kind assistance of CARENepal and Oxfam in facilitating the trips to Gorkha andSindhupalchok respectively.The participation in the study of both national andinternational members of the humanitarian communityis testament to the commitment that exists to realisingthe potential of partnership in Nepal. We are gratefulto all those who invested their valuable time in theresearch process.Cover photo by Tom Price / Tearfund: Progress continues on the construction of Thuli Maya’s new earthquake-resilient house inTistung VDC, Makwanpur district. Steel-reinforced bracing and regular concrete layers are some of the elements that will make thishouse, and the 600 other houses Tearfund plans to build in Makwanpur, safer in the event of another earthquake.Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response – November 2016 ActionAid, CAFOD, CARE, Christian Aid, Oxfam, TearfundReport design: WingfingerContact: Andy Featherstone and Subindra Bogati, independent consultants

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response iAbstractOpportunity Knocks:Realising the potential of partnerships in the Nepal earthquake responseAndy Featherstone and Subindra BogatiHumanitarian response is all too often characterised bylarge international responses; in contrast, the approach ofthe Government of Nepal that required all internationalNGOs to work through national and district-basedpartners for all but the initial phase of the earthquakeresponse offered a real-time opportunity for thehumanitarian community to put principles of partnershipinto practice.This study draws on discussions with civil society, NGOs,UN agencies and government staff in Kathmandu and thedistricts of Gorkha and Sindhupalchok to harvest lessonsfrom the experience to inform and strengthen futurepreparedness and response in Nepal, and to strengthenglobal advocacy on the need for further investment in, andsupport for, local and national leadership of humanitarianresponse.

iiOpportunity Knocks: Realising the potential of partnerships in the Nepal earthquake responseExecutive summaryIntroductionIn the Oxford online dictionary, the definition of‘opportunity knocks’ is given as ‘a chance of successoccurs’1 and this is true of partnership in the Nepalearthquake response: for the first time in Nepal and forone of the first times in response to a large-scale disaster,the international humanitarian community has beenunited in its early adoption of partnership as the dominantmodality of providing relief and recovery. At the timeof writing, the World Humanitarian Summit (WHS) hasacknowledged the importance of using and not replacinglocal capacity, and it is hoped that the findings from thisstudy will provide practical support to efforts to ‘localise’humanitarian response.While there have already been several strategic reviewsof the earthquake response conducted by members ofthe international humanitarian system, this study isdifferent in that it seeks to capture and amplify theperceptions of national responders about partnershipperformance in the earthquake response and how theinternational humanitarian system can provide betterand more predictable support for disaster response inthe future.The role of partnership in the earthquake surgeand relief responseAt an international level, there are encouraging signs thatthe negative experiences from the international surgetriggered after Typhoon Haiyan and documented in theMissed Again report are being translated into actionwith calls for greater investment in national-level firstresponders. While in Nepal there had been some effortstaken to prepare, the investment made in localisingsurge capacity had been limited and after the earthquakethe focus of many INGOs was to strengthen their owncapacity in advance of that of their partners. If disasterresponse is to be localised, there is an important needto prioritise funding for preparedness and surge capacityboth nationally and at a district level.In terms of the effectiveness of the earthquake response,the findings of the research supported by secondaryevidence suggest that partnerships made an essentialcontribution to the breadth and depth of humanitarianaction, although the need to broker new partnerships toreach the scale required may have slowed the response.UN figures suggest that in the initial relief phase many ofthe priority needs were met, which goes some way toanswering one of the most vexing partnership challenges– that of whether partnership can deliver humanitarianassistance at scale. With a few caveats, the earthquakeresponse suggests that it can.NGO partnership approaches and an assessmentof performanceThe earthquake response offered some examples of goodpractice: for pre-existing partnerships, INGOs broughtknowledge, training, trust and ambition, which supportedlocal NGOs to quickly scale up and to work moreeffectively with their international partners. In contrast,newer partnerships were frequently more project-based,with local NGOs often confined to subcontracting rolesas INGOs replaced rather than reinforced local capacity.A number of partnership challenges were encounteredby local NGOs (see table on page iii) but it was the lackof equity in partnerships that was the most significantconcern, and it has taken time for INGOs to start toaddress this.Background to the Missed Opportunities research seriesThis report is part of a series of studies originallycommissioned by five UK development and humanitarianagencies (ActionAid, CAFOD, Christian Aid, Oxfam GB andTearfund) that have been collaborating since early 2012 todocument and research partnership experiences with localactors in humanitarian responses.To date the group of five agencies have worked onfour documents. Published in September 2013, MissedOpportunities assessed the potential for partnerships tocontribute to the effectiveness of humanitarian response.This was followed by the Missed Again report – a real-timereview of the response to Typhoon Haiyan, which waspublished in September 2014. The third instalment of theresearch series, Missed Out, was published in May 2016and examined the role of partnership in responding tohumanitarian needs as a result of the South Sudan conflict.In the run-up to the WHS, findings from the research serieswere summarised in a synthesis paper, Missed OpportunitiesNo More, which, on the basis of the findings, advocatesfor the localisation of aid and greater global support forhumanitarian partnerships.As part of expanding this research series CARE, originally aresearch partner for this project, became a full member ofthe commissioning group in 2016.

