report for the inter agency standing committee -...

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2008 Humanitarian Coordinators Pool Mapping Exercise Page 1 of 124

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and the RCAC Pool. • UNDOCO, for sharing findings of the RC Talent Management Study. • UNSSC, for use of the Senior Management Network Competency Mapping. • Emergency Capacity Building Project for the use of a number of NGO case studies. •• People In Aid for the use of a number of NGO case studies.


SSUUMMMMAARRYY This Mapping Exercise Report fulfils reporting requirements to the IASC Working Group and the IASC Principals as a second year review of Humanitarian Coordinators Pool (Phase I).

1 It also forms the basis for planning on the Humanitarian Coordinators Pool (Phase II), proposed for the next three years. With the appointment by UNOCHA of a Manager of the Humanitarian Coordinators Pool, a mapping exercise was undertaken from July to September 2008 to facilitate, inform and assist the design and development of HC Pool Phase II. The mapping exercise included reviewing competencies, skills and performance criteria for RC/HCs; developing procedures and criteria for managing the HC Pool, ensuring that they are aligned with human resource policies and practices of UNDP and other relevant UN entities; and developing the concept further. This report is divided into six sections. • Section 1 outlines the background and methodology of the Mapping Exercise. More than 200

stakeholders where contacted by email to provide input. Of these, over 100 where also either interviewed face to face or interviewed by phone from operational humanitarian United Nations agencies on the IASC, International Organizations (ICRC, IFRC, IOM), NGO Consortia, key NGO humanitarian agencies and large Red Cross National Societies, key donors on UNOCHA support network, and humanitarian standard and quality projects dealing with personnel.

• Section 2 outlines the evolution of United Nations humanitarian leadership and, in particular, the development of the Humanitarian Coordinator and Resident Coordinator systems leading up to the creation of the HC Pool Phase I in 1996.

• Section 3 examines the background of HC Pool I as a response to the Humanitarian Response Review, key IASC decisions, and reports key outcomes against the plan developed for the HC Pool Phase I in 1996.

• Section 4 reviews current leadership development across the humanitarian system (UN, NGOs, IOM, and the Red Cross/Red Crescent Movement).

• Section 5 highlights issues of concern and ways forward for consideration of the IASC HC Issues Group and the IASC.

• Section 6 proposes the following recommendations:

PROPOSED RECOMMENDATIONS FOR ENDORSEMENT BY THE IASC HC GROUP

Recommendation 1: Take note of issues of concern identified by the 2008 HC Pool Mapping

Exercise, with a view to the IASC HC Group further exploring future options

for humanitarian leadership reform.

Recommendation 2: Endorse the continuation of the HC Pool for a period of three years.

Recommendation 3: Endorse the creation of an IASC Humanitarian Coordinators Assessment

Panel.

Annexes include key resource people contacted or interviewed; a profile HCs; a bibliography of resource documents; the UN’s Senior Management Network leadership competency mapping; current selection procedures for RCs, HCs, and RC/HCs; a proposed model of HC Pool Phase II; a list of current HCs in the field; and a table outlining IASC compared to UNDG membership.

1 IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0.


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1.0 INTRODUCTION………………………………………………………………………... 8

1.1 Background………………………………………………………………………………… 8 1.2 Methodology……………………………………………………………………………….. 10 2.0 UN HUMANITARIAN LEADERSHIP & HUMANITARIAN COORDINATORS…11

2.1 Early Attempts at UN Humanitarian Leadership……………………………………..……. 11 2.2 DHA, IASC and Humanitarian Coordinators……………………………………………… 16 23 Evolution of the HC System and the RC System………………………………………….. 18

3.0 HUMANITARIAN COORDINATORS POOL PHASE I………………………………26

3.1 Humanitarian Reform & the IASC………………………………………………………… 26 3.2 Establishment of Humanitarian Coordinators Pool………………………………………... 28 3.3 Humanitarian Coordination Pool Phase I………………………………………………….. 33 3.4 Humanitarian Coordination System Strengthening Project (HCSSP)……………………... 39 4.0 REVIEW OF HUMANITARIAN SYSTEM LEADERSHIP DEVELOPMENT…….. 45

4.1 Human Resource Codes of Conduct, Policies, and Networks……………………………. 45 4.2 Leadership Competencies………………………………………………………………….. 47 4.3 Recruitment & Application Processes……………………………………………………... 52 4.4 Interview & Assessment Processes……………………………………………………….. 55 4.5 Career Development & Succession Planning……………………………………………… 58 4.6 Leadership Development – Training & Secondment……………………………………… 59 4.7 Systems and Tools for Tracking Rosters…………………………………………………... 67 5.0 ISSUES OF CONCERN IDENTIFIED BY RESOURCE PEOPLE………………….. 68 5.1 Resident Coordinators Performing Humanitarian Coordination Functions………………...68 5.2 Resident Coordinators/Humanitarian Coordinators………………………………………... 69 5.3 Humanitarian Coordinator Designation……………………………………………………. 74 5.4 The Humanitarian Coordinator Pool……………………………………………………….. 75 5.5 Future Issues……………………………………………………………………………….. 82

6.0 WAYS FORWARD………………………………………………………………………. 84

7.0 ANNEXES

Annex A: Resource People & Agency Contacts……………………………………………... 89 Annex B: Model of Humanitarian Coordinators Pool Phase II……………………………… 100 Annex C: Profile for Humanitarian Coordinators…………………………………………….101 Annex D: Bibliography – Resource Documents…………………………………………….. 103 Annex E: UN Senior Management Network Leadership Competency Mapping……………. 113 Annex F: Current RC Selection Procedure…………………………………………………... 120 Annex G: Current HC Designation Procedure……………………………………………….. 121 Annex H: Current RC/HC Selection Procedure……………………………………………… 122 Annex I: Humanitarian Coordinators in the Field……………………………………………123 Annex J: IASC Compared to UNDG Membership………………………………………….. 124


LLIISSTT OOFF AACCRROONNYYMMSS

ACC Administrative Committee on Coordination (UN) ACT Action by Churches Together (WCC & LWF, NGO) ALC Active Learning Chain (UNFPA) ALNAP Active Learning Network for Accountability and Performance in

Humanitarian Action (NGO) ALS Action Learning Sets (OGB) ARC American Red Cross (RC/RCM) ASG Assistant Secretary-General (UN) BOND British Overseas NGOs for Development (NGO Consortium) CAP Consolidated Appeals Process (UN) CCPOQ Consultative Committee on Program and Operational Questions (UN) CD Country Director (Medair, NGO) CEB Chief Executives Board for Coordination (UN) CIPD Chartered Institute of Personnel and Development CRD Coordination & Response Division (UNOCHA) CRS Catholic Relief Service (NGO) CSLT Cluster Sector Lead Training (UNOCHA) DERC Deputy Emergency Relief Coordinator (UNOCHA) DFID Department for International Development (UK Government) DFS Department of Field Support (UN) DHA Department of Humanitarian Affairs (UN) DHC Deputy Humanitarian Coordinator (UN) DMDP Disaster Management Development Program (Tearfund) DMT Disaster Management Team (UN) DO Designated Official (UN) DOCO Development Operations Coordination Office (UN) DSRSG Deputy Special Representative of the Secretary-General (UN) ECB Emergency Capacity Building Project (NGO Consortia) ECHA Emergency Committee on Humanitarian Affairs (UN) EI Emotional Intelligence EPN Emergency Personnel Network (NGO Network) ERC Emergencies Relief Coordinator (UN) ERT Emergency Response Team (World Vision) FAO Food & Agriculture Organization (UN) FRY Former Republic of Yugoslavia (Government) FYR Former Yugoslavian Republics (Governments) GA General Assembly (UN) GHP Global Humanitarian Platform (UN, NGOs, IOM, & RC/RCM) GLN Global Learning Network (UN) GLP Global Leadership Program (WHO) HACU Humanitarian Assistance Coordination Unit (DHA Sierra Leone) HC Humanitarian Coordinator HCAP Humanitarian Coordination Assessment Panel (IASC) HCG Humanitarian Coordination Group (IASC) HCIG Humanitarian Coordinators Issues Group (IASC) HCSPP Humanitarian Coordination Succession Planning Panel (IASC) HCSSP Humanitarian Coordination System Strengthening Project (UNOCHA) HCP Humanitarian Competencies Project (WVI) HCT Humanitarian Country Team (UN, RC/RCM, IOM, NGOs) HCTG Humanitarian Coordinators Training Group (IASC) HPPC Humanitarian Policy & Practice Committee (Interaction) HQ Headquarters HRR Humanitarian Response Review (IASC)


HRSU Humanitarian Reform Support Unit (UNOCHA) IAAP Inter Agency Assessment Panel (UN) IASC Inter Agency Standing Committee (UN, RC/RCM, IOM, & NGO Consortia) IASC-WG Inter Agency Standing Committee – Working Group (UN, RC/RCM, IOM,

& NGO Consortia) ICRC International Committee of the Red Cross (RC/RCM) ICVA International Council of Voluntary Agencies (NGO Consortia) IDD Internal Displacement Division (UNOCHA) IDFP International Development Fellows Program (CRS) IDNDR International Decade for Natural Disaster Reduction (UN) IDP Internally Displaced Persons IDRL International Disaster Response Law IFAD International Fund for Agricultural Development (UN) IFRC International Federation of Re Cross & Red Crescent Societies (RC/RCM) IHL International Humanitarian Law IHRL International Human Rights Law ILO International Labor Organization (UN) IMC International Medical Corps (IMC) IMD Institute of Management Development, Lausanne (Consultants) IMEP International Managers Effectiveness Program (IFRC) Interaction American Council for Voluntary International Action (NGO Consortia) IO International Organization IOM International Organization for Migration (IO) IRC International Rescue Committee (NGO) IRL International Refugee Law IWG International Working Group (CARE International, CRS, MC, OGB, SCF

(US), WV International) JCPG Joint Consultative Group on Policy (UN) JIU Joint Inspection Unit (UN) LDC Leadership Development Course (UNICEF) LDP Leadership Development program (SCF) LEA Leadership Effectiveness Analysis (IFRC) LINGO Learning for International Non Governmental Organizations (NGO) LMDP Leadership Management and Development Program (UNRWA) LMF Learning Managers Forum (UN) LMS Learning Management System (LINGO) LWF Lutheran World Federation (NGO) LWI Leading with Impact Program (CARE) MAP Management Assessment Project (UNHCR) MBTI Myers-Briggs Type Indicator MC Mercy Corps MDC Management Development Center (FAO, WFP & IFAD) MIT Massachusetts Institute of Technology (University) MLP Management & Leadership Program (OGB) MRG Management Research Group (Consultants) MSF Médecins Sans Frontières (NGO) NCRRR National Commission for Reconstruction, Resettlement and Rehabilitation

(Sierra Leone Government) NETI New & Emerging Talent Initiative (UNICEF) NGO Non Governmental Organization NGO Consortia ICVA, Interaction, IWG, SPHERE, VOICE (NGO) NGO - TMC Non Governmental Organizations - Training Manager Consortium (CARE,

CRS, MC, SCF (US), WV (US)) NRC Norwegian Refugee Council (NGO) NSDP National Staff Development Program (ECB)


ODG/DIEC Office of the Director-General for Development & International Economic Cooperation (UN)

OEOA Office for Emergency Operations in Africa (UN, Horn of Africa) OECD Organization for Economic Cooperation & Development (Government) OFDA Office of Foreign Disaster Assistance (USA) OGB Oxfam Great Britain (NGO) OHCHR Office of the High Commissioner for Human Rights (UN) OHRM Office of Human Resource Management (UN Secretariat) OLS Operation Lifeline Sudan (UN) OPQ Occupational Personality Questionnaire (UNHCR) OPT Occupied Palestinian Territories ORSG-HR-IDP Office of the Representative of the Secretary-General for the Human Rights

of Internally Displaced Persons PACE Performance and Competency Enhancement (WFP) P2D Personal x Professional Development (UNICEF) POP Principles of Partnership (GHP) ProCap Protection Standby Capacity (UNOCHA) RC Resident Coordinator (UN) RC/HC Resident Coordinator/Humanitarian Coordinator (UN) RCAC Resident Coordinator Assessment Center (UN) RCIG Resident Coordinators Issues Group (UN) RC/RCM Red Cross and Red Crescent Movement (IO) RCU/OHR Resident Coordinator Unit, Office of Human Resources (UNDP) RedR Registered Engineers for Disaster Response (NGO) RHC Regional Humanitarian Coordinator (UN) RR Resident Representative (UNDP) SC Security Council (UN) SCF Save the Children Fund (NGO) SCHR Steering Committee for Humanitarian Response (NGO) SCI Staff Capacity Initiative (ECB) SLC Senior Leaders Curriculum (UNICEF) SLIP Strategic Leadership Induction Program (UNDPKO) SLP Strategic Leadership Program (UNHCR) SMART Senior Mission Administration and Resource Training (UNDPKO) SMDP Senior Management Development Program (SCF) SMN Senior Management Network (UN) SPHERE SPHERE Project Humanitarian Charter & Minimum Standards in Disaster

Response (NGO) SRSG Special Representative of the Secretary General (UN) TOR Terms of Reference UCAH Unidade de Coordenação para Assistençia Humanitaria (UN, DHA

Humanitarian Assistance Coordination Unit in Angola) UN United Nations UNBRO United Nations Border Relief Operation (Thai-Cambodian Border) UNCT United Nations Country Team UNDG United Nations Development Group UNDGO United Nations Development Group Office (later UNDOCO) UNDHA United Nations Department of Humanitarian Assistance UNDOCO United Nations Development Operations Coordination Office UNDP United Nations Development Program UNDPA United Nations Department of Political Affairs UNDPKO United Nations Department of Peacekeeping Operations UNDRO United Nations Disaster Relief Operation UNDSS United Nations Department for Safety & Security


UNFPA United Nations Population Fund UN HABITAT United Nations Human Settlements Program UNHCR United Nations High Commission for Refugees UNICEF United Nations Children’s Fund UNOCA United Nations Office for the Coordination of Humanitarian and Economic

Assistance Programs relating to Afghanistan UNOCHA United Nations Office for the Coordination of Humanitarian Affairs UNOMSIL United Nations Observer Mission in Sierra Leone UNREO United Nations Rwanda Emergency Office UNRWA United Nations Relief Works Agency UNSCERO United Nations Special Coordinator for Emergency Relief Operations

(Angola, Mozambique) UNSCOL United Nations Special Coordinator for Emergency Relief Operations in

Liberia UNSSC United Nations System Staff College USAID United States Agency for International Development (US Government) VOICE Voluntary Organizations in Cooperation in Emergencies (NGO Consotia) WCC-ACT World Council of Churches – Action by Churches Together (NGO) WFP World Food Program (UN) WHO World Health Organization (UN) WVI World Vision International (NGO)


1.0 INTRODUCTION As part of the first of the four pillars of humanitarian reform – reform of humanitarian leadership – the Inter-Agency Standing Committee (IASC) has tasked the United Nations Office for the Coordination of Humanitarian Affairs (UNOCHA) with developing “a Humanitarian Coordinator’s System that identifies, selects, and trains the most effective individuals so that Country Teams are provided with high quality leadership and coordination in humanitarian emergencies”.2 The IASC Humanitarian Coordinators (HC) Group has as one of its key objectives the expansion of the pool of potential humanitarian leaders, to be deployed either as UN Resident Coordinators/Humanitarian Coordinators (RC/HCs), stand-alone HCs, Regional HCs, or Deputy HCs. This has been undertaken by developing an IASC Humanitarian Coordinators Pool. The purpose of the HC Pool is to build excellence in humanitarian leadership. It is envisaged that candidates will need to have extensive humanitarian experience. Particular attention will be paid to ensure access for women, individuals from developing countries, and individuals from outside the UN. Candidates for the HC Pool will be drawn from the pool of previous and current RCs and HCs, the current HC Pool, and from within the humanitarian community at large. Individualized professional development programs will be developed for candidates on the Roster. This will be closely linked to humanitarian leadership training being developed by OCHA for the HC Pool, and for existing RCs and HCs.

1.1 Background

With the appointment of a Manager of the Humanitarian Coordinators Pool in OCHA’s Humanitarian Coordination System Strengthening Project (HCSSP), a mapping exercise was undertaken from July to September 2008 to facilitate, inform and assist the design and development of HC Pool Phase II. The mapping exercise included reviewing competencies, skills and performance criteria for RC/HCs; developing procedures and criteria for managing the HC Pool, ensuring that they are aligned with human resource policies and practices of UNDP and other relevant UN entities; and developing the concept further. Recommendations from the HC Group drawn as a result of the mapping exercise will be submitted to the IASC- Working Group for its endorsement.

Objectives

The goal of the mapping exercise was to improve the quality of recruitment, assessment, career development, and deployment of Humanitarian Coordinators, through the following objectives: • To quantify and qualify current and recent policies and practices in humanitarian senior

leadership recruitment across the humanitarian sector; and • To inform the definition of a future IASC Humanitarian Coordinators Pool.

2 IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0.


Outputs

A Mapping Report outlining: • Relevant UN and IASC policies and field experience informing development of a HC Pool; • Strengths and areas requiring improvement of the original HC Pool Phase I (2006-7); • Leadership competencies used by humanitarian stakeholders, within the broader UN system, and

within the public service of Member States; • Senior leadership recruitment, assessment, career development, succession planning, training,

deployment, and performance appraisal being undertaken by humanitarian stakeholders; and • Systems, tools processes, and registers utilized by humanitarian stakeholders to track recruitment,

assessment, career development, succession planning, training, deployment, and performance appraisal of humanitarian leaders.

Outcomes

The Mapping Report will inform the development of: • Recommendations from the HC Group to be submitted to the IASC Working Group. • A HC Pool - Manual of Procedures, outlining processes and procedures for recruitment,

assessment, career development, deployment, and performance appraisal, for approval by the HC Group.

• Rollout out of HC Pool Phase II recruitment in late 2008.

Stakeholders

• Operational humanitarian United Nations agencies on the IASC (Human Resources, Operations,

IASC link) • International Organizations (including the International Committee of the Red Cross (ICRC), the

International Federation of Red Cross and Crescent Societies (IFRC), the International Organization for Migration (IOM) on the IASC (Human Resources, Operations, IASC link)

• NGO Consortia (including the Steering Committee for Humanitarian Response (SCHR), the

International of Voluntary Agencies (ICVA), the American Council for Voluntary International Action (Interaction), and Voluntary Organizations in Cooperation in Emergencies (VOICE)) (IASC link and other identified sources)

• Key NGO humanitarian agencies and large Red Cross National Societies (Human Resources,

Operations, IASC link) • The United Nations Development Operations Coordination Office (UNDOCO). • Key donors in UNOCHA support network (Missions and Human Resources staff in capitals) • Humanitarian standard and quality projects dealing with personnel.


1.2 Methodology The findings are based on four sets of sources: 1. A review of literature on humanitarian leadership. This focused on studies of humanitarian

coordination arrangements and experiences in specific country settings across the world over the last 50 years, as well as relevant UN documents. (See Annex D: Bibliography – Resource Documents).

2. Review and summary of items related to Humanitarian Coordination functions and/or the

Humanitarian Coordinators Pool in the sixteen years of IASC Working Group and Principals meeting minutes and background documents. (See Annex D: Bibliography – Resource Documents).

3. More than 200 stakeholders where contacted by email to provide input. Of these, over 100 where

also either interviewed face to face or interviewed by phone. These included past and present Humanitarian Coordinators, staff of UN agencies, staff in the UN Secretariat, donor governments, other UN Member States, the Red Cross and Red Crescent Movement (RC/RCM), IOM, and NGOs, and other experts. (See Annex A: Resource People & Agency Contacts).

4. Written feedback from the same stakeholders and email response to initial findings and drafts. The following constraints were encountered during the Mapping Exercise: • Short time frame – three months; • Staff resources – only one Program Manager and a part-time intern; • Absence of agency’s staff over the summer break; and • Access to and missing data – historic and human resource. These constraints will be countered in the future by ongoing interaction by the HCSSP with stakeholders and ongoing interviews post the Mapping Exercise by the HC Pool Manager with stakeholders unavailable during the research period.


22..00 UUNNIITTEEDD NNAATTIIOONNSS HHUUMMAANNIITTAARRIIAANN LLEEAADDEERRSSHHIIPP && HHUUMMAANNIITTAARRIIAANN

CCOOOORRDDIINNAATTOORRSS Humanitarian coordination is based on the belief that a coherent co-operative response to an emergency by those actors engaged in humanitarian response will maximize the benefits and minimize potential pitfalls of that response. All activities that involve more than one actor require some way of dividing activities among the different actors, and some way of managing the interdependencies between the different activities. These different kinds of interdependencies can be managed by a variety of coordination mechanisms, such as: standardization, where predetermined rules govern the performance of each activity; direct supervision, where one actor manages interdependencies on a case-by-case basis, and mutual adjustment, where each actor makes on-going adjustments to manage the interdependencies. Coordination is not an end in itself, but rather a tool to achieve the goal of saving lives and reducing suffering. This must be achieved by delivering the right assistance, to the right place, and at the right time – enabling those affected by conflict and disasters to achieve their rights to protection and assistance. Over the last two decades, the landscape of humanitarian response has changed dramatically. The humanitarian system has quickly evolved from a system of relatively few actors to one of many actors, with varying capabilities, skills, and priorities. Emergencies can be characterized by competition, not collaboration, as agencies vie for scarce donor (public and government) resources. A range of actors, including local and international military forces and business, driven by different motivations from those of humanitarian organizations, are now seeking to engage in the provision of assistance in emergencies. The international humanitarian “system” includes a large number of UN, international organizations, and non-governmental organizations (NGOs). The UN humanitarian system is composed of six key actors – the United Nations High Commissioner for Refugees (UNHCR), World Food Program (WFP), United Nations Children’s Fund (UNICEF), Food and Agriculture Organization (FAO), World Health Organization (WHO), and the United Nations Development Program (UNDP) – each established by separate treaties, with its own governance mechanism. The section outlines the evolution of UN humanitarian leadership, in particular the parallel development of the Humanitarian Coordinator and Resident Coordinator systems, and how they intertwined, leading up to the creation of the HC Pool Phase I in 1996.

2.1 Early Attempts at UN Humanitarian Leadership 3

The earliest United Nations responses to humanitarian crises, and the need for coordination of the various parts of the UN network, led to the evolution of lead agency status. The lead agency designation was an attempt to answer the problem of coordinating humanitarian missions in the field. Lead agency roles were not always designated. In stable contexts, UNDP took the lead of coordination of response in natural disasters, as “the first among equals”. In crisis or conflict situations, others too took on that role, based on their mandate, or by the sheer weight of presence/capacity on the ground or the political space that they were allowed.

3 UNHCR (2001) The State of the Worlds Refugees 2000 – 50 Years of Humanitarian Action http://www.reliefweb.int/library/documents/prelims.pdf S. A. Cunliffe and M. Pugh (1996) The UNHCR as Lead Agency in the Former Yugoslavia (The Journal of Humanitarian Assistance) http://www.jha.ac/articles/a008.htm . K. Van Brabant (1999) Opening the Black Box. An Outline of a Framework to Understand, Promote and Evaluate Humanitarian Coordination (Humanitarian Policy Group, Overseas Development Institute) http://ocha-gwapps1.unog.ch/rw/lib.nsf/db900sid/LGEL-5DDGWS/$file/odi-hum-jun99.pdf?openelement .


By 1950, the international community had still not established a network of institutions, systems and laws to deal with the refugee problem in a global manner. In 1951 the office of the United Nations

High Commissioner for Refugees (UNHCR) was established and the United Nations Convention

Relating to the Status of Refugees was adopted. Henceforth, UNHCR played the lead role in responding to the needs of refugees and ensuring standards for the protection of refugees under international law across the globe. The exception was the Palestinians, most of who fell under the existing mandate of the United Nations Relief and Works Agency for Palestine Refugees in the

Near East (UNRWA). The 1960s saw an acceleration of crises and displacement as a result of the decolonization process in Africa. The war of independence in Algeria led to outflows of refugees to Morocco and Tunisia. In sub-Saharan Africa, large exoduses of Rwandan refugees occurred to the Congo and elsewhere. In 1967 the geographical and temporal limits of the 1951 UN Refugee Convention were removed by a new Protocol, which made it universally applicable. In 1969, the Organization of African Unity adopted a regional refugee convention of its own, expanding the definition of a refugee to include not only people fleeing persecution but also those fleeing war and communal violence. 4 The "Tripartite Consensus" of 1970 outlined in General Assembly Resolution 2688(XXV) for the first time gave a coordinating and leadership role to a Resident Representative with oversight of coordination of UN development activities across agencies. The UN General Assembly Resolution

32/197 of 1977 stipulated:

On behalf of the United Nations system, overall responsibility for, and coordination of, operational activities for development carried out at the country level should be entrusted to a single official to

be designated taking into account the sectors of particular interest to the countries of assignment, in consultation with and with the consent of the government concerned, who should exercise team leadership and be responsible for evolving, at the country level, a multidisciplinary dimension in sectoral development assistance programmes. These tasks should be carried out in conformity with the priorities established by the competent national authorities and with the assistance, as necessary, of joint interagency advisory groups. Subject to the requirements of individual countries, steps should be taken to unify the country offices of the various United Nations organizations. 5

In the wake of the Nigerian civil war, an earthquake in Peru and the combination of war and natural disaster in Bangladesh, all of which occurred between 1967 and 1971, General Assembly Resolution

2816 (XXVI) of 14 December 1971 set in place a comprehensive framework to organize the UN humanitarian response. In 1972 the Office of the UN Disaster Relief Coordinator (UNDRO) was created “to mobilize, direct and coordinate relief” in response to requests from countries with people requiring relief assistance. In 1971, the war which led to the independence of Bangladesh caused an estimated 10 million Bangladeshi refugees to flee to India in what became the largest single displacement of refugees in the second half of the 20th century. During the crisis, the UN Secretary-General called upon UNHCR to act as the “Focal Point” for coordinating UN and other international humanitarian assistance. In Geneva, High Commissioner Sadruddin Aga Khan established and chaired a UN Standing Inter-

Agency Consultative Unit to assist communication between the components of the UN system most directly concerned with the refugee problem. This body facilitated inter-agency cooperation and the framing of a common UN position on issues of assistance, and took up offers of assistance by governments, inter-governmental and non-governmental organizations6

4 Similar provisions were included by Central American Governments in the Cartagena Declaration on Refugees, 22 November 1984. 5 Paragraph 34 of the annex, UN General Assembly Resolution (1977) GA Resolution 32/197, See also UN Joint Inspection Unit (2005) Some Measures to Improve Overall Performance of the United Nations System at the Country Level, Part II, JIU/REP/2005/2 (Part II). 6 High Commissioner Sadruddin Aga Khan to P. Hoffman, Administrator, UNDP, cable, 21 May 1971, 1/6/5 IND, F/HCR 11.1 http://www.unhcr.org/publ/PUBL/3ebf9bab0.pdf


On 28 August 1973, the governments of Bangladesh, India and Pakistan signed the New Delhi

Agreement, which included provisions for the simultaneous repatriation of three primary groups. These comprised Pakistani prisoners of war and civilian internees in India, all Bengalis in Pakistan, and “a substantial number of non-Bengalis” present in Bangladesh who had “opted for repatriation to Pakistan”. Given its recent involvement as the Focal Point, the Secretary-General asked UNHCR to coordinate all activities relating to the humanitarian effort, working closely with ICRC. The General Assembly in its Resolution 32/197 in 1977 decided to further strengthen the coordination role by establishing the title “Resident Coordinator” as the person with overall responsibility for coordination of operational development activities at the country level, and for exercising team leadership. The concept of “a single official” within the UN system was born. At the same time the GA requested that the UN system’s activities at country level should be decided in accordance with the objectives and priorities of the government concerned. Following up on the same resolution (32/197), the Office of the Director-General for Development

and International Economic Cooperation (ODG/DIEC) was created in 1978 with broad responsibilities for promoting greater coherence and effectiveness by the United Nations system and with direct responsibilities for Resident Coordinators in the field. The Resident Coordinator System was formally put into effect with the designation of the first 71 officials who were to be responsible to the Secretary-General in the exercise of their coordination functions. 7 The flight of refugees from Cambodia, Laos and Vietnam which followed the political upheavals there in the mid-1970s, continued for more than two decades, during which time over three million people fled their countries. Resettlement was seen as the preferred option for most of the Indochinese refugees UNHCR played a regional lead role in assisting refugees throughout this large-scale and sustained crisis. In 1979, the Vietnamese army invaded Cambodia (then Kampuchea), ending the four-year reign of terror conducted by the Khmer Rouge and their leader, Pol Pot. The disruption of agriculture and ordinary economic life under the Khmer Rouge between 1975 and 1978 led to severe food shortages and threatened famine. The new regime installed in Phnom Penh, with it closes ties to Vietnam, was denied international recognition. The UN Secretary-General appointed UNICEF as lead agency for

the entire UN system inside Kampuchea. UNICEF continued to carry the UN lead agency role in Kampuchea up until 1981. From 1979 to 1981, relief aid to the Cambodian border camps was coordinated by a Joint Mission,

headed by UNICEF and the ICRC. At the end of 1981, UNICEF officially withdrew as the lead UN agency for the border relief program - partly to focus its attention on development aid inside Cambodia and partly in protest at the increased militarization of the border camps, especially by the resurgent Khmer Rouge forces, proximate to the camps. Since 1979, UNHCR had been responsible for Khao-I-Dang and other “holding centres” for Cambodian refugees away from the border, but it had avoided seeking a broader role in the border camps. In January 1982, the newly designated United Nations Border Relief Operation (UNBRO) took over the coordination of the relief operation. UNBRO was given a clear mission - to provide humanitarian relief to those who had fled to the “no-man’s land” along the Thai–Cambodian border -but it had no explicit protection mandate, and no mandate to seek durable solutions for the population in its care. It handed operations to UNHCR in 1992, which in turn led the repatriation operation.

7 The ACC and, in particular, the Consultative Committee on Program and Operational Questions (CCPOQ) have been at the centre of elaborating principles and guidelines on the functions and operations of the resident coordinator system. Development of the concept of Resident Coordinator. There are five General Assembly resolutions (GA 32/197: 1977, GA 34/213: 1979, 42/196: 1987, 44/211: 1989 and 47/199: 1982) that are regarded as milestones in this context.


In other situations special ad hoc coordination bodies were also established, such as the Office for

Emergency Operations in Africa (OEOA) set up in 1984 to coordinate responses for crisis in the Horn of Africa. Neither UNBRO nor OEOA had a country-wide remit, which remained with the respective UN Resident Coordinators. In February 1987, the UN Resident Coordinator in Mozambique was appointed UN Special

Coordinator of Emergency Relief Operations and the Office of UNSCERO was created. This new mechanism was staffed by UNDP personnel and was perceived as a UNDP entity. According to commentators, it suffered from intense interagency rivalries that did not allow for consolidated planning, as each agency insisted on a lead role in its particular sphere of activity. Following the Geneva Accords on Afghanistan of April 1988, Sadruddin Aga Khan was appointed Coordinator by the Secretary-General of a new special entity - the United Nations Office for the

Coordination of Humanitarian and Economic Assistance Programs relating to Afghanistan

(UNOCA) with its headquarters in Geneva. UNOCA’s task was by definition short term. UNOCA was established as an office within the UN Secretariat, with the Coordinator reporting directly to the Secretary-General.8 In 1992, UNOCA became subordinated and answerable to the newly created

Department of Humanitarian Affairs (DHA), and in 1993 UNDP retook the responsibility for rehabilitation and economic and development assistance in Afghanistan, leaving the now renamed United Nations Office for the Coordination of Humanitarian Assistance (UNOCHA) with a reduced mandate for relief. The resulting parallel systems for resource mobilization and programming were reintegrated some years later, with the UNDP Resident Representative also nominated as the

Humanitarian Coordinator, with OCHA staff placed in his office. In 1988, the UN Secretary-General, Javier Perez de Cuellar, appointed James P. Grant, Executive Director UNICEF to lead a special relief operation in Sudan. This decision was taken against the backdrop of repeated media reports of a high death toll resulting from war-induced famine. For southern Sudan, some sources put the figure as high as 500,000 persons, most of them children and the aged. Operation Lifeline Sudan (OLS) was officially launched on 1 April 1989 in Nairobi following negotiations between the UN, the Government of Sudan and the Sudan People's Liberation Movement/Army (SPLM/A). In May 1990, the UN launched an emergency appeal for government-held areas of Angola only. The main UN agencies then working in Angola were UNDP (which was lead agency), UNICEF and WFP. The Country Director of UNDP was designated the UN Special Coordinator for

Emergency Relief Operations (UNSCERO). 9 Responding in July 1990 to the worsening crisis in Liberia, the UN Secretary-General set up the

United Nations Special Coordinator for Emergency Relief Operations in Liberia (UNSCOL) under the UNDRO/UNDP representative to coordinate the work of United Nations humanitarian agencies. Based in Conakry, Guinea and Freetown, Sierra Leone, UNSCOL’s mandate also included close liaison, exchange of information among the UN aid agencies in nearby countries, and preparation - once security improved - for their early return to Monrovia.10

8 A. Donini (1996) The Policies of Mercy - UN Coordination in Afghanistan, Mozambique and Rwanda. Occasional paper no. 22 (The Thomas J. Watson Institute for International Studies) http://www.watsoninstitute.org/pub/OP22.pdf . A. Donini et al (1996) Afghanistan Report - Coordination in a Fragmented State (Lessons Learned Report Prepared for the United Nations Department of Humanitarian Affairs) http://www.reliefweb.int/ocha_ol/programs/unocha/afgrpt/afghan.html 9 A. Richardson (2000) New Issues in Refugee Research - Negotiating Humanitarian Access in Angola: 1990 – 2000 (Working Paper No. 18) http://www.jha.ac/articles/u018.htm 10 C. Scott (1995) Humanitarian Action and Security In Liberia 1989–1994: Occasional Paper 40 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op20.pdf


At the end of the Cold War in the 1990s a number of large repatriation operations took place in Namibia, Cambodia, El Salvador, Guatemala and Mozambique. The dissolution of the Soviet Union and inter-ethnic and separatist armed conflicts in the South Caucasus and Central Asia also created waves of displaced people and refugees in the first half of the decade resulting in large relief operations. In keeping with its mandate UNHCR led these responses. Until the Gulf Crisis in 1991, the main mechanisms for coordinating UN emergency assistance at the strategic level were the United Nations Disaster Relief Organization (UNDRO), founded in 1971, and the Resident Representative in recipient states of the UNDP. UNDRO had survived the censure of a Joint Inspection Unit (JIU) report in 1980, but its limited operational capacity was subsequently exposed in complex emergencies, notably in dealing with the exodus of peoples as a consequence of the Gulf War.