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response iiiChallenges of INGO – local NGO ybuildingThe need to rapidly scale up existing and new partnerships created a need to develop skills at the same time asdelivering assistance. While innovative strategies were used to achieve this, there has been a tendency to focus onproject-level capacity building rather than organisational-level capacity development. While this trend is beginning tochange, it will take considerable time to make the shift.Issues of equityThere is a perception among many local NGOs that INGOs have tended to prioritise investment in their own capacityover that of their partners. While this may be defensible in other contexts where INGOs have been operational, it ismore problematic in the context of Nepal where the majority of programmes are being delivered by partners, withINGOs playing an oversight role.Shared partnersAt a district level many local NGOs are now responsible for multi-million-dollar project portfolios which dwarftheir pre-earthquake responsibilities. This funding is often comprised of a range of multi-sectoral INGO-funded reliefprojects. The associated need to accommodate project approaches and business practices of several INGOs wasconsidered to be a significant challenge, particularly given the perceived failure of INGOs to coordinate with each other.The relationship between INGOs and local NGOs andsome of the successes and challenges of partnershipsduring the earthquake response are exemplified in thetwo case studies in this executive summary.In order to assess partnership performance, the firstthree Missed Opportunities studies used humanitarianevaluation criteria to compare the effectiveness ofINGO and local NGO humanitarian partnerships,2but with the endorsement of the Charter for Changeat the WHS,3 there is now a more relevant lens withwhich to assess performance. In the table below,key commitments are listed alongside a performanceassessment and rating based on the findings of theresearch (strong, good, moderate, poor or weak).Assessment of Nepal partnerships against key commitments in the Charter for ChangeDescription ofcommitmentAssessment of performance based on the research findingsPerformancerating1Increase direct funding tosouthern-based NGOs forhumanitarian actionAn unprecedented proportion of funding was passed through INGOs to localNGOs. However, very little funding was passed to NGOs either directly orthrough pooled funding modalities.MODERATE4Stop undermining localcapacityThe findings of the research suggest that far fewer local NGO staff wererecruited into INGO staff than often occurs in crises of similar magnitude,although the government requirement for the prioritisation of partnershipsalso meant that many INGOs did not scale up to the same extent as theywould usually do.#6Address subcontracting78GOODThe scale of the response delivered through partnerships and the lack ofhumanitarian experience of many partners meant that a subcontractingapproach was adopted by many organisations. Partner-led INGOs withsmaller budgets tended to establish stronger partnerships.MODERATE/POORProvide robustorganisational support andcapacity strengtheningWith only a few exceptions, organisational support over the first 12 monthshas tended to focus at the project level with an increase in strategic capacitybuilding in a few cases in recent months.MODERATECommunication to themedia and the public aboutpartnersPerformance was mixed, with an equal number of INGO communicationsacknowledging and failing to acknowledge that assistance was delivered bypartners. For relief distributions, there were frequent concerns that it wasthe INGO name that was printed on items that were being distributed bytheir partners.MODERATE