UN planning for humanitarian action in the Gulf Crisis had given UNDRO a coordinating role in dealing with an anticipated exodus of several hundred thousand people fleeing Iraq and Kuwait. This involved, maintaining contact with Permanent Missions, agencies, the ICRC and NGOs; acting as a channel for consolidated appeals; and allocating tasks to agencies. At the same time, experienced senior UN staff members were to be deployed to each transit state in the region to act as the focal point for assistance, though under the overall authority of the Resident Representative. The UNDP

Representatives were defined as Humanitarian Coordinators at country level, but, according to some, the nature of their expertise as development programmers did not automatically equip them for emergency relief tasks, and much depended on the personality and energies of individuals.11

The Turkish Government’s refusal to grant asylum to the Iraqi Kurds caused US-led coalition forces to mount a huge relief operation for people stranded on the mountain passes on the Iraqi–Turkish border in early 1991. Subsequently, the coalition forces set up a “safe haven” for them in northern Iraq. In April 1991 a Memorandum of Understanding was signed with the Iraqi Government allowing the UN to provide humanitarian relief to displaced persons "wherever such presence may be needed" through the establishment of UN Sub-Offices and Humanitarian Centers. In May 1991 UNHCR

agreed to be lead agency for assistance to displaced people in all parts of Iraq following a request from the Secretary-General. The violent break-up of Yugoslavia, which began in 1991, led to the largest refugee crisis in Europe since the Second World War. In November 1991 the UN Secretary-General Javier Pérez de Cuéllar requested UNHCR to act as lead UN agency in coordinating the humanitarian assistance to internally displaced people affected by the conflict and to coordinate humanitarian action in the region.12 The meaning of lead agency has evolved since its first use when the Secretary-General reserved the right to designate, in exceptional and system wide emergencies, “a lead entity from among the UN organizations, agencies and bodies”.13 The term has evolved in an ad hoc manner through General

11 S. A. Cunliffe and M. Pugh (1996) The UNHCR as Lead Agency in the Former Yugoslavia (The Journal of Humanitarian Assistance) http://www.jha.ac/articles/a008.htm L. Minear, et al (1992) United Nations Coordination of the International Humanitarian Response to the Gulf Crisis, 1990-1992: Occasional Paper Number 13 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op13.html 12 UN Secretary-General (1991) Report of the Secretary-General Pursuant to Security Council Resolution 721(1991) (UN Doc. S/23280). http://www.un.org/Depts/dpa/repertoire/89-92/89-92_c.pdf F.M. Deng and R. Cohen (eds) (1998) Chapter 6 “Dealing with the Displacement and Suffering Caused by Yugoslavia’s Wars Conceptual and Operational Issues" in Forsaken People: Case Studies on the Internally Displaced. http://books.google.com.au/books?id=NUJfmOZQipkC&dq=Forsaken+People:+Case+Studies+on+the+Internally+Displaced.&pg=PP1&ots=BKPIPqZ7Ll&source=bn&sig=iASI3Efsdf8YIFvLPCHrJuXd8sg&hl=en&sa=X&oi=book_result&resnum=5&ct=result#PPR11,M1 pp. 175-231 Cunliffe and Pugh (1996) 13 UN General Assembly (1981) GA Resolution 36/225.


Assembly Resolutions and specific requests from the Secretary-General. The concept of lead agency, and of the role of coordination, has never been precisely defined in the UN secretariat. 14 It is understood in broad terms that the lead agency is charged with overall operational and field co-ordination of the UN agencies and organizations. In practice, the acceptance of an overall coordinating authority is determined not solely through formal or legal authority, but through power relations and considerations of effectiveness in the provision of humanitarian assistance.15 The lead agency approach in the UN has not been without frictions. Non-lead agencies perceive a conflict of interest between fostering the interests of the UN as a whole and that of the lead agency in particular. As soon as the situation allows then, they may be tempted to re-assert their independence from the leading UN agency.

2.2 DHA, IASC and Humanitarian Coordinators In December 1991, after 17 General Assembly resolutions and decisions seeking to strengthen disaster response, a raft of criticisms of UNDRO’s record, 16 a growing concern that ad hoc arrangements for humanitarian coordination were unsatisfactory, and the Gulf war, the General Assembly passed a resolution with the goal of improving the efficiency and effectiveness of the UN’s humanitarian operations in the field, General Assembly Resolution 46/182 “Strengthening of the

Coordination of Humanitarian Emergency Assistance of the United Nations” of 19 December 1991.17 GA Resolution 46/182 established the post of Emergency Relief Coordinator (ERC), with the following:

To this end, and on the understanding that the requisite resources envisaged in paragraph 24 above would be provided, a high-level official (emergency relief coordinator) would be designated by the Secretary-General to work closely with and with direct access to him, in cooperation with the relevant organizations and entities of the system dealing with humanitarian assistance and in full respect of their mandates, without prejudice to any decisions to be taken by the General Assembly on the overall restructuring of the Secretariat of the United Nations. This high-level official should combine the functions at present carried out in the coordination of United Nations response by representatives of the Secretary-General for major and complex emergencies, as well as by the United Nations Disaster Relief Coordinator….

…The high-level official should be supported by a secretariat based on a strengthened Office of the United Nations Disaster Relief Coordinator and the consolidation of existing offices that deal with complex emergencies. This secretariat could be supplemented by staff seconded from concerned organizations of the system. The high-level official should work closely with organizations and entities of the United Nations system, as well as the International Committee of the Red Cross, the League of Red Cross and Red Crescent Societies, the International Organization for Migration and relevant non-governmental organizations. At the country level, the high-level official would maintain close contact with and provide leadership to the resident coordinators on matters relating to humanitarian assistance.

14 Cunliffe and Pugh (1996) 15 UNHCR (2000) The Kosovo Refugee Crisis - An Independent Evaluation of UNHCR’s Emergency Preparedness and Response (Evaluation and Policy Analysis Unit) EPAU/2000/001 http://www.reliefweb.int/rw/rwb.nsf/AllDocsByUNID/f95e329234f1e04d85256881007c4eb0 16 For insights into UNDRO’s record, see R. Righter (1995) Utopia Lost: The United Nations and World Order. 17 UN General Assembly (1991) GA Resolution 46/182: Strengthening of the Coordination of Humanitarian Emergency Assistance of the United Nations (UN Document A/RES/46/182). See also: UN General Assembly (1971) GA Resolution 2816 (XXVI). UN General Assembly (1989) GA Resolution 44/236, incl. Annexed the International Framework of Action for the International Decade for Natural Disaster Reduction. UN General Assembly (1990) GA Resolution 45/100.


The same resolution created the Inter-Agency Standing Committee (IASC), with the following: …An Inter-Agency Standing Committee serviced by a strengthened Office of the United Nations Disaster Relief Coordinator should be established under the chairmanship of the high-level official with the participation of all operational organizations and with a standing invitation to the International Committee of the Red Cross, the League of Red Cross and Red Crescent Societies, and the International Organization for Migration. Relevant non-governmental organizations can be invited to participate on an ad hoc basis. The Committee should meet as soon as possible in response to emergencies.

The Gulf Crisis in 1990 had generated an Interagency Working Group in Geneva, which subsequently became the standing forum outlined in 46/182, as the IASC, with participation of the heads of leading UN agencies, IOM, RC/RCM, and international NGOs.18

Regarding country level coordination and the Resident Coordinator system the resolution outlined:

…Within the overall framework described above and in support of the efforts of the affected countries, the resident coordinator should normally coordinate the humanitarian assistance of the United Nations system at the country level. He/She should facilitate the preparedness of the United Nations system and assist in a speedy transition from relief to development. He/She should promote the use of all locally or regionally available relief capacities. The resident coordinator should chair an emergency operations group of field representatives and experts from the system.19

On 17 March 1992 the Security Council unanimously adopted Resolution 746 (1992), urging the continuation of the United Nations humanitarian work in Somalia and strongly supporting the Secretary-General's decision to dispatch a technical team and appoint a Humanitarian Coordinator to oversee the effective delivery of humanitarian aid to Somalia. On 20 March 1992 the UN Secretary General appointed David Bassiouni as a stand-alone HC to oversee the delivery of the UN humanitarian assistance to the affected population in all parts of Somalia, in liaison with other international humanitarian organizations The Secretary-General established the United Nations Department of Humanitarian Affairs

(DHA) in April 1992, pursuant to General Assembly Resolution 46/182 of the previous December.20 In the wake of UN operations in Iraqi Kurdistan and Somalia, the resolution recognized the need to strengthen coordination and make more effective the efforts of the international community to provide emergency assistance to victims of natural disasters and complex (i.e. politically precipitated) emergencies. The new department incorporated the old elements of UNDRO, certain Secretariat structures for dealing with emergency programs, and the Secretariat for the International Decade for Natural Disaster Reduction. DHA was headed by the Under-Secretary-General for Humanitarian Affairs, who is also designated Emergency Relief Coordinator. The first IASC Working Group Meeting on 8 July 1992 began their work discussing humanitarian coordination, role of the Resident Coordinator at the field level in responding to disasters based on GA 46/182, and the limitations of the lead agency concept.21 It was not until the 3

rd Session of the

IASC Principals on 22 October 1992 that the role of the RC in emergencies was first raised at a principals meeting.22 At that meeting questions were raised on the capacity of Resident Coordinators to work full-time to concentrate on a given emergency. Concerns were raised on the need to improve the capacity of RCs and procedures to dismiss or stand aside RCs who were deemed unable to fulfill their humanitarian roles. The meeting discussed the increasingly complex nature of emergencies with incursions of politics and the military, and the need for independent humanitarian action. The meeting

18 NGOs are represented by three consortia: SCHR, ICVA, and Interaction. 19 United Nations Security Council (1992) Resolution 746 (1992) Somalia (UN Doc S/RES/746) http://www.unhcr.org/refworld/publisher,UNSC,,SOM,3b00f16a40,0.html 20 GA Resolution 46/182 21 IASC (1992) Summary Record and Action Points incl. IASC focus (IASC – Working Group 1st Meeting). 22 IASC (1992) Summary Record and Action Points incl. intro HCs (IASC Principals 3rd Session October 1992).


introduced the particular skills of humanitarian coordination – highlighting the concept of “humanitarian diplomacy”.

The General Assembly in Resolution GA 47/199 of December 1992 further specified the role and function of the RC outlining provisions for a clearer division of labor between the different UN agencies, commitment to work together, to establish functioning and inclusive coordination structures, and to develop joint country strategies.23 In recognition of the need for RCs with improved leadership skills and capacities, the resolution requested the Secretary-General to widen the pool of qualified development professionals that would be eligible for appointment as UNDP Resident Representatives/Resident Coordinators to the members of the Joint Consultative Group on Policy (JCGP) and to increase transparency in the selection process. The resolution further reaffirmed that the Resident Representative of UNDP should normally be designated as the Resident Coordinator. The 4th Session of IASC Principals on 3 February 1993 highlighted the need for clarification the role of Deputy Special Representatives of the Secretary-General (DSRSGs), RCs, and HCs, which were increasingly being appointed in complex emergencies link to a Special Representative of the Secretary-General (SRSG) as part of a peacekeeping mission.24 The 5th IASC – Working Group

Meeting on 5 July 1993 noted there were eight HCs in complex emergencies deployed at the time and again discussed the need for clarity regarding their roles. They also introduced for the first time the role of HCs and RCs and funding mechanisms. They explored the issue of RCs and HCs and Disaster Management Teams (DMT) and natural disasters.25 In September 1993 UNDP wrote to all RCs regarding DHA and clarifying the role RCs, HCs, and SRSGs in a crisis, and also referred to situations where separate HCs would be appointed. It also outlined the roles of HCs in complex emergencies. 26

2.3 Evolution of the HC System and the RC System In April 1993, in response to these concerns, DHA set up a Humanitarian Assistance Coordination Unit in Angola, Unidade de Coordenação para Assistençia Humanitaria

(UCAH). Reflecting the fact that WFP was the largest UN agency in Angola, a senior WFP official was recruited from Operation Lifeline Sudan to be Humanitarian Coordinator. 27 The United Nations Rwanda Emergency Office (UNREO) was formally established on April 18

1994. In the humanitarian response following the genocide in Rwanda, at first the UN Resident Representative of UNDP was put in charge of the UNREO and given the additional title of Humanitarian Coordinator. On policy and planning matters he reported to the UN Emergency Relief Coordinator/Under Secretary-General of DHA. Some commentators have noted that the Rwandan crisis illustrates the impossibility of combining coordination functions with other responsibilities.

23 UN General Assembly (1992) GA Resolution 47/199: Triennial Policy Review of Operational Activities for Development of the United Nations System (UN Document A/RES/47/199). 24 IASC (1993) Summary Record and Action Points incl. HCs (IASC Principals 4th Session February 1993). 25 IASC (1993) DHA and Coordination of Humanitarian Assistance incl. intro HCs (IASC – Working Group 5th Meeting). 26 L.M. Gomez (1993) Letter to all UNDP Resident Representatives: Cooperation Between UNDP and the United Nations Department of Humanitarian Affairs (UNDP/ADM/93/57). 27 A. Richardson (2000) New Issues in Refugee Research - Negotiating Humanitarian Access in Angola: 1990 – 2000 (Working Paper No. 18) http://www.jha.ac/articles/u018.htm


Donini explains: It is unrealistic to expect the humanitarian coordinator of a complex emergency to assume also the functions of a UNDP resident representative …There is also the problem of primary organization of allegiance. UNDP, which does not have a long tradition in coordinating relief, is perceived by many people as being primarily committed to its development role. This may have negative implications for the day-to-day coordination of humanitarian programs. Indeed, this was the case in Rwanda: as soon as the “breaking phase” was over, the resident representative, who was still also the humanitarian coordinator, was seen as concerned primarily with the UNDP agenda.28

Following the departure of the RC in October 1994 the ERC appointed Randolph Kent from DHA

as a stand alone HC, to head UNREO and act as post-crisis manager and coordinator of humanitarian assistance. UNDP subsequently appointed a Resident Representative. A number of authors have noted the complexities of the HC appointment and tensions that emerged on the loss of HC designation by the RC, and from specialized agencies who questioned the authority of the stand alone HC to coordinate.29 This was further confused by multiple agents of coordination the SRSG, the RC, and now a HC. As the SRSG at the time Shararyar M. Khan notes “It seemed the UN system suffered from an excess rather than a lack of coordination”.30 In a study commissioned by the IASC on Strategic Humanitarian Coordination in the Great

Lakes Region, the study team determined that the "simple reality" was that personality was the central determinant of strategic coordination.31 They noted:

coordinators must be diplomatic yet forceful, respected and liked, consultative and cajoling, first among equals but not overshadowing the collected egos of their colleagues, experienced but untainted, independent, trusted, knowledgeable, charming, and above all, incredibly thick-skinned. It should be no surprise that the personalities of the RC/HCs were in some instances widely considered to be a limitation of their capacity to perform. Where the RC/HCs were not well liked or well respected, the coordination function suffered accordingly.32

The 9

th IASC Working Group Meeting in March 1994 discussed options for improved field level

coordination of humanitarian assistance and outlined three options open to the ERC – designating an RC as HC, designating an independent HC, and designating an agency Country Representative as HC.33 The 11

th IASC Working Group Meeting of June 1994 further explored a draft “Strengthening

Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies.”34 At the 8th Session of IASC Principals on 27 June 1994, the draft was endorsed.35 For the first time the ERC indicated that he would consult members of the IASC in appointing coordinators, and in establishing a pool of candidates with the appropriate profile who were ready to serve as Humanitarian Coordinator at short notice, and for a clearly defined period. 28 Donini (1998) The Policies of Mercy. 29 According to Donini UNDP cut off its support to UNREO and relations became temporarily strained. Cited in S.M. Khan and M. Robertson (2000) The Shallow Graves of Rwanda . http://books.google.com.au/books?id=nPoSnlk_Sk8C&dq=The+Shallow+Graves+of+Rwanda.&pg=PP1&ots=Ts9bD5kvMh&source=bn&sig=FWoh47Ps6-JwKZ-bhRJxqtIq6ec&hl=en&sa=X&oi=book_result&resnum=4&ct=result#PPP14,M1 30 Donini in Khan (2000) p89. 31 S. Lautze, et al (1998) Strategic Humanitarian Coordination in the Great Lakes Region 1996-1997 - An Independent Study for the Inter-Agency Standing Committee http://www.reliefweb.int/ocha_ol/pub/greatlak/intro.html paras 206-9. 32 Lautze (1998) para 208-9. See also former SRSG in Angola, reflecting on the Humanitarian Coordinator there: "[t]here is no doubt that the appointment of a person so well qualified, both professionally and personally, proved a major element in ensuring successful coordination..." M. J. Anstee, "The Experience in Angola, February 1992-June 1993" in J. Whitman and D. Pocock (1996) After Rwanda: The Coordination of United Nations Humanitarian Assistance, p 171. 33 IASC (1994) Draft Improved Field Level Coordination of Humanitarian Assistance: Providing Adequate Support to Emergency Units incl. HC Options (IASC – Working Group 9th Meeting). 34 IASC (1994) Summary Record and Action Points incl. HCs & Field Coordination (IASC – Working Group 11th Meeting). IASC (1994) Draft : Strengthening Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies (IASC – Working Group 11th Meeting). 35 IASC (1994) Summary Record and Action Points (IASC Principals 8th Session June 1994). IASC (1994) Draft Improved Field Level Coordination of Humanitarian Assistance: Providing Adequate Support to Emergency Units incl. HC Options (IASC Principals 8th Session June 1994).