ivOpportunity Knocks: Realising the potential of partnerships in the Nepal earthquake responseConclusions and recommendations– from ‘missed opportunities’ to‘opportunity knocks’The Missed Opportunities study series has documentedchanges in INGO partnership practices over the lastthree years during which time there has been significantprogress made in recognising the value of nationalresponse capacity. With the inclusion in the GrandBargain of a donor commitment to provide direct fundingto local NGOs and the launch of the NEAR network(Network for Empowered Aid Response), a globalmovement of southern NGOs committed to reshapingthe humanitarian and development system to one thatis locally driven and owned,4 the policy and practicelandscape is rapidly changing.In placing far greater responsibility in the hands of localactors to lead and deliver humanitarian assistance, it couldbe argued that the earthquake response was a reactionto these shifts, but this is not true as the pre-eminence ofpartnership was as much a consequence of governmentpolicy as it was INGO preference. However, the Nepalearthquake has offered the international humanitariancommunity an opportunity to experience humanitarianresponse as it is likely to be delivered more frequentlyin the future – led by government and delivered by localorganisations, with the international humanitarian systemplaying a support role. Given the infrequency with whichthis happens, it should come as no surprise that theresponse had its challenges. Despite these, there is muchto commend in what has been achieved by the differentpartnerships established during the response, which alsooffers significant lessons about what needs to change tostrengthen collaboration in the future.So what needs to change?Fundamentally, there is a need to close the gap betweenrhetoric and reality with INGOs more consistentlyreinforcing rather than replacing local NGO capacity.While this shift is happening in the Nepal earthquakeresponse, it has taken too long. There needs to be afar greater emphasis by the international humanitariansystem and INGOs on identifying partners and investing incapacity development for surge and response in advanceof crises. This will require a broader and deeper level ofengagement with local NGOs outside of disaster responsewith a view to reducing the need for support when crisesCASE STUDYINGO experiences from the Nepal earthquake responseThe International NGO has a humanitarian programme inexcess of 30 million for the earthquake response and hashad a presence in Nepal for many years.As part of its response, it scaled up its programme in oneof the worst-affected districts where it had previouslypartnered with an advocacy NGO. Because of thesehistorical links, a partnership agreement was able to beestablished swiftly and responsibility for programmedelivery in seven Village Development Committees(VDCs) was handed from the INGO to the partner, albeitwith the INGO retaining responsibility for procurementand logistics. The partner was responsible for localmobilisation.At the same time, the INGO scaled up its programme ina further nine VDCs for which relief assistance was beingprovided operationally while partners were identified.Implementation was a challenge due to the remote locationand the distance from its base in the district capital.While there were a number of local NGOs that expressedan interest in taking on the project, capacity assessmentsundertaken in the first two months after the earthquakerevealed that very few of them had sufficient capacity toimplement and several of them already had significantcommitments to other INGO partners and so were unlikelyto be able to absorb the additional responsibilities. Anumber of other NGOs had no previous experience in thetechnical sectors that the INGO was working in.After several months of partner assessments, a decision wastaken to work with two local NGOs, splitting the VDCsbetween them. In order to maintain momentum at the sametime as building capacity for implementation, an initial threemonth partnership plan was devised which provided closesupport including joint implementation. This was followedby a phased approach to handing over operations andbudgetary handling which went from an initial 80%:20% ratioto 70%:30% to the current situation where the INGO hasresponsibility for 60% of the operations and budget and thepartner holds 40% of the responsibility.At the height of the response when the INGO was involvedin operational delivery in the district, it had 63 staff basedin the district including staff embedded in the partnerorganisation. As responsibilities have been handed over, thishas decreased to 33 staff with the partner taking over rolespreviously occupied by the INGO, which has now adopted amonitoring and support role.Accompanying this process of gradual handover has been astrategy of operational capacity building, which has soughtto target areas that either carry most risk (finance, logistics)or that are linked to technical operations (WASH, cashdistributions). One of the key lessons from the first 12months of the response is that partner staff turnover isextremely high, which has led to a change of strategy tofocus more on strategic capacity building that focuses at theorganisational level in an effort to strengthen its sustainabilityrather than maintaining a focus at project level.

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response vare occurring. The same emphasis on organisationalcapacity strengthening that has accompanied the growthof international NGOs now needs to be focused at anational level, with a view to fostering a vibrant nationalhumanitarian response capacity that can implement bothin partnership and in an independent capacity.The lessons from the earthquake response must be usedto transform the humanitarian system both in Nepal andglobally by taking urgent action to: strengthen partnerships between international andnational responders for preparedness planning reinforce collaboration to build local capacity forhumanitarian surge and response continue to improve partnership practice to makethe shift from international to national response.The need to strengthen partnership between international and national responders forpreparedness planningWhoWhatWhereDonorsThere is an urgent need for continued global investment in preparedness planning and capacity in Nepalbut in a way that is situated in the local context and that builds on existing structures. At a centrallevel, donors should continue to support the Nepal Risk Reduction Consortium (NRRC) to strengthenpreparedness and response.NepalINGOs andUN agenciesThere is a need to strengthen governmental and non-governmental preparedness at the district levelacross the country. The District Lead Support Agency role offers an excellent opportunity to achieve this.NepalThe need to strengthen collaboration and build local capacity for humanitarian surge and responseWhoWhatWhereDonorsGiven the evidence of the earthquake response in which local NGOs played a leadership role and in thespirit of the Grand Bargain, donors must find a means of directly funding local NGOs whether through theestablishment of a pooled funding facility or through bilateral agreements. The development of this fundbefore disaster strikes will allow time to establish it outside of the pressures of response.NepalGovernment,INGOs andUN agenciesGovernment policies on targeting of assistance failed to include some of those who were most vulnerable.It is urgent that a coordinated and principled approach for joint assessment and targeting can be agreedfor adoption in future disasters.NepalINGOs andUN agenciesInternational organisations should shift from investing in their own surge capacity to supporting that oftheir partners in advance of crises. This will require a broader and deeper level of engagement with localNGOs outside of disaster response.NepalandGlobalINGOs andUN agenciesIt will be necessary for international organisations to change the mindsets and skill sets of internationalsurge staff to ensure they have the right attitude and relevant skills to work collaboratively with partnersin the earliest stages of a response.GlobalLocal NGOsBased on the experience of the earthquake response, local NGOs should review their own standbyarrangements to ensure that they are organisationally prepared to respond in the future. This shouldinclude negotiations with their INGO partners on support for preparedness planning and equitablepartnership arrangements for disaster response.Nepal