The ERC outlined that the RC and the country DMT represented the first line of responsibility for addressing needs arising from disasters and emergencies. In this context it was particularly important to strengthen the capacity of the Resident Coordinator system, including by developing a cadre of emergency-experienced individuals as well as the necessary back-up support, communications etc. He welcomed the initiative taken by the UNDP Administrator in asking the JCGP to propose candidates for these positions. As in complex or major emergencies, there were situations where any single entity of the system lacked the capacity to respond to the magnitude or aberrant nature of the situation, and the system had thus to seek alternative solutions in such exceptional circumstances. It was his intention to consult members of the IASC in appointing coordinators and in establishing a pool of candidates with the appropriate profile who were ready to serve as Humanitarian Coordinator at short notice, and for a clearly defined period. When a new emergency operation loomed, it was important to rapidly identify an individual with the necessary training and field experience. If the Resident Coordinator in place possessed the right profile to serve as Humanitarian Coordinator, the ERC would, following consultations, confirm his/her designation. Should he or she not have the necessary profile, the ERC would consult with the IASC to identify a suitable candidate for appointment as the Humanitarian Coordinator. In certain situations where one operational agency of the system might be providing the overwhelming majority of assistance, such as UNHCR in Tajikistan, the ERC would consider designating that agency's representative as Humanitarian Coordinator, acting under his authority and reporting to him. In a situation where there was a need to designate a “zonal” coordinator, he would consider assigning such functions to the representative of the main operational agency carrying out responsibilities in those areas. The UNDP Representative at the meeting stated that:

There was an urgent need to maintain the integrity of the Resident Coordinator system. The system should be strengthened to ensure that a greater number of ResReps possessed the appropriate profile. In designating the Humanitarian Coordinator two elements were important, the technical qualifications of an individual and the capacity for "process management". The latter capacity which Resident Representatives had, was need for management of complex emergencies. This capacity was being further strengthened through broadening the base, of candidates and training programs. Authority could also be delegated to the Deputy ResRep [Resident Representative] to allow the Resident Coordinator to devote full time to emergency response. Once the Resident Coordinator was qualified in both respects, and had been appointed, it was important that he/she act on behalf of the system as a whole, and not just one agency.

There was general agreement that the approach offered was logical and pragmatic. WFP expressed concern about the problem of excessive layering in the in-country chain of command. UNHCR noted that there was a distinction between the profile necessary for coordination of preparedness and prevention activities, as opposed to response activities such as capacity building of local agencies, and managing emergency operations. Several members of the Committee expressed their wish that the ERC consult with IASC members on the candidates. At the 9th

Session of the IASC Principals in September 1994, it was agreed that a roster of Potential Humanitarian Coordinators would be created and a paper on the “Profile of Humanitarian Coordinators” would be drafted.36 At the 16

th IASC Working Group Meeting of November 1994,

the “Suggested Profile of Humanitarian Coordinators” was adopted as were the Terms of Reference for the Humanitarian Coordinator. During the discussion on the Roster of Humanitarian Coordinators,

36 IASC (1994) Strengthening Field Coordination of Humanitarian Assistance in Complex Emergencies (IASC Principals 9th Session September 1994).


the issue of the organization of inter-agency meetings to discuss the selection of Humanitarian Coordinators was flagged and agreed.37 At the 10

th Session of the IASC Principals in December 1994, the IASC adopted the report of the

Inter-Agency Task Force on Internally Displaced Persons (IDPs) and its recommendation that the ERC serve as the reference point for the United Nations system to receive information or requests for assistance and protection on actual or developing situations of IDPs, and that might require coordinated international response. At the same meeting, a paper on the “Establishment of Roster of Persons Qualified for Appointment to Position as Humanitarian Coordinator” was adopted.38 The IASC principals approved the Terms of Reference for Humanitarian Coordinators who would “upon the occurrence of a complex emergency in a country” be appointed by the Emergency Relief Coordinator on behalf of the Secretary-General and would be the senior UN official on the ground in charge of “coordinating” international humanitarian assistance. It was agreed that the UN Resident Coordinator serving in the affected country would “normally” become the Humanitarian Coordinator. However, two other possibilities were also foreseen, that a Humanitarian Coordinator might be appointed separately from the Resident Coordinator (or in a situation in which there was no Resident Coordinator), or that a “lead agency” might be designated, whose local Director would exercise the functions of a Humanitarian Coordinator. By the end of 1992, the ODG/DIEC had ceased to exist. Improved coordination at the field level remained a challenge for the UN System and on 2 November 1994 the Secretary-General requested the UNDP Administrator to become responsible for the Resident Coordinator System. 39 The Secretary-General “entrusted the UNDP Administrator with the overall responsibility for assisting him in improving the coordination of operational activities for development, including the strengthening of the resident coordinator system.” A new selection process for RCs was agreed to that would provide for country specific vacancy pools and for candidates to be recommended in the first place from JCGP executive heads. The UNDP Administrator would submit the selected candidate to the Secretary-General, who would designate the RC following approval by the host government. 40 In the 1990s there were two cases where the WFP Country Director was designated the Humanitarian Coordinator in Angola in 1996 and in North Korea.41

37 IASC (1994) Summary Record and Action Points incl. HC Pool (IASC – Working Group 16th Meeting). IASC (1994) Creating a Roster of Potential Humanitarian Coordinators (IASC – Working Group 16th Meeting). IASC (1994) Suggested Profile of Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1994) TOR of the Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1994) Information Note on Field Guidelines for Situation Reports from the Coordinator (IASC – Working Group 16th Meeting). 38 IASC (1994) Summary Record and Action Points (IASC Principals 10th Session December 1994). IASC (1994) Creating a Roster of Potential Humanitarian Coordinators (IASC Principals 10th Session December 1994). IASC (1994) Terms of Reference for the Humanitarian Coordinators (IASC Principals 10th Session December 1994). 39 SG/SM.5380 of 27 July 1994 cited in Administrative Committee on Coordination (1994) Statement on the Role and Functioning of the Resident Coordinator System http://www.undp.org.cu/crmi/files/docs/undp_bcpr_rescoord.pdf 40 ACC (1994). 41 UN News Centre (2002) New UN Humanitarian Coordinator in Iraq Appointed (Press Release) http://www.un.org/apps/news/story.asp?NewsID=3820&Cr=iraq&Cr1=oil refers to Ramiro Lopes da Silva serving as the UN Humanitarian Coordinator in Angola from 1996 to 1998. WFP (1999) Annual Report of the Executive Director: 1998 (Appendix 1) Issues arising from the implementation of the United Nations Secretary-General’s Reform Programme (Agenda Item 3) http://www.wfp.org/eb/docs/1999/wfp000023~2.pdf


The 21st Working Group Meeting of March 1996

42, the 23

rd Working Group Meeting of

September 1996 43

and the 24th

Working Group Meeting of October 199644 discussed the

involvement of the United Nations System in providing and coordinating humanitarian assistance, in particular emerging criticisms of DHA. As part of the Secretary-General’s reform program of the UN in 1997, DHA was succeeded by the United Nations Office for the Coordination of Humanitarian Affairs (UNOCHA), with a smaller staffing, but a clearer mandate and modus operandi with the other UN agencies. The operational tasks were allocated to other UN entities. Information, analysis, policy-development and advocacy towards the Security Council become a major responsibility for OCHA. For the coordination of field operations, OCHA works more clearly with and through the IASC and with and through the operational UN agencies that take a lead. The 25

th IASC Working Group Meeting in January 1997 discussed the appointment of a HC and

its linkage with the resident coordinator system.45 The HC roster was again revisited at the IASC

Working Group ad hoc Meeting in February 1997 where it was decided to maintain a roster of up to 15 qualified and experienced professionals, who could assume the function of HC on a temporary basis, in cases where it is decided that the RC did not have the right profile, until a person able to perform both functions was found. There was an agreement at the same meeting to move towards a “humanitarian coordination arrangement on the basis of the Resident Coordinator system,” but there was text that addressed issues around the procedure of designating HCs, which noted that the RC would only be appointed as HC if s/he had the necessary profile.46 These approaches were endorsed at the 17

th Session of the IASC Principals in March 1997.

47 At the 26

th IASC Working Group Meeting in April 1997, it was suggested that it would be useful to

provide further clarity on the roles of the HC, RC and the Regional SRSG with respect to the political/humanitarian interface and reporting lines/inter-relationships. It also called attention to the need for a consistent and systematic approach to the process for selection of RCs and HCs. 48

The 28th

IASC Working Group Meeting in April 1997 reviewed the agreed methods of humanitarian coordination, appointment of HCs, and HC models of deployment.49

In 1998, Sierra Leone had an RC/HC, a DHA managed Humanitarian Assistance Coordination

Unit (HACU), an SRSG in charge of the UN Observer Mission in Sierra Leone (UNOMSIL) and

government’s central body for humanitarian coordination, the National Commission for

Reconstruction, Resettlement and Rehabilitation (NCRRR). Commentators consider it a case study of the need to clearly define the roles of SRSG, RC, HC and Government.50

42 IASC (1996) The Involvement of the United Nations System in Providing and Coordinating Humanitarian Assistance- IASC Response (IASC – Working Group 21st Meeting). 43 IASC (1996) Summary Record and Action Points (IASC – Working Group 23rd Meeting). IASC (1996) Humanitarian Coordination (Interim Report) (IASC – Working Group 23rd Meeting). 44 IASC (1996) Summary Record and Action Points (IASC – Working Group 24th Meeting). IASC (1996) Humanitarian Coordination (Interim Report) (IASC – Working Group 24th Meeting). 45 IASC (1997) Summary Record and Action Points (IASC – Working Group 25th Meeting). IASC (1997) Great Lakes Region - Information Note on Arrangements for the Coordination of Humanitarian Assistance (IASC – Working Group 25th Meeting). 46 IASC (1997) Follow-up to ECOSOC Resolution 1995/56 - Internally Displaced Persons (IASC - February 1997 ad hoc Working Group Meeting). IASC (1997) Summary Record incl.. Humanitarian Coordinators Pool (IASC - February 1997 ad hoc Working Group Meeting). 47 IASC (1997) Summary Record and Action Points (IASC Principals 17th Session March 1997). IASC (1997) The ECOSOC Review of the Capacity of the UN System in Humanitarian Assistance (IASC Principals 17th Session March 1997). 48 IASC (1997) Summary Record and Action Points (IASC – Working Group 26th Meeting). 49 IASC (September 1997) Summary Record and Action Points incl. ECHA, Corrdination & JIU Report (IASC – Working Group 28th Meeting). IASC (1997) IASC Recommendations on Coordination (IASC – Working Group 28th Meeting) 1997/iasc-wg/XXVIII/2. IASC (1997) Internally Displaced Persons (IASC – Working Group 28th Meeting)1997/iasc-wg/XXVIII/3.3. 50 The RC had been designated HC in November 1994. M. Somers (2000) Dynamics of Coordination,, Occasional Paper 40 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op40.pdf


In 1998 UNHCR was designated lead agency in the Kosovo IDP emergency a status which was subsequently accepted by the Former Republic of Yugoslavia (FRY) authorities.51 UNHCR was the accepted, rather than the formally designated, lead agency in Former Yugoslav Republics (FYRs) of Macedonia, Albania and Montenegro. 52 By virtue of its existing lead status and the fact that the new Kosovo response was clearly a refugee emergency, the extension of its lead status was not contested by other UN agencies. Indeed, OCHA agreed to second staff to UNHCR to support its co-ordination function.53 The Administrative Committee on Coordination (ACC) Guidelines of 1998 explains that the Secretary-General designates RCs after consultation with ACC Chief Executive Board for Coordination (CEB) members and upon the recommendation of the UNDP Administrator. 54 Building up on the provisions of these guidelines, UNDG has further developed policies and procedures for their selection, job descriptions, competencies, profiles and work plans, all available in the relevant website. These were to lead to development of the RC Assessment Centre (RCAC) and Inter-Agency Assessment Panel (IAAP) (see below for more detail). On 26 March 1999 the UNDP Administrator and the ERC wrote jointly to all Resident Coordinators reminding them that in situations where they found themselves leading the UN’s response to a natural disaster, they were responsible directly to the ERC.55 The 39

th IASC Working Group Meeting in November 1999 discussed the establishment of a

system to include inputs from the RC/HC and his/her Country Team and provide feedback from the IASC Working Group to the HCs.56 The 22

nd Session of the IASC Principals in December 1999 reviewed the recommendations of the

HC Retreat in particular their concerns on the HC role, the Consolidated Appeals Process (CAP), security, and IDPs.57

The 40th

IASC Working Group Meeting in February 2000 discussed IASC Policy on protection of Internally Displaced Persons, Operational Guidance to RC/HCs, and strengths, weaknesses and options for improving the competency-based assessment for selection of RCs.58

23rd

Session of the IASC Principals in April 2000 endorsed “Supplementary Guidance to Humanitarian/Resident Coordinators on their Responsibilities in Relation to IDPs”. 59

51 UNHCR had been previously designated lead agency in the Former Yugoslavia Republic by the UN Secretary-General in 1991. 52 UNHCR (2000) Kosovo. 53 UNHCR (2000) Kosovo. 54 Administrative Committee on Coordination (1999) Administrative Management of the Resident Coordinator System - Guidelines for the Resident Coordinator System (Consultative Committee on Programme and Operational Questions (CCPOQ)) http://www.undg.org/archive_docs/920-ACC_Guidelines_on_the_Functioning_of_the_RC_System_-_ACC_Guidelines_on_the_Fun.pdf 55 J.G. Speth, Administrator, UNDP and S. Vieria de Mello, Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator (1999) Letter to Resident Coordinators (26 March 1999) 56 IASC (1999) Summary Record and Action Points incl. IASC – HC Links (IASC – Working Group 39th Meeting). 57 IASC (1999) Recommendations of the HC Retreat (IASC Principals 22nd Session December 1999). 58 IASC (2000) Summary Record and Action Points incl. HC Retreat & RC Selection (IASC – Working Group 40th Meeting). IASC (2000) Final Report of the UNOCHA Management Retreat for Humanitarian/Resident Coordinators (IASC – Working Group 40th Meeting). IASC (2000) IASC Policy on Protection of Internally Displaced Persons Executive Summary (IASC – Working Group 40th Meeting). IASC (2000) IASC Policy on Protection of Internally Displaced Persons - Operational Guidance to Resident/Humanitarian Coordinators (IASC – Working Group 40th Meeting). IASC (2000) The Competency-Based Assessment for the Selection of Resident Coordinators (RCs) Strengths, Weakensses and Options for Improvement (IASC – Working Group 40th Meeting). 59 IASC (2000) Summary Record and Action Points (IASC Principals 23rd Session April 2000). IASC (2000) Draft Supplementary Guidance to Humanitarian/Resident Coordinators on their Responsibilities in Relation to IDPs (IASC Principals 23rd Session April 2000).