viOpportunity Knocks: Realising the potential of partnerships in the Nepal earthquake responseThe importance of continuing to improve partnership practice in order to make the shift frominternational to national responseWhoWhatWhereINGOs andUN agenciesThere is a need to revise existing humanitarian partnership models based on the earthquake response inorder to accommodate the delivery of assistance through partnership at scale and to inculcate these intoorganisational practice.NepalandGlobalINGOs andUN agenciesModels of humanitarian delivery through local partners must be accompanied by sustained investments inlocal NGO organisational capacity to a standard and quality that permits a shift to partner-led response.NepalandGlobalINGOs andUN agenciesThe Grand Bargain negotiated during the World Humanitarian Summit has provided a context forincreasing the efficiencies and effectiveness of the humanitarian system, and these changes must be rolemodelled in how INGOs work with shared partners where standardised approaches to reporting and ashared commitment to providing support would reduce administrative effort and strengthen the potentialfor capacity development.NepalandGlobalCharterfor ChangesignatoriesWhile the commitments outlined in the Charter for Change offer essential guidance for partnershipsituations such as the earthquake response, there is a need to develop a simple set of measurableindicators for each of the commitments to permit a level of oversight that could assist in determiningprogress made against this important set of obligations.GlobalLocal NGOsMembership of the NEAR network offers an important opportunity for local NGOs to influence thewider policies and practices of the humanitarian system that affect their capacities and operations andthe well-being of communities.NepalandGlobalCASE STUDYLocal NGO partnership experiences from the Nepal earthquake responseThe district NGO was established in 2009 with a mandate toaddress social issues through empowerment. This approachwas expanded in 2013 to include community development. In2014 the NGO had a programme portfolio of approximatelyNepalese Rupees (NPR) 1 million ( 7,000) and had a staff ofapproximately 20 people.After the earthquake, the budget quickly grew to NPR 10million ( 70,000) at the end of 2015 to NPR 250 million inmid-2016 ( 1.75 million). It is projected to increase to NPR350 million ( 2.45 million) by the third quarter of 2016. In thesame period, the staff size has increased to 250 people.In order to ensure a level of management oversight a boardmember took over operational management in the district.The budget is being funded by five INGO donors and eachhas different approaches to providing support and usedifferent systems – some more paternalistic than others.The district NGO had pre-existing policies in place toguide financial management, procurement, recruitment andreporting. These have been endorsed by one of the largerINGO donors, which has handed over responsibility forprocurement and financial management.The district NGO has an advisory committee whichincludes technical support but it also receives technicaladvice from its INGO partners. It has received trainingon various aspects of implementation including on qualitystandards but capacity building has largely been focused onstrengthening compliance.Most of the INGOs it works with have already undertakenneeds assessments and planned their activities and therehas been limited scope for it to influence project design.Logical frameworks and budgets are usually already inplace by the time they are shared with the NGO and soits job is usually to implement the planned activities. OneINGO has recently permitted it to determine programmeactivities as long as they fit within the broad objectivesthat have been set.There is a concern that the INGOs have a lot of staff andsuffer from high turnover. This means that they are notalways familiar with the district administration, which canbe problematic.Donor budgets include very limited overhead costs whichis a challenge given the complexities of the response. Nosupport is provided to sustain the broader organisation orto contribute to core costs as the budget is focused at aproject level. There have been instances when projects havebeen postponed but there was no budget made available tocompensate the NGO for local-level costs that it incurred.There are also issues of per diem payments for governmentmonitoring staff which the NGO must pay but which arenot reimbursed by the INGO as it is against their policy.