On 1 May 2000 Manuel Aranda da Silva of WFP was designated as the UN Regional Humanitarian

Coordinator for the Drought in the Horn of Africa by the UN Secretary-General.60 The 44

th IASC Working Group Meeting in February 2001 agreed that “OCHA should strengthen

its coordination presence in the field, and supports the HCs efforts to elaborate a protocol between the UN and NGOs to enhance coordination and staff security”.61 At the 47

th IASC Working Group

Meeting in November 2001, it was suggested that an HC handbook be created with inputs from the reference groups. It was recommended that the handbook should also articulate aspects of RC involvement in humanitarian situations where there is no HC.62 The 49

th IASC Working Group Meeting in June 2002 reviewed an Issue Paper on the revision of

the Terms of Reference for HCs, which laid out a number of issues with respect to the role of the Humanitarian Coordinator: the selection of the HCs; whether the HC should be “double-hatted” with the Resident Coordinator; transition and development issues; relations with the OCHA field offices; the role of the HC with respect to the country-level IASC; relations with the host government; relations with the SRSG and the military; protection; IDPs; gender; human rights; mine action; advocacy; information management and performance indicators. 63 The 50

th IASC Working Group Meeting in September 2002 introduced the outcome of two inter-

agency meetings held in August and September to discuss the outline and content of the Revised TORs of Humanitarian Coordinators. UNDP mentioned that the United Nations Development Group’s (UNDG) RC Issues Group (RCIG) would be updating the TOR of RCs.64 The 51st IASC Working Group Meeting in November 2002 highlighted training for resource mobilization as a key element of training for the HCs. The question on reporting lines of HCs to RCs was raised in those rare cases when the functions were held by separate people. It was felt that there was a need for the IASC to review and clarify the criteria and deployment of Regional HCs (RHC).65 The 52nd IASC Working Group Meeting in March 2003 agreed that priority should be given to training of HCs and country level agency heads in strategic coordination and fund raising.66 At the 54th IASC Working Group Meeting in September 2003, the IASC Secretariat introduced the issue of the IASC Work Plan 2004, where support to the HC and the United Nations Country Team (UNCT), including training, was proposed as an item of discussion. 67 The 55th IASC Working Group Meeting in November 2003 agreed that there should be greater focus on the issue of the accountability of not only the RC/HCs but also the Country Teams and agencies themselves and suggested that this should be systematically included in the appropriate training for the HCs and heads of agencies in the field. They also discussed the Terms of Reference of

60 WFP (2000) WFP Emergency Report (Report No. 17 of 2000) http://iys.cidi.org/humanitarian//wfp/00a/0018.html 61 IASC (2001) Summary Record and Action Points incl. HC Retreat (IASC – Working Group 44th Meeting). IASC (2001) Management Retreat for Humanitarian/Resident Coordinators - Report (IASC – Working Group 44th Meeting). 62 IASC (2001) Summary Record and Action Points incl. HC TORs (IASC – Working Group 47th Meeting). IASC (2001) Background Note for Terms of Reference of the Humanitarian Coordinators (IASC – Working Group 47th Meeting). 63 IASC (2002) Summary Record and Action Points incl. HC TORs (IASC – Working Group 49th Meeting). IASC (2002) Terms of Reference (ToR) of Humanitarian Coordinator: Issue Paper on Revision of ToR (IASC – Working Group 49th Meeting). 64 IASC (2002) Summary Record and Action Points incl. HC TORs (IASC – Working Group 50th Meeting). IASC (2002) Revision of the Terms of Reference of Humanitarian Coordinator: Summary Record of the Preliminary Meetings of the Inter-Agency Group Overseeing the Revision of the Terms of Reference for the Humanitarian Coordinator (IASC – Working Group 50th Meeting). 65 IASC (2002) Summary Record and Action Points incl. HC TORs - UNDG RC Issues Group Comments on the draft HC TOR (dated Nov 13, 2002) (IASC – Working Group 51st Meeting) AF/JP 11/13/2002. IASC (2002) Revised Terms of Reference for the Humanitarian Coordinator (IASC – Working Group 51st Meeting). 66 IASC (2002) Summary Record and Action Points incl. HC & Humanitarian Financing (IASC – Working Group 52nd Meeting). 67 IASC (2003) Summary Record and Action Points incl. RC HC Split (IASC – Working Group 54th Meeting).


the Humanitarian Coordinators and discussed the role of the Humanitarian Coordinators with a focus on IDPs.68 In the 1990s the “collaborative approach” had been used to respond to internal displacement situations as this was the most appropriate and indeed the only feasible response mechanism. This approach called for all available agencies to contribute within their means and according to their mandates and expertise to the resolution of IDP situations, under the coordination of the ERC at the headquarters level, and at the field level by the HC (or in the absence of an HC, the RC). However, despite agreements on putting the Collaborative Approach into practice, the results failed to match expectations, marked as they were with large gaps in delivery of essential goods and services combined with some areas of duplication, and an ad hoc approach by the system as a whole to the level and comprehensiveness of response. In 2003, an “IDP Protection Survey and Response Matrix” found that there were systematic gaps in protection and some other sectors, that agencies took unilateral and mandate-based decisions on their involvement and lacked accountability, and that HCs were not clear on their responsibilities or accountability to assess and coordinate a comprehensive response. 69 The 56th IASC Working Group Meeting in February 2004 discussed an external review of the IASC and Draft IASC Implementation Plan, which included recommendations on HCs. The meeting also discussed UNHCR’s proposed conclusions concerning the role of HCs, with focus on Internally Displaced Persons. 70 At the 57

th IASC Working Group Meeting in June 2004, the need of

strengthened leadership by the HC/RC and the Country Team in advocacy and protection efforts was raised. Agencies highlighted the need to ensure better understanding by HCs and RCs on human rights issues, and agreed on the process for finalizing the Guidelines for HCs on human rights. The need for the IASC to have a voice in the selection process of RCs for situations in which HC appointment is likely, was also raised.

71 The 58

th IASC Working Group Meeting in September 2004

further underlined the central role of the Humanitarian Coordinator in the implementation of humanitarian policy on IDPs. 72 At the 60

th IASC Working Group Meeting in March 2005, participants expressed concern

regarding the proposed management of the Benn proposal for pooled funding by the Humanitarian Coordinators. They also highlighted the need for HCs to lead joint assessments and planning exercise and consult the annexes of the IDP Policy Package outlining the role of agencies. They discussed the viability of the role proposed by the HCs/DSRSGs in holding their ground on humanitarian issues vis-à-vis the SRSG.73 The 61

st IASC Working Group Meeting in June 2005 recommended making the HC appointment

process more reflective of the system by including non-UN candidates. The Chair of the IASC Task Force on Human Rights and Humanitarian Action also presented the “Human Rights Guidance Note for Humanitarian Coordinators”. 74

68 IASC (2004) Summary Record and Action Points incl. HC Accountability (IASC – Working Group 55th Meeting). 69 UNOCHA (2002) IDP Response Matrix - Methodology, Data, Analysis and Issues for Consideration - Preliminary Report (IDP Unit, UNOCHA) http://www.reliefweb.int/idp/docs/references/IDPMatrixPrelOct03.pdf 70 IASC (2004) Summary Record and Action Points incl. HCs, TORs & IDPs (IASC – Working Group 56th Meeting). IASC (2004) Follow-up to the IASC External Review: Draft IASC Implementation Plan incl. HC recommendations (IASC – Working Group 56th Meeting). IASC (2004) IDPs: Discussion on UNHCR’s Proposed Conclusions concerning the Role of Humanitarian Coordinators, with focus on Internally Displaced Persons (IASC – Working Group 56th Meeting). 71 IASC (2004) Summary Record and Action Points incl. HCs (IASC – Working Group 57th Meeting). 72 IASC (2004) Summary Record and Action Points incl. Integrated Missions (IASC – Working Group 58th Meeting). IASC (2004) Discussion on Integrated Missions: NGO Discussion Paper (IASC – Working Group 58th Meeting). IASC (2004) Internally Displaced Persons: Implementing the Collaborative Response to Situations of Internal Displacement (IASC – Working Group 58th Meeting). 73 IASC (2005) Integrated Missions Study (IASC – Working Group 60th Meeting). 74 IASC (2005) Summary Record and Action Points incl. Non-UN as HCs (IASC – Working Group 61st Meeting).


33..00 HHUUMMAANNIITTAARRIIAANN CCOOOORRDDIINNAATTOORRSS PPOOOOLL PPHHAASSEE II This Section examines the background of HC Pool Phase I, humanitarian reform following the Humanitarian Response Review, outlines key IASC decisions and discussions, and reports key outcomes against the plan developed for the HC Pool Phase I in 1996. 3.1 Humanitarian Reform & the IASC In 2005 the Emergency Relief Coordinator, Jan Egeland, commissioned an independent Humanitarian Response Review (HRR) of the global humanitarian system. The review was planned to assess the humanitarian response capacities of the UN, NGOs, RC/RCM, IOM and other key humanitarian actors map the gaps, and make recommendations to address them. The Review was conducted by four independent consultants between February and June 2005. Regarding Humanitarian Coordinators the HRR concluded:

In its current form and structure, the performance of the UN humanitarian coordination depends too much on the personal qualities and diplomatic skills of the Resident Coordinator/Humanitarian Coordinator. Where these basic qualities exist, the system operates well. Where its performance is dismal, no stakeholder in the non - UN community feels attracted to be part of the system. It is thus in the interest of the humanitarian community to strengthen the system in order to produce a larger number of outstanding Humanitarian Coordinators, to select and train them well in advance of their assignment and provide them with the appropriate tools in order for effective systemic coordination to become the norm. The merged RC/HC position should be reviewed in order to meet a number of conditions required for an RC to be accepted as an HC by the larger humanitarian community.75

The HRR also noted that although Resident Coordinators generally assumed the HC function in major crises, many in the Red Cross/Red Crescent Movement, the NGOs and many donors did not approve of the merging of RC and HC positions. The HRR also outlined possible minimum requirements for an RC to meet to be accepted as HC:

These include: independence from any agency, including his/her mother entity; a neutral position vis a vis the host government; strong humanitarian experience and a mix of operational diplomatic and negotiation skills. Also the responsibility for such a function does not allow wearing more than two hats at any one time. All have stressed the need for a review of the recruitment process and for in-depth training.

The HCs conduct their coordination functions through the UNCT which also engages in developmental and security matters. Although the UNCT operates by consensus within the UN community, its decisions are not binding and most members revert to their respective HQ for final decisions. Where effective HCs exist, NGOs and other non-UN entities are more inclined to participate in the UNCT meetings. The advocacy role of the HCs in negotiating access, obtaining concessions from authorities on the ground and resource mobilization is undertaken well by a few outstanding HCs. This has benefited the Red Cross/Red Crescent Movement, NGOs as well as the UN actors and resulted in greater collaboration.

75 United Nations (2005) Humanitarian Response Review (Commissioned by the UN Emergency Relief Coordinator and Under-Secretary-General for Humanitarian Affairs) http://www.reliefweb.int/library/documents/2005/ocha-gen-02sep.pdf para 22.


The merged RC/HC position continues to provoke debate on its merits and demerits. On the one hand, it provides the leadership at the country level with the necessary strategic leverage vis a vis national governments. On the other, the proximity of the RCs to national governments, could compromise their HC functions, including their impartiality and independence from the very authorities they could be called upon to hold accountable for responsibilities towards their own people. This strengthens the case for the separation of the two functions.76

The HRR made a series of proposals regarding HC positions:

xix. The IASC should review the roles of the ERC and Humanitarian Coordinators and make recommendations to strengthen them in order to better reflect the broader basis of the humanitarian community they serve in their coordination functions (Action: ERC/IASC – immediately) xx. The IASC should review the selection, training and management system for the Humanitarian Coordinators as well as develop a career path for this cadre, including the establishment of a preselected roster of candidates, coming from the different networks part of the IASC. xxi. The IASC should establish criteria (such as independence from any agency, neutral position vis a vis host government, strong humanitarian experience, a mix of operational and diplomatic skills) which the Resident Coordinator would need to meet to be selected as a Humanitarian Coordinator. In cases in which the Resident Coordinators do not meet these criteria, the system should consider a stand-alone HC. A stand-alone HC to be appointed also in case of failed states, uncommitted governments with no degree of accountability and obligations to their citizens and countries at the height of emergencies/disasters without any development opportunities. 77

Humanitarian reform has four main objectives: 1. Sufficient humanitarian response capacity and enhanced leadership, accountability and predictability in "gap" sector/areas of response (ensuring trained staff, adequate commonly-accessible stockpiles, surge capacity, agreed standards and guidelines). 2. Adequate, timely and flexible humanitarian financing (including through the Central Emergency Response Fund). 3. Improved humanitarian coordination and leadership (More effective Humanitarian Coordinator (HC) system, more strategic leadership and coordination at the inter-sectoral and sectoral levels). 4. More effective partnerships between UN and non-UN humanitarian actors. As a response to the HRR, the 62

nd IASC Working Group Meeting in September 2005, in explored

approaches to the first three identified pillars of reform - leadership, sectoral coordination, and funding. 78 Regarding humanitarian leadership, they took particular note of previous attempts at developing leadership selection mechanisms and a HC pool in 1994 and 1997.79 There was broad

76 United Nations (2005) HRR, pp 48-9. 77 United Nations (2005) HRR, p 17. 78 The fourth goal was to be revisited in the Global Humanitarian Platform process in 2007. 79 IASC (1994) Summary Record and Action Points incl intro HCs (IASC – Working Group 8th Meeting). IASC (1994) Draft Improved Field Level Coordination of Humanitarian Assistance: Providing Adequate Support to Emergency Units incl HC Options (IASC – Working Group 9th Meeting). IASC (1994) Summary Record and Action Points incl HCs & Field Coordination (IASC – Working Group 11th Meeting). IASC (1994) Draft : Strengthening Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies (IASC – Working Group 11th Meeting). IASC (1994) Summary Record and Action Points incl HCs & Field Coordination (IASC – Working Group 13th Meeting). IASC (1994) Draft : Strengthening Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies (IASC – Working Group 13th Meeting). IASC (1994) Summary Record and Action Points incl HCs & Field Coordination (IASC – Working Group 14th Meeting). IASC (1994) Strengthening Field Coordination of Humanitarian Assistance in Complex Emergencies (IASC – Working Group 14th Meeting).


agreement that humanitarian coordination should be based on the Resident Coordinator system, but with a rider that RCs should only be appointed as HCs if s/he had the necessary humanitarian profile.80 There was also a broad consensus on a focus on three key areas: • Increasing the pool of readily available humanitarian coordinators; • Improving the current RC/HC selection procedures with a view to ensuring that appropriate

candidates are nominated, and; • Strengthening the existing base of RC/HCs through improved training. In a background document submitted to the IASC Working Group, ICVA indicated support for a broadened pool of HC candidates, but noted that further attention was required on: • Selection criteria of HCs; • Consultation and decision-making process of HC selection; • Dual-hatted (RC/HC) vs. separate roles (RC and HC); and • Accountability and performance appraisal of HCs.81 The 63

rd IASC Working Group Meeting in November 2005 agreed to:

a) Set up an ad hoc HC Issues Group; b) Develop a pool of 20 pre-certified HCs; and c) Include non-UN candidates. 82

At the same meeting, UNDP reported that the UNDG Executive Committee had established, at its retreat of 15 July 2005, a special Assistant Secretary-General (ASG) Task Force in order to improve the quality of Resident Coordinator candidates, and address concerns over the capacities of incumbent RCs and RC/HCs to fulfill an increasingly complex set of tasks. The mandate of the Task Force was to find ways to identify, select, and retain top quality individuals as RC. The issue of performance appraisal of RCs and RC/HCs was also introduced.

IASC (1994) Summary Record and Action Points incl HC Pool (IASC – Working Group 15th Meeting). IASC (1994) Draft TOR of the Humanitarian Coordinator, Profile & HC Roster (IASC – Working Group 15th Meeting). IASC (1994) Summary Record and Action Points incl HC Pool (IASC – Working Group 16th Meeting). IASC (1994) Creating a Roster of Potential Humanitarian Coordinators (IASC – Working Group 16th Meeting). IASC (1994) Suggested Profile of Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1994) TOR of the Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1997) Summary Record incl. Humanitarian Coordinators Pool (IASC - February 1997 ad hoc Working Group Meeting). 80 IASC (2005) OCHA - Strengthening the Humanitarian Coordinator (HC) System: Strengthening of the RC/HC System-Background Note (IASC – Working Group 62nd Meeting). 81 IASC (2005) ICVA - The Humanitarian Coordinator System: Issues for Discussion (IASC – Working Group 62nd Meeting). 82 IASC (2005) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 63rd Meeting). IASC (2005) A Strategy and Plan of Action for Strengthening the Humanitarian Coordination System: A Proposal to the IASC (IASC – Working Group 63rd Meeting).


3.2 Establishment of Humanitarian Coordinators Pool The 33

rd Session of the IASC Principals in December 2005 endorsed recommendations to:

• Establish a pool of 20 pre-certified HCs, including non-UN candidates • Develop a long-term HC strengthening strategy • Develop a list of countries where RCs need to have humanitarian experience.83 A crucial component of the decision was the inclusion of IASC non-UN partners in the pool of candidates. The background paper to these decisions noted:

The prevailing practice of appointing a serving RC as HC has – at times – resulted in concerns, on part of the humanitarian community, about the limited humanitarian experience in the background of the RC. Whilst it may not be practical or realistic to expect that all RCs have strong humanitarian background and skills, it is important to ensure that such experience be considered a requirement for the RC appointment in countries prone to natural disasters, on the verge of a political crisis with potential humanitarian repercussions, or both. Only candidates with appropriate humanitarian experience should be appointed to serve as Resident Coordinators in these countries. In this connection, it is crucial to identify criteria and principles that define what it is expected by “appropriate experience”.

ICVA tabled concerns of many of the non-UN agencies that:

In too many instances, the UN’s preferred option of appointing Resident Coordinators (RCs) as HCs seems to have resulted in inexperienced HCs leading the humanitarian response. As the IDP Protection Survey illustrated, the failures of the collaborative response to IDPs can, at least in part, be attributed to the inability of HCs (not to mention RCs) to effectively lead such a coordinated response. The authority and leadership required is often lacking; the humanitarian experience is often missing, including when it comes to working with actors outside the UN family; and the ability and/or desire to call governments to task, when necessary, is simply not there at times.

Regarding the role of the HC as intermediary for both UN and non-UN parts of the humanitarian system, ICVA noted:

The Humanitarian Coordinator (HC) function is crucial in ensuring a well-coordinated response to humanitarian needs in a country. The HC is supposed to serve the broader humanitarian community. S/He is responsible for establishing comprehensive coordination mechanisms that are inclusive of all actors involved in humanitarian response at the country level. 84

An Ad Hoc Humanitarian Coordinator Issues Group (HCIG) was established by the 63rd IASC

Working Group Meeting in November 2005, to facilitate the establishment of the HC Pool.85 It included SCHR, ICVA, UNHCR, UNDP, WFP, OCHA, the World Health Organization (WHO), the Office of the High Commissioner for Human Rights (OHCHR), and the United Nations Population Fund (UNFPA), and was facilitated by the IASC Secretariat in New York.

83 IASC (2005) Strengthening the Humanitarian Coordination System (IASC Principals 33rd Session December 2005). IASC (2005) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 33rd Session December 2005) PR/0512/1221. 84 IASC (2005) ICVA - The Humanitarian Coordinator System: Issues for Discussion (IASC Principals 33rd Session December 2005). 85 IASC (2005) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 63rd Meeting). IASC (2005) A Strategy and Plan of Action for Strengthening the Humanitarian Coordination System: A Proposal to the IASC (IASC – Working Group 63rd Meeting).


Nominations were sought for HC Pool Phase I, with a deadline of 20 January 2006, attaching: • Terms of Reference for Humanitarian Coordinators; • Job Description for Resident Coordinators; and • Competencies for the evaluation of Resident Coordinators. IASC UN agencies, the Red Cross/Red Crescent Movement, IOM, and NGO consortia were requested to provide up to two candidates each. OCHA, in consultation with the United Nations Development Group Office (UNDGO), also contacted staff on the active roster for Resident Coordinators with strong humanitarian background and Humanitarian Coordinators, whose assignments were nearing completion, to seek their availability for consideration in the HC Pool. The IASC Working Group ad hoc Meeting in February 2006 convened to further develop strengthening of the HC system.86

They determined that OCHA would develop a long-term HC strengthening strategy, further developed recruitment and assessment procedures, and reviewed the first round of applications. Another round of nominations for the HC Pool was sought given poor gender and geographic representation. The second round of nominations for the HC Pool was completed in October 2006 with two female candidates having been added to the HC Pool list. 87 In total 24 candidates were selected from 28 names for the HC Pool by an Inter-Agency Selection Panel of five representatives (the Deputy ERC (DERC), IFRC, ICVA, UNICEF and UNDP). The first deployment was of an independent HC in Lebanon July to October 2006. Two NGO candidates were funded to undertake the RCAC. One failed - one passed. The 64

th IASC Working Group Meeting in March 2006 endorsed the HCIG Action Plan, endorsed

the procedures for the HC Pool, and established a regular HCIG.88 At the same meeting, a report was tabled from the UNDG Executive Committee Task Force reviewing a range of issues related to RC/HC assessment, selection, support, and training. In particular, the Resident Coordinator Assessment Centre (RCAC), the Inter Agency Assessment Panel (IAAP), and the RC/HC/DO and UNCT Performance Appraisal.89 The interface with these issues is further examined in Section 5 of this report.

86 IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordinator System (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1312/7. IASC (2006) Strengthening the Humanitarian Coordinator System - Draft Procedures for the Humanitarian Coordinators’ Pool (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1277/3. IASC (2006) Strengthening the Humanitarian Coordinator System - What is our goal and how do we get there Draft Outline for the Long-term Strategy (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1278/3. IASC (2006) Strengthening the Humanitarian Coordinator System - Establishing a Pool of Humanitarian Coordinators (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1279/3. 87 Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7. 88 IASC (2006) Final Summary Record and Revised Action Points (IASC – Working Group 64th Meeting) WO/0603/1546/7. IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 64th Meeting) WO/0603/1558/5. IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? - Draft Action Plan (IASC – Working Group 64th Meeting) WO/0603/1405/7. IASC (2006) Annex 2 to Draft Action Plan: Procedures for the Humanitarian Coordinators’ Pool (IASC – Working Group 64th Meeting) WO/0603/1404/7. 89 IASC (2006) Annex 1 to Draft Action Plan: Special Task Force on RC/HC Assessment, Selection, Support and Training Recommendations for consideration by the UNDG Executive Committee (IASC – Working Group 64th Meeting) WO/0603/1405/7.


The 34th Session of the IASC Principals in April 2006 endorsed the Action Plan for “Strengthening the Humanitarian Coordinator’s System”. Importantly they endorsed the following Guiding Principles for the HC Pool: • Greater transparency, participation and ownership in appointment of Humanitarian Coordinators,

and thus strengthened commitment to coordination at the field level. • Greater availability of high-quality candidates. • Inclusion of HCs nominated from outside the UN System. 90 The Action Plan outlined the appointment procedure for Humanitarian Coordinators.

The ERC will decide, on a case-by-case basis, on appointments of HCs drawn from the Pool. When appointing a Humanitarian Coordinator, the ERC will first look into the suitability of the incumbent Resident Coordinator, in the event that s/he may not be suitable to take the additional HC function, the ERC will in principle select from, the Pool. The ERC may, however, depending on the specific country situation, political sensitivities, and availability of pool candidates, choose to propose to the IASC a nomination outside the Pool. Should an individual from the HC Pool be identified for an HC position, the ERC will only inform IASC Partners of his decisions, since the IASC has already vetted the candidate through his/her inclusion in the Pool. The ERC, will of course, continue to consult the IASC prior to nominations for HC positions of individuals who are not included in the HC Pool. 91

Originally all humanitarian reform issues (except for humanitarian funding), including humanitarian leadership, were also covered by OCHA’s Internal Displacement Division (IDD). In July 2006 a separate OCHA Humanitarian Reform Support Unit (HRSU) was created, but over time policy, as well as management of the HC Pool shifted to New York and was covered by the IASC Secretariat in New York and the Office of the DERC. The April 2006 Principals meeting had also endorsed issues relating to field coordination mechanisms emerging from humanitarian reform (like broad-based humanitarian country teams) as part of the Action Plan on the Humanitarian Coordinator system. These would re-emerge in the discussions around the Global Humanitarian Platform and partnership. Although HRSU continued to be part of the working level group of the GHP, it was not until 2008 that an OCHA staff member was employed to cover this full time. The 65

th IASC Working Group Meeting in July 2006 endorsed the training concept paper which

prepared a series of workshops for the HC Pool and endorsed the profile for HCs.92 The 66th

IASC

Working Group Meeting in November 2006 explored policy issues regarding: (i) determining situations where the separated RC/HC role and DHC role would be appropriate and what role the IASC should play in advising the ERC; and (ii) How to achieve a more objective assessment RC/HC/Designated Official (DO) and UNCT Performance Appraisal. That meeting also requested that OCHA develop and circulate two lists: (i) Countries with existing HCs; and (ii) Countries where

90 IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0. 91 IASC (2006) Strengthening the Humanitarian Coordination System. IASC (2006) Final Summary Record and Revised Action Points (IASC – Working Group 64th Meeting) WO/0603/1546/7. IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 64th Meeting) WO/0603/1558/5. 92 IASC (2006) Final Summary Record and Revised Action Points/Conclusions incl. Humanitarian Reform: Strengthening Humanitarian Coordination System (IASC – Working Group 65th Meeting) WO/0607/1705/7. IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 65th Meeting) WO/0603/1558/5. IASC (2006) Strengthening the Humanitarian Coordinator’s System - HC Training and the HC Profile (IASC – Working Group 65th Meeting) WO/0607//7.


RCs with the requisite humanitarian skills should be appointed given the likelihood of humanitarian needs in disaster prone areas.93 The IASC principals meeting in December 2006 identified the following substantive issues to be addressed in the Action Plan for the HC Pool in 2007: • Mechanisms where humanitarian background is considered in the selection of Resident

Coordinators • Criteria for separation of RC/HC functions • Definition of “complex political context” that leads to separation and time limits after separation • Coordination with UNDG in training processes for RCs. 94 In December 2006 Jan Egeland appointed a candidate from the HC Pool, a senior Norwegian woman Country Director from a non-UN agency, as an independent HC in Uganda. In January 2007 she was deployed to Uganda, but was withdrawn due to lack of Government recognition. The process brought into question a range of issues: preparation and support for the HC Pool; relations between HCs and the OCHA Head of Country Office; the UN and non-UN and Humanitarian Country Teams; the need to use only the RC/HC model; and sustainability of non-UN candidates on the HC Pool. A number of resource people indicated that some non-UN agencies were nervous to put forward candidates to the HC Pool following the Uganda experience, noting the need for good prepared deployment in addition to good recruitment. The 67

th IASC Working Group Meeting in March 2007 “noted the need to

focus on the issue of host government recognition” as a critical element that required further work.95 The 35th Session of the IASC Principals in April 2007 agreed “that the Strengthening of the Humanitarian Coordination System project required urgent attention, particularly in reviewing the stand-alone HC concept.” 96 It expected that the IASC HC Pool will be reviewed and possibly augmented in the second half of the year. OCHA would also work to promote humanitarian expertise in RC candidates, to ensure that both new and incumbent RCs, when called upon, can successfully accomplish an increasingly complex set of humanitarian tasks as well as ensure effective leadership on recovery and transitional planning. This was particularly relevant for Resident Coordinators operating in disaster-prone countries.

93 IASC (2006) Summary Record, Revised Action Points and Conclusions incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 66th Meeting) WO/0611/1941/7. IASC (2006) Strengthening the Humanitarian Coordinator System - Circumstances leading to the Separation of the RC and HC Functions and the Role of Deputy Humanitarian Coordinator (IASC – Working Group 66th Meeting) WO/0611/1947/7. 94 IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7. 95 IASC (2007) Update on the Cluster Approach and Other Humanitarian Reform Developments - Humanitarian Coordinators Strengthening (IASC – Working Group 67th Meeting) WO/0703/2056/7 96 IASC (2007) Summary Report of Humanitarian Reform Implementation, including a Progress Update on Global Clusters and Field Implementation – incl. Strengthening Leadership: Humanitarian Coordinator Action Plan (IASC Principals 36th Session April 2007) PR/0604/2158/7. IASC (2007) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 36th Session April 2007) PR/0704/2240/7.


3.3 HC Pool Phase I 3.3.1 Selection Nominations were sought with the following experiences listed as an important part of the applicant’s background, in order to be successfully placed as an RC/HC: • Several years managerial field experience at a senior level • Representational experience, (i.e. having represented their organization in negotiations, • advocacy etc) • Humanitarian knowledge and experience • Development knowledge and experience • Knowledge of the UN or other multilateral systems These are the criteria currently used to select RC/HCs. Additional elements were identified to further elaborating the concept of “Humanitarian Knowledge and Experience”, including: • Experience and knowledge in dealing with natural disasters • Experience and knowledge in dealing with complex emergencies • Knowledge of International Humanitarian Law • Knowledge and exposure to inter-agency/consultative processes • Experience in leading multi-disciplinary teams at senior level. • Experience in coordinating teams In addition to the experiences mentioned above, it should be recalled that RC/HCs are assessed on the basis of the following competencies and core values:

Competencies

• Leadership – Implementing the Vision, Strategic Perspective, Influence To Action • Managing Complexities – Organizing and Coordinating, Flexible Decision Making, Analytical

Judgment • Managing Relationships – Building and Maintaining Relationships, Team Commitment, • Communication, Managing Conflict and Stress

Core Values

• Integrity and Commitment • Fairness and Equality • Cultural Adaptability and Sensitivity • Commitment to learning Competencies and Core Values are assessed through the Resident Coordinator Assessment Centre (RCAC) and through individual interviews conducted according to specific techniques.


3.3.2 Profiles Candidates were sought from IASC UN agencies, the NGO Consortia, individuals in the Active Roster for RC, and currently serving HCs who had indicated a willingness to be considered for the pool. Of a total of 28 candidates only five were women. The average age of the candidates was 49.7.97 Most, but not all, had several years managerial field experience at a senior level (i.e. as Head of Office, Country Director, Head of large Sub-Office in the field, Regional Representative etc.), on average 5.8 years.98 Most had representational experience (i.e. having represented their organization in negotiations, advocacy both at headquarters/capitals and in the field), on average 7.3 years.99 All candidates submitted had good, and often very good or excellent, understanding of humanitarian issues and/or international humanitarian law, and/or specific issues such as water/sanitation, emergency response, food security etc. Seven candidates also possessed academic qualifications and/or experience on working on development issues. In addition to the UN candidates, one candidate submitted by non-UN partners had prior experience working with the United Nations

The selection process was carried out by a panel consisting of the DERC, and representatives of ICVA, UNDP, IFRC, and UNICEF, reviewing curriculum vitae against the above criteria. A preliminary review of the nominations showed significant discrepancies in the candidatures submitted for the Pool. In the first round of selection, some of the candidates did not appear to have the sufficient experience at senior level to successfully go through the selection process for RC/HCs and, most importantly, to credibly lead a complex and multidisciplinary team of senior managers, such as the Humanitarian Country Team. Some of the candidatures submitted also seemed to indicate a lack of clarity on the actual breadth and depth of experiences and knowledge necessary to be selected and successfully perform as an RC/HC. Some candidates, however, showed a strong potential for growth and attainment, with appropriate training and coaching, the necessary knowledge and experience. A second round of HC nominations was initiated to improve the gender and geographical balance of the HC Pool. The second round of nominations for the HC Pool was completed in October 2006 with two female out of four new candidates having been added to the HC Pool list. 100 The final list was reduced to 24 candidates, from the following agencies: • Action Aid International 1 • CARE US 2 • IFRC 4 • Mercy Malaysia 1 • Norwegian Refugee Council 1 • OCHA 3 • OXFAM 1 • UNDP 5 • UNHCR 2 • WFP 4

97 With ages ranging from 36 to 59.2 IASC (2006) Strengthening the Humanitarian Coordinator System - Establishing a Pool of Humanitarian Coordinators (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1279/3. 98 Ranging from no experience at all to 14 years. 99 Ranging from 1 year to 25 years. 100 Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7.


2006-2008 Status of HC Pool Phase I 101

STATUS HC Pool (Total 24)

102

Countries

Passed RCAC

13

Failed RCAC

2

Not attempted RCAC

9

Deployed as stand-alone HC 103

2 Lebanon, Uganda

Deployed as RC/HC 4

CAR, Georgia, Nepal & Somalia

Deployed as DSRSG/RC/HC 2

Afghanistan, Iraq

Deployed as DHC 104

2 North Sudan x 2

Deployed as RC 105

4 Georgia, India, Tajikistan, & Thailand

Total deployments 14

Retired, Retiring, Withdrawn

6

Profile of the Fourteen Deployed

Gender 12 Male 2 Female Country of Origin 12 OECD 106 2 Non-OECD Agency of Origin 13 UN 1 Non-UN

Comparison of Profiles between HC Pool Phase I and Current HCs & DHCs

PROFILE HC Pool

(Total 24)

Current HCs &

DHC (Total 29)

Currently stand alone HCs

0 1

Currently RC/HCs 4

17

Currently DSRSG/RC/HCs 1

8

Currently DHC 1

3

101 Data provided by Resident Coordinator Unit, Office Human Resources, UNDP 102 NB: Some individuals have been deployed more than once. 103 NB: One individual was appointed HC and subsequently appointed DSRSG/RC/HC in another country. 104 NB: One individual was appointed RC/HC and subsequently appointed DHC in a different country. 105 NB: One individual was appointed RC and subsequently appointed HC. 106 Organization for Economic Cooperation and Development


Comparison of Profiles between HC Pool Phase I and Current HCs & DHCs

PROFILE HC Pool

(Total 24) 107

Current HCs & DHC

(Total 29)

Field experience

(average in years)

15 years 108

16 years 109

Headquarters experience

(average in years)

8 years 110

7.6 years 111

Humanitarian experience

(average in years)

17 years 112

9 years 113

Development experience

(average in years)

6 years 114

14.5 years 115

UN 12 (55%) 116

UN 23 (92%) 117

Agency of Origin UN compared to Non-

UN (NGO, IOM or Red Cross/Red

Crescent Movement) Non-UN 11 (45%)

Non-UN 2 (8%)

Female 6 (26 %)

Female 5 (17 %)

Gender

Male 18 (74 %)

Male 24 (83 %)

Average Age in 2008 54.7 years 118

54 years 119

OECD Members 19 (82 %) 120


Nationality (OECD/Non-OECD)

(NB: missing data)

Non-OECD Members 4 (18 %)


UNDP 4 (17%)

UNDP 10 (40%)

Other UN 9 (37%)

Other UN 13 (52%)

Agency of Origin

Non-UN 11 (46 %)

Non-UN 2 (8 %)

NB: Not all data available, as a result totals are sometimes incomplete.