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response viiTable of contentsExecutive summaryList of abbreviations and acronymsGlossary of termsEarthquake location and severity mapAffected districts map1. Introduction1.1 The Nepal earthquake1.2 Background to the research1.3 Purpose of the research1.4 Methodology2. The role of partnership in earthquake preparedness and response2.12.22.32.4The role and readiness of national responders for disaster responseThe initial responseThe contribution made by partnership to the effectiveness of the responseAccess of local NGOs to humanitarian funding for the earthquake response3. National leadership and coordination of the earthquake response3.13.23.33.4The role of the Government of Nepal in disaster responseThe role of government and participation of local NGOs in humanitarian leadershipParticipation of government and local NGOs in humanitarian coordinationThe challenges posed by government policies on humanitarian assistance4. Learning from the response – scaling up partnerships4.1 Innovative approaches to retooling pre-existing partnerships for the earthquake response4.2 Strategies for forming and supporting new partnerships to work at scale4.3 Local NGO experiences of scaling up their operations5. Learning from the response – partnership performance5.15.25.35.45.55.6Addressing the implications of scaling up partnerships – the capacity-building dilemmaThe issue of equityThe complexities of shared partnershipsThe challenges posed by the politicisation of local NGOsHow did partnerships in the Nepal earthquake measure up to the Charter for Change?Where next for partnership? Identifying the added value and role of INGOs6. Conclusions and recommendations6.1 From ‘missed opportunities’ to ‘opportunity knocks’ – what progress has been made instrengthening partnership 920212222232525AnnexesANNEX 1:ANNEX 2:ANNEX 3:Terms of referenceList of research participantsThe legal basis for disaster management in NepalEndnotes27293233

viiiOpportunity Knocks: Realising the potential of partnerships in the Nepal earthquake responseList of abbreviations and acronymsAINAssociation of International NGOsCCCMCamp Coordination and Camp ManagementDDRCDistrict Disaster Relief CommitteeDDRMPDistrict Disaster Risk Management PlanDFIDDepartment for International DevelopmentDLSADistrict Lead Support AgencyDPNETDisaster Preparedness NetworkDRRDisaster Risk ReductionECHOEuropean Commission’s Humanitarian Aid OfficeENPHOEnvironmental and Public Health OrganisationERPEmergency Response PreparednessFTSFinancial Tracking ServiceGoNGovernment of NepalHAMIHumanitarian Accountability Monitoring InitiativeHCTHumanitarian Country TeamHCT Humanitarian Country Team PlusHRRPHousing Recovery and Reconstruction PlatformIASCInter-Agency Standing CommitteeINGOInternational Non-Governmental OrganisationLDRMPLocal Disaster Risk Management PlanLNGOLocal Non-Governmental OrganisationMoHAMinistry of Home AffairsNEARNetwork for Empowered Aid ResponseNEOCNational Emergency Operations CentreNGONon-Governmental OrganisationNPRNepalese RupeesNRANational Reconstruction AuthorityNRRCNepal Risk Reduction ConsortiumPDNAPost-Disaster Needs AssessmentSTAITSenior Transformative Agenda Implementation TeamSWCSocial Welfare CouncilTATransformative AgendaUMNUnited Mission to NepalUNUnited NationsUNOCHA United Nations Office for the Coordination of Humanitarian AssistanceVDCVillage Development CommitteeWASHWater, Sanitation and HygieneWHSWorld Humanitarian Summit

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response ixGlossary of termsCharter for ChangePartnershipThe Charter for Change comprises eight recommendationsdesigned to deliver change within the ways of workingof international organisations so that southern-basednational actors can play an increased and more prominentrole in humanitarian response. 5‘Partnership’ can be defined as mutually empoweringrelationships, which are aware of power imbalancesand focused on mutual growth, organisationaldevelopment, institutional strengthening and, aboveall, achieving impact.7ClusterPreparednessA ‘cluster’ is essentially a sectoral group convened for thepurposes of preparing for and responding to disasters orhumanitarian crises.‘Preparedness’ refers to the knowledge and capacitiesdeveloped by governments, professional response andrecovery organisations, communities and individualsto effectively anticipate, respond to, and recover from,the impacts of likely, imminent or current hazardevents or conditions.8District and National NGOA district NGO has representation and operations in onedistrict of Nepal. A national NGO has representation inKathmandu and which may work in one or more districtsof Nepal. In this report the term ‘local NGO’ will includeboth district and national NGOs.International OrganisationAn international organisation is an organisat

Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response i Abstract Opportunity Knocks: Realising the potential of partnerships in the Nepal earthquake response Andy Featherstone and Subindra Bogati Humanitarian response is all too often characterised by large international responses; in contrast, the approach of

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