107 NB: percentages of total. Some individuals have been deployed more than once. 108 Data not available or not recorded : 1/24 individuals 109 Data not available or not recorded : 5/29 individuals 110 Data not available or not recorded : 1/24 individuals 111 Data not available or not recorded : 5/29 individuals 112 Data not available or not recorded : 1/24 individuals 113 Data not available or not recorded : 4/29 individuals 114 Data not available or not recorded : 1/24 individuals 115 Data not available or not recorded : 5/29 individuals 116 Data not available or not recorded : 1/24 individuals 117 Data not available or not recorded : 4/29 individuals 118 Data not available or not recorded : 1/23 individuals 119 Data not available or not recorded : 6/29 individuals 120 Data not available or not recorded : 1/23 individuals 121 Data not available or not recorded : 3/29 individuals


Comparison of Education Profiles between HC Pool Phase I and Current HCs & DHCs

HC Pool (Total 24)

122

Current HCs and DHC

(Total 29)

Bachelor Degree (25) 123

Bachelor Degree (25) 124

Arts 4 (17 %)125 Arts 4 (16 %) 126 Social Science 11 (48 %)127 Social Science 13 (52 %) 128

Economics, Business, Finance 8 (35 %)129 Economics, Business, Finance 8 (32 %) 130

Science 2 (9 %)131 Science 0 Masters Degree (24)

132

Masters Degree (26)133

Arts 5 (22 %) 134 Arts 2 (8 %) 135

Social Science 7 (30 %) 136 Social Science 12 (48 %) 137 Economics, Business, Finance 9 (39 %) 138 Econ, Business, Finance 12 (48 %) 139 Science 1 (4 %) 140 Science 0 Law 1 (4 %) 141 Law 0

Medicine 1 (4 %) 142 Medicine 0 Doctorate or PhD (4)

143

Doctorate or PhD (6) 144

Arts 0 Arts 1 (4 %) 145 Social Science 2 (9 %) 146 Social Science 3 (12 %) 147 Economics, Business, Finance 1 (4 %) 148 Economics, Business, Finance 2 (8 %) 149

Medicine 1 (4 %) 150 Science 1 (4 %) 151

122 NB: percentages of total. Some individuals hold more than one degree. 123 Data not available or not recorded : 1/24 individuals 124 Data not available or not recorded : 4/29 individuals 125 Languages 2, Arts 2 126 French Studies 1, American and British Studies 1, Languages 1, Arts 1 127 Political Science 3, History 2, Psychology 1, International Relations 1, Geography 1, Anthropology 1, International Studies 1, Social Work 1 128 Political Science 4, History 3, Psychology 2, International Relations 1, Geography 2, Anthropology 1 129 Economics 6, Business Admin 1, Business Management 1 130 Economics 7, Business Admin 1 131 Agricultural Science 1, Applied Science 1 132 Data not available or not recorded : 1/24 individuals 133 Data not available or not recorded : 4/29 individuals 134 Education 2, Languages 1 135 English Civilization 1, American Studies 1 136 Development Studies 1, Geography 1, Political Science 2, Africa Area Studies 1, International Development 1, Social Admin 1 137 Development Studies 3, International Relations 4, Pacific Studies 1, History 1, Geography 1, Community Development 1, Political Science 1 138 Economics 1, Business Admin 2, Public Admin 1, International Affairs 1, Resource Management 1, Computer and Business 1, Water and Environmental Management 1, Admin 1 139 Economics 5, Business Admin 2, Public Admin 1, Finance 1, International Affairs 2, Resource Management 1 140 Agriculture 1 141 Law 1 142 Gynecology 1 143 Data not available or not recorded : 1/24 individuals 144 Data not available or not recorded : 4/29 individuals 145 Linguistics 1 146 International Relations 1, Agricultural Geography 1 147 Political Science 1, International Politics 1, International Relations 1 148 Public Admin 1 149 Economics 1, Agricultural Economics 1


Comparison of HC Pool, RC Pool, Current HCs & Current RCs

PROFILE HC Pool

(24)

RC Pool

(138)

Current HC &

DHCs (29)

Current RCs

(137)

Female 6 (26 %)

Female 57 (41 %)

Female 5 (17 %)

Female 40 (29 %)

Gender

Male 18 (74 %)

Male 81 (59 %)

Male 24 (83 %)

Male 97 (71 %)

Average Age at 2008 54.7 years 152

51.3 years 153 54 years 154 51 years 155





Nationality

(OECD/Non-OECD)

(NB: missing data)





UNDP 4 (17%)

UNDP 82 (59%)

UNDP 10 (40%)

UNDP 100 (73%)

Other UN 9 (37%)

Other UN 56 (41%)

Other UN 13 (52%)

Other UN 36 (35,3%)

Agency of Origin

Non-UN 11 (46 %)

Non-UN 0

Non-UN 2 (8 %) [the total in this column don’t add up]

Non-UN 1 (0,7 %)

NB: Not all data available, as a result totals are sometimes incomplete. Key issues to draw from this data include: • The gender imbalance is starkest among current HCs, the HC Pool Phase I, and RCs, compared

to the RC Pool (with 24 to 12 points more females). • HC Pool Phase I had a very high proportion of candidates originating from OECD countries and

a high proportion of current HCs are from OECD countries, compared to the RC Pool and current RCs which have a balance.

150 Medicine 1 151 Nutrition 1 152 Data not available or not recorded : 1/23 individuals 153 Data not available or not recorded : 16/137 individuals 154 Data not available or not recorded : 6/29 individuals 155 Data not available or not recorded : 16/137 individuals 156 Data not available or not recorded : 1/23 individuals 157 Data not available or not recorded : 16/137 individuals 158 Data not available or not recorded : 3/29 individuals 159 Data not available or not recorded :16/137 individuals


• Current RCs and the RC Pool Phase I members were almost exclusively drawn from a UN background, as is a high proportion of current HCs, compared to a balance in HC Pool Phase I. However, very few candidates from a non-UN background were deployed from the HC Pool Phase I.

3.4 Humanitarian Coordination System Strengthening Project (HCSSP) In July 2007 OCHA created a Humanitarian Coordination System Strengthening Project (HCSSP) based in Geneva, staffed initially by a Senior Coordinator and a Leadership Development Coordinator. The IASC HCIG (renamed HC Group) was revived and in September 2007 adopted a three-year Work Plan that operationalizes the Action Plan approved by IASC Principals in April 2006. In November 2007 an IASC HC Training Group (HCTG) was created. In October 2007 a Knowledge Management Officer was employed to develop information materials for HCs, RC/HCs and RCs. In June 2008, an HC Pool Manager was appointed to review HC Pool I, and to map options for and manage HC Pool Phase II. The IASC principals meeting in December 2007 “agreed to continue to work, with greater emphasis, to improve leadership of both cluster leads and HCs as well as on capacity building at global and field level, including by mobilizing resources”.160 The creation of the HCSSP and its work and the work of the HCIG have regularly been table at subsequent IASC Working Group meetings. 161 The following table reports back outcomes against key objectives designated in the original plan endorsed at the IASC Principals 34

th Session in April 2006:

PPLLAANNNNEEDD OOUUTTCCOOMMEESS && AACCTTIIOONNSS AACCTTUUAALL OOUUTTCCOOMMEESS && AACCTTIIOONNSS

Outcome No 1. Strengthened commitment to coordination at

the field level by all humanitarian partners.

Action 1.1 The IASC Working Group to discuss and agree on proposals for broad-based humanitarian country teams. (By July 2006)

• The Global Humanitarian Platform was established as a forum for inclusive approaches, respect for diversity, mutual accountability, complementarity and transparency, based on equal partnerships. In particular, to support such partnerships at the field level, by introducing principles of partnership and establishment of more inclusive humanitarian community partnership teams.162

• In 2008 OCHA appointed a Partnership Coordinator to oversee the Global Humanitarian Platform.

160 IASC (2007) Summary Report of Humanitarian Reform Implementation, including a Progress Update on Global Clusters and Field Implementation – incl. Strengthening Leadership: Humanitarian Coordinator Action Plan (IASC Principals 36th Session April 2007) PR/0604/2158/7. 161 IASC (2007) Update on the Cluster Approach and Other Humanitarian Reform Developments - Humanitarian Coordinators Strengthening (IASC – Working Group 67th Meeting) WO/0703/2056/7 IASC (2007) Strengthening the Humanitarian Coordination System – Progress on the Action Plan (IASC – Working Group 68th Meeting) WO/0706/2257/7. IASC (2007) Strengthening the Humanitarian Coordination System - Reportback (IASC – Working Group 69th Meeting). IASC (2008) Strengthening the Humanitarian Coordination System – Progress on the Action Plan (IASC – Working Group 70th Meeting) WO/0803/2606/7. 162 Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7.



Action 1.2 Plans for the establishment of appropriate humanitarian country teams developed by all RC/HCs and country teams in place. (By July 2006 and November 2006).

• The ERC sent a note to Humanitarian Coordinators and OCHA Heads of Office in early 2006, requesting information about "existing coordination mechanisms in your area of operations, including an account of the various participating partners and the membership of the Country Teams ... [as well as]... a general overview and analysis of how you perceive relations and collaboration between UN, NGOs and other non-UN partners, including challenges and areas identified that require further improvement”. 163 At the IASC Working Group Retreat in September 2007 a review was presented of IASC-like Coordination Mechanisms in the Field.164

• Development of Humanitarian Country Teams is still in train.

Outcome No. 2 Greater inclusiveness, transparency, and ownership in the appointment of Humanitarian Coordinators

Action 2.1 The IASC Working Group to agree on a Pool of Humanitarian Coordinators inclusive of non-UN IASC partners for possible short-term and/or immediate deployment to replace or join existing RCs, and Humanitarian Coordinators for long-term assignments as RC/HCs to be eventually integrated into the RC Pool. (by March 2006)

• HC Pool criteria, competencies, procedures for selection, and appointment were endorsed.

• 2008: Mapping Exercise undertaken to review HC Pool Phase I and identify options for HC Pool Phase II

Action 2.2

OCHA to maintain the pool for a year and regularly update it. (2006)

• 2006-2008: HC Pool Phase I was maintained for two years.

• HC Pool Phase I was established with 24 candidates

• 2008: HC Pool Manager appointed to oversee HC Pool Phase II.

Action 2.3 The IASC Working Group to agree on Procedures for the use of the Pool. (March 2006)

• 2006: Procedures on appointment established.

163 Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7. 164 IASC (2007) IASC-‘Inspired’ Coordination Mechanisms in the Field (IASC – September 2007 Working Group Retreat) WO/0709/2358/7.



Action 2.4

The ERC, in consultation with the IASC, to review the use and effectiveness of the Pool of Humanitarian Coordinators. (March 2007)

• 2008: HC Pool Mapping Exercise forms basis of review and deliberation by HCG in October 2008, IASC Working Group in November 2008, and IASC Principals in December 2008.

Action 2.5

The IASC Working Group to agree on an “improved” version of the Humanitarian Coordinator’s Pool or to identify an alternative mechanism to effectively input into the IAAP selection of RC/HCs. (May 2007)

• 2008: HC Pool Mapping Exercise proposes Humanitarian Coordinator’s Pool Phase II, including improved selection, training, capacity building, succession planning and mechanisms for the ERC to draw from the HC Pool.

Action 2.6

OCHA, in consultation with the United Nations Development Group, to review and, if appropriate, amend the RC Competencies to reflect competencies specific to the Humanitarian Coordinator. (May 2006)

• Competencies reviewed. • 2008: RC Terms of Reference revised to

reflect DRR, contingency planning and responses to small/medium size disasters.

Action 2.7

The IASC Working Group to agree on a Profile for Humanitarian Coordinators to reflect the ability to be inclusive, make swift decisions, be assertive of Strengthening the Humanitarian Coordinator’s System Inter-Agency Standing Committee (IASC) humanitarian principles and human rights as well as managing humanitarian emergencies and being able to build consensus. (May 2006)

• The IASC Working Group in July 2006 endorsed the profile for Humanitarian Coordinators with a view to facilitating the identification and selection of candidates for HC positions, comparable in seniority and experience to a D1 in the United Nations system.165

• 2008: Draft Revised HC TORs to be presented to IASC-WG

165 IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 65th Meeting) WO/0603/1558/5. IASC (2006) Strengthening the Humanitarian Coordinator’s System - HC Training and the HC Profile (IASC – Working Group 65th Meeting) WO/0607//7. Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7.



Action 2.8

The IASC Working Group to produce and update on a regular basis a list of countries where the RC should have strong humanitarian experience and the ERC to inform the UNDP Administrator accordingly. (on-going)

• 2006: IASC Working Group agreed that OCHA will develop and circulate two lists: (i) Countries with existing HCs and (ii) Countries where RCs with the requisite humanitarian skills should be appointed given the likelihood of humanitarian needs in disaster prone areas.166

• Countries at risk continue to be identified by the Early Warning/Early Action Group.

• June 2006 HCIG asked OCHA Coordination & Response Division (CRD) to review the list of countries and submit to the IASC HCIG. for review. HCIG agreed that another round of consultations was required before finalizing the list. Specifically, it was agreed that it would be more useful and practical to look at countries where RC vacancies will be coming up in the short and medium term, and to include rationales under each country for inclusion in the list.

Action 2.9

The IASC Working Group to agree and recommend to the ERC a clear and transparent process for the appointment of HCs in those cases where an existing RC may need to be joined by an HC. (Second half of 2006)

• No IASC process currently in place to choose HC Model.

Action 2.10

The IASC Working Group to discuss and agree, for recommendation to the ERC, on the circumstances under which a separate appointment of Resident and Humanitarian Coordinators would be advisable. OCHA to produce a paper to form the basis for the IASC Working Group discussion. (Second half of 2006).

• At the IASC Working Group in November 2006 a working paper was presented that outlines circumstances leading to the separation of the RC and HC functions and the role of the Deputy Humanitarian Coordinator. 167

• 2008: Consultant engaged to Review HC Models

166 Reported at IASC (2006) Summary Record, Revised Action Points and Conclusions incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 66th Meeting) WO/0611/1941/7. 167 IASC (2006) Summary Record, Revised Action Points and Conclusions incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 66th Meeting) WO/0611/1941/7. IASC (2006) Strengthening the Humanitarian Coordinator System - Circumstances leading to the Separation of the RC and HC Functions and the Role of Deputy Humanitarian Coordinator (IASC – Working Group 66th Meeting) WO/0611/1947/7. Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7.



Outcome No. 3 Clearer accountability of Humanitarian

Coordinators to the humanitarian community

Action 3.1

The IASC Working Group, in consultation with the United Nations Development Group, to propose specific elements covering the unique responsibilities of the Humanitarian Coordinator for the integrated RC/HC "score card" which is currently under development.

• 2007: humanitarian appraisal undertaken by ERC as part of the RC/HC/DO and UNCT Performance Appraisal 2008: Compacts between ERC and HCs established with 6 HCs. It is envisaged that all will have signed a compact with ERC before the end of the year.

• 2008: performance appraisal undertaken by ERC for HCs and RCs having performed humanitarian functions.

Action 3.2 The IASC Working group to discuss and agree whether specific benchmarks or indicators should be used to review accountability to beneficiaries, and adherence to humanitarian principles and propose ways in which these benchmarks could be integrated into the framework of broad-based humanitarian teams.

• Benchmarks not developed.

Outcome No. 4

Appropriate training and induction is in place to prepare and support Humanitarian Coordinators to take over their functions.

Action 4.1

OCHA, in consultation with the IASC WG, to review and compile relevant current training opportunities available across the system for potential and serving HCs. (by 2006)

• Tracking, reviewing and compiling relevant

current training opportunities available across the system for potential and serving HCs, remains uncompleted.

Action 4.2 OCHA, in consultation with non-UN IASC partners, to identify specific training and/or induction needs for the integration of non-UN staff in HC positions. (2006)

• One pilot HC Pool Induction Briefing took place in November 2006.168

• Training and induction needs identified in this mapping exercise (see below, Section 5.4.6).

168 Reported at IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7.



Action 4.3

OCHA, in consultation with the IASC WG, to design a comprehensive and modular training package based on the training assessment in Action 4.1 to address major gaps.

• Workshops on “Coordinating Humanitarian Emergencies” for RCs in the Asia-Pacific region was held in Thailand in 2007, for Latin America in Panama, for West Africa in Senegal and Southern & Central Africa in South Africa in 2008.

• 2008: Three humanitarian segments of the UN Coordination and Leadership Skills workshop were designed and facilitated. This workshop is organized by the UNSSC for new RCs and UN Country Team members.

• 2008: A scoping study is being carried out on developing a learning program Using International and National Legal Frameworks for Advocacy with Government and Non-State Actors for HCs and RCs.

• Comprehensive training strategy being developed.

Action 4.4

The IASC Working Group, through a small dedicated group, to develop a proposal for an orientation programme for incoming HCs, based on all IASC partners mandates, and tailored to allow him/her to learn about mandates and priorities of all members of the IASC.

• IASC HC Training Group established. • Standardized individual inductions

organized for incoming HCs, including agency briefings.

Action 4.5 The IASC Working Group to consider the adoption of an accreditation system” to keep track over the years of the development of potential or serving HCs based on available training opportunities (see in Action 4.1 and 4.2). (By 2007)

• Uncompleted.

Outcome No. 5

Humanitarian Coordinators are adequately

supported in their work

Action 5.1 The IASC Working Group to propose functions and services that should be covered by the office of the RC/HC during both emergencies and transitions.

• Uncompleted.


4.0 REVIEW OF HUMANITARIAN SYSTEM LEADERSHIP DEVELOPMENT This Section reviews current leadership development across the humanitarian system (UN, NGOs, IOM, and the Red Cross/Red Crescent Movement) to identify best practice which may inform the development of HC Pool Phase II. This review will form the basis of further ongoing interaction of OCHA’s HC System Strengthening Project with agencies across the humanitarian system. Given the limited timeframe of the Mapping Exercise, a number of resource people indicated the need for a more comprehensive review of humanitarian system leadership development in the future.

4.1 Human Resources Codes of Conduct, Policies, and Networks Humanitarian Coordinators are bound by the human resource policies of OCHA and the UN Secretariat when deployed stand alone. They are bound by UNDP human resource policies when they are also Resident Coordinators, and by the policies of the UN Secretariat when designated as DSRSGs. Country Representatives of a lead agency designated as Humanitarian Coordinator are bound by the human resource policies of their individual agencies. In developing a HC Pool it is critical to understand these human resource policies and their constraints, in addition to codes of conduct, and networks from across the humanitarian system. The following are some examples of interagency forums and codes: The Learning Managers Forum (LMF) is an annual event that brings together chiefs of learning, training and staff development from United Nations system and affiliated international organizations. The Forum provides a medium through which colleagues share knowledge and experiences, collaborate on common projects and learn new skills on learning, training and staff development. Since 1997, the UN System Staff College (UNSSC) has organized and coordinated the Forum in various locations, with the assistance of a number of UN agencies. On 01 October 2007, the Secretary-General sent a letter to all Executive Heads of Agencies, Programs and Funds, inviting them to join the first Senior Management Network (SMN) – a network of most senior manager and leaders across the UN system, coordinated by the UN System Staff College (UNSSC). 169 The UN Learning Community is comprised of 370 members of all of the learning and development staff in the UN system. The Global Learning Network (GLN) brings together human resources and learning staff of the UN system and IOM, both in New York and in Geneva. There is also a matching, but smaller, Performance Management Network. The mission of most relief and development agencies is to work with those who are poor, distressed, affected by conflict, vulnerable, displaced, disadvantaged and worried about their future. In 1994, worried that these descriptions also applied to their own staff, a group of agencies commissioned a survey. Concentrating on aid workers as employees, the study found that they felt poorly managed and unsupported. This led the sector to ask how human resources among relief and development agencies could be improved.170 People In Aid was established by NGOs to promote good practice in the management and support of staff.

169 Senior Management Network http://www.unssc.org/web/programmes/ML/smn_intro.asp 170 R. McNair (1994) Room for Improvement (Relief and Rehabilitation Network Paper 10, Overseas Development Institute) http://74.125.39.104/search?q=cache:5R5foAmtMOMJ:www.sheltercentre.org/shelterlibrary/items/pdf/RoomForImprovement_TheManagementandSupportOfRelief.pdf+Relief+and+Rehabilitation+Network+Paper+10&hl=en&ct=clnk&cd=2&gl=au


The People in Aid Code of Good Practice in the Management and Support of Aid Personnel was drawn up between 1995 and 1997 through extensive consultation. 171 Although originally driven by agencies in the UK and Ireland, with funding from the UK government’s then Overseas Development Administration, the input on best practice also came from the UN family, from the USA, from Continental Europe and from the human resources and field experience of a large number of individuals. The Emergency Personnel Network’s (EPN) annual seminars have contributed to disseminating and improving best practices for the humanitarian sector. The EPN conferences to date have provided an opportunity for human resource (HR) professionals to meet, explore case studies, new methodologies, problems faced and solutions tried in a range of contexts. EPN allows HR professionals, and increasingly also senior operational managers, to benchmark themselves, improve their organization’s performance and plan better for the future. EPN is open to all non-governmental, United Nations and international organizations involved in emergency response. Representatives from donor agencies, commercial companies and universities are regularly invited as guest speakers.172

The Sphere Project (SPHERE) works to improve the quality, effectiveness and accountability of disaster response through the understanding and use of the Humanitarian Charter, Minimum Standards and Key Indicators. SPHERE produces a handbook, the SPHERE Humanitarian Charter and Minimum Standards in Disaster Response, which include standards on human resources and training in its common standards applicable to all sectors.173

The Active Learning Network for Accountability and Performance in Humanitarian Action

(ALNAP), as a unique sector-wide active-learning membership network, is dedicated to improving the quality and accountability of humanitarian action by sharing lessons, identifying common problems, and building consensus on approaches.174 The ALNAP Annual Review Series provides a comprehensive, independent assessment of the performance of the humanitarian sector based on an annual evaluation synthesis of over 50 evaluative reports. It also provides a meta-evaluation of the quality of evaluations and offers the Evaluative Reports Database (ERD), ALNAP Guidance Booklets, ALNAP Training Modules, Global Study on Participation by Affected Populations in Humanitarian Action and the development and testing of the Learning Support Office Concept.

171 People in Aid (2003) Code of Good Practice in the Management and Support of Aid Personnel. http://www.peopleinaid.org/code/ 172 Emergencies Personnel Network http://www.epn.peopleinaid.org/ Organizations participating or presenting in first seven conferences: Acción contra el Hambre, ACT / WCC, ACTED France, Action Against Hunger, Action Contre la Faim, ActionAid, American Friends Service Committee, American Refugee Committee, APSO, ASSIST UK, Bioforce, British Red Cross, CANADEM, Canadian Department of Foreign Affairs and International Trade, CARD, CARE Australia, CARE Canada, CARE USA, Caritas Bangladesh, Catholic Agency for Overseas Development , Catholic Relief Services, Centre for Public Health in Humanitarian Assistance, Centre for Safety and Development, CHAD, Operations, Christian Aid, CINFO, Community Aid Abroad, Concern Worldwide, Congressional Hunger Centre, Convenor, CORD, Cordaid, CRDA, Crown Agents, DAIC, Danish Red Cross, Danish Refugee Council, Department of Foreign Affairs and International Trade (Canada), Development Workshop, DFID, DFID/CHAD Operations, Disasters Emergency Committee (DEC), DROP, Dutch Relief and Rehabilitation Agency (DRA), ECHO, Emergency Capacity Building Project, General Dynamics UK Ltd, German Red Cross, Global Corps, GOAL, Handicap International, HEED, HelpAge International, Humanitarian Aid Work, Humanitarian Practice Network, IFRC, Intermon Oxfam, International Committee of the Red Cross, International Health, Exchange, International Humanitarian Dialogue, International Medical Corps, International Organisation for Migration, International Rescue Committee, Islamic Relief, Japan International Cooperation Agency, Joint Doctrine and Concept Centre - Ministry of Defence, Kimmage Development Studies Centre, Mango, MdM, Medair, Medecins Sans Frontieres/Doctors Without Borders, USA, Mercy Corps, Mercy Corps International (SU), Merlin, Mines Advisory Group, Ministry of Foreign Affairs, Netherlands, MSF, MSF Belgium, MSF France, MSF Germany, MSF Holland, MSF Spain, MSF UK, Norwegian Refugee Council, OCHA, OFDA, OXFAM, Oxfam Australia, Oxfam GB, People In Aid, PSO, RedR IHE, RedR International, RRN/ ODI, SAFDEM, Save The Children Denmark, Save the Children UK, School of International & Public Affairs, Shanti Volunteer Association, Southern African Resource Bank for Democracy and Human Rights (SAFDEM), Sphere Project, Swiss Red Cross, Tanganyika Christian Refugee Service, Tearfund, TNT, Training Focus, Trócaire, Two Rivers Project, UN Volunteers, UNHCR, UNICEF, United Nations Volunteers, University of Kuopio , Finland, USAID Office of US Foreign Disaster Assistance, VERC, Vine Management Consulting, VOICE, VSO, World Health Organisation, World Vision International, World Vision UK, World Vision USA, ZOA Refugee Care 173SPHERE Project Humanitarian Charter & Minimum Standards in Disaster Response www.sphereproject.org 174 Active Learning Network for Accountability and Performance in Humanitarian Action www.alnap.org


In 2003, CARE International, Catholic Relief Services (CRS), the International Rescue Committee (IRC), Mercy Corps, Oxfam Great Britain (OGB), Save the Children (SCF) USA, and World Vision International (WVI) formed the Interagency Working Group (IWG). In 2005 the IWG launched the Emergency Capacity Building Project (ECB), which identified staffing issues as a major constraint on the capacity of member agencies to respond to crises. 175 An assessment of their emergency response capabilities identified those areas most critical to future humanitarian performance and most likely to benefit from collective action, and proposes four major initiatives. These included: • Increasing the pool of Humanitarian Workers, addressing the most serious challenge identified

through the review, which is the limited pool of humanitarian leaders who have the required technical competencies and are available when needed;

• Accountability and Impact Measurement; • Improving NGO Models for Building Local Capacity; and • Improving Information and Communications Technology.

4.2 Leadership Competencies Competencies represent the experience, skills and behaviours required to perform effectively in a given job, role or situation. They are what a person has; i.e. a characteristic, motive, trait, skill, aspect of one’s self-image, or body of knowledge which he or she uses.176 One of the original developers of competency thinking, Schroder, wrote that “The capability of your organization to achieve excellence is to be found in a match between the characteristics of managers and those which are demanded by the internal and external environment of the organization.” According to Schroder, competencies are “personal effectiveness skills” which vary from the more basic specialized/functional skills to the generic, person-based, higher-level competencies. In situations of greater change and complexity, higher-level competencies are demanded, as normal planning and operating procedures become obsolete. This fits many emergency scenarios. Reports and evaluations tell us that success in emergencies often comes down to performances by individuals who have managed to make things happen despite substantial constraints. The most effective individuals cope with a range of contextual factors that go beyond the performance of the task in hand. In the context of an emergency, the internal and external environment often demand an “extra something.” This “extra” reflects an ability to work in mixed, often changing teams, with high pressure demands to perform and in difficult contexts. Competency-based recruitments using specific questioning can help the interviewer to understand how a person has worked in such contexts before, and are useful in predicting job performance. Competency frameworks and performance objectives can put the whole emphasis onto individual performance. Whilst this is to be commended as a powerful way of improving the quality of work done in organizations, through increased individual responsibility, it could have a negative impact on the team approach and make it collectively risk averse. Also, a competency approach that puts the emphasis on an individual rather than a team may not be acceptable in all cultures. In such situations it may be better to start discussing how a team has worked and then see the individual contributions that have led to team achievements.

175 Emergency Capacity Building Project www.ecbproject.org D. Loquercio, et al (2006) Understanding and Addressing Staff Turnover in Humanitarian Agencies (Humanitarian Practice Network, Humanitarian Policy Group, Overseas Development Institute) http://www.ecbproject.org/publications/ECB1/Understanding%20and%20Addresing%20Staff%20Turnover.pdf 176 Emergency Capacity Building Project -Staff Capacity Initiative (2006) Humanitarian Competencies Study. http://www.reliefweb.int/rw/lib.nsf/db900sid/AMMF-6TVHNZ/$file/ECB-Apr2006.pdf?openelement


The current reference point for Humanitarian Coordinator’s competencies are the 2003 Resident Coordinators competencies and the Profile for Humanitarian Coordinators endorsed by the 65th IASC Working Group meeting in July 2006 (attached in Annex B). Many resource people interviewed in the Mapping Exercise indicated that were different distinct competencies and behaviors for humanitarian leaders. Even if the RC competencies were accepted, they noted the differences of decision making in emergencies: • Pressure • Time • Decisiveness • Mass information • Media/advocacy • Confidence about emergencies • Coordination • Scale A number of resource people noted that skills development does not help to work in personality zones outside of one’s comfort zone. They identified three types of humanitarian leaders, those who: thrive in chaos, those who adapt to chaos, and those who hate chaos. The later being least suited as HCs. UNICEF’s Chief of Organizational Learning and Development explained that a person can work outside of his/her comfort zone and preferred personality profile, and perform well in emergencies. However, the physical and psychic cost is great, and it is hard to sustain during emergencies. It would be far better to match candidates to preferred roles and personality profiles. A number of resource people also raised the issue of motivations and enthusiasm to respond and engage in humanitarian work as factor in determining best fit of potential HCs. The following table summarizes commonly perceived caricatured qualities of HCs compared to RCs, identified by many resource people:

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Advocate Diplomat Commanding Leader – Directive Democratic Leader - Collaborative Pace Setter Coach Rapid – Decisive Consultative One RC/HC argued that the role of the RC was increasingly shifting to the left column, as RC’s are being asked to become less and less involved in hands-on operational work (especially that of UNDP), and the advocacy and spokesperson role is becoming one of the strongest residual functions for the new RC. The Mapping Study found a striking similarity of humanitarian leadership competencies across all the networks of the UN, NGO, IOM and Red Cross/Red Crescent Movement, either as individual agencies or in collaborative. There was also a noticeable lack of interaction or sharing of these frameworks between the various parts of the humanitarian system. Further work in this area was identified as a stepping stone to greater inter-operability and sharing of leadership. This clearly is of great concern to the development of a future HC Pool. The following are examples of humanitarian leadership competency frameworks developed by networks and agencies:


People in Aid177 During February and March 2007, interviews were carried out with relevant

individuals representing a range of different perspectives in humanitarian response studying the use and effectiveness of competency frameworks within the humanitarian sector. People In Aid workshops on the practical application of competencies, a variety of meetings, events and on-line discussions were used to gather information on competency development from key thinkers and organizations within and beyond the humanitarian sector. People In Aid found that there is widespread use of competency models or behavioral frameworks in the sector, though their effectiveness varies, especially in an emergency or relief context. The findings of the review reiterated that competency models incorporated into job roles help national staff understand better the expectations that organizations have of them and how to develop and grow within the organization. Research respondents agreed that the work of emergency workers these days is much more visible and requires them to demonstrate high levels of self-awareness and self-regulation. The research found that there is impatience within the organizations interviewed that competency frameworks and tools and many other performance related tools have so far not introduced adequate rigor into human resource processes and procedures in humanitarian response. Competency frameworks are not stand-alone initiatives. They need to form part of an overall organizational capacity building strategy and underpin existing HR processes. Several interviewees mentioned that organizations search for “super” program managers to run their emergency programs to deliver quality programs within pressured contexts. It was agreed that these experienced people are in short supply. Part of the “extra skills” these emergency staff require is a high level of emotional intelligence, to be more participative with communities and to cope with less secure situations. Competency models help define such behaviors and make it easier to pick up on poor performance and show where additional proactive support can have greatest impact. Using competencies enables recruiting managers to apply a more structured approach to selection and to think through the behaviors that such jobs entail. Recruitment questions that test out competencies can help probe how a person has worked in such contexts before. Interviewee answers give insight to predict future job performance. There was widespread agreement that competencies need to link into existing management and leadership models and training programs. More work is currently being done for humanitarian program managers to define minimum levels of knowledge and skills that they require across the range of subjects they now have responsibility. 178 IWG Competency models legitimize conversations on performance management and interpersonal skills, and help clarify the key "thing" that makes humanitarian workers effective. Some IWG organizations use competency models selectively, while in others they have greatly influenced overall training and staff development programs. In situations of change and complexity, such as many emergency scenarios, higher-level competencies are required. Many IWG organizations are currently reworking and strengthening their job descriptions and associated competency requirements for key humanitarian posts. “Softer” skills such as the ability to fit into an existing context and work with other staff are often neglected in emergency recruitment.

177 People in Aid (2007) Behaviours Which Lead to Effective Performance in Humanitarian Response - A Review of the Use and Effectiveness of Competency Frameworks within the Humanitarian Sector http://www.reliefweb.int/rw/lib.nsf/db900sid/ASAZ-7GTGQB/$file/pia_Jun2007.pdf?openelement 178 People in Aid (2007) Behaviours.


ECB completed a Humanitarian Competencies Study across IWG agencies in 2006. 179 This led to prioritizing and the development of core humanitarian competencies, in particular: • Pressure tolerance: maintaining effective performance under pressure or adversity; handling

stress in a manner that is consistent with the organisation’s values. • Building and maintaining relationships within changing emergency teams: using a flexible

interpersonal style to help build a cohesive team; facilitating completion of team goals. • Operational decision-making in emergency situations: taking decisive action to achieve goals

in times of uncertainty or in fluid contexts. Oxfam Great Britain undertook a study in 2006 to identify a Competency Framework for Country Program Managers. As a result, a number of behavioural competencies were proposed as Oxfam Core Competencies. Three were identified in the study as key by a majority of respondents and in much of the literature reviewed: • Self Awareness: being aware of own strengths and limitations, of own style of working, of own

deeply held convictions and the source of these convictions, of own particular biases. • Interpersonal Awareness: being aware of other people’s perspective and taking it into account

when making decisions. It is about listening and empathy. • Initiative: responding to the unexpected and about generating alternative ways to achieve results.

It is about the ability to find solutions without direct management. There were three other existing behavioural competencies which were almost unanimously identified by respondents and in the literature search by Oxfam. These were: • Decision making: a willingness to make decisions within a specified time frame. It includes

undertaking appropriate consultation, clear communication of decisions, and follow through to see that the decision is upheld. It also involves taking responsibility for the associated outcomes of decisions.

• Adaptability and Flexibility: being able to respond to changes in work schedules and patterns when necessary with sufficient flexibility and resilience to avoid letting frustration hinder progress.

• Communications: being aware of what information needs to be given to whom and being able to get a message across to others in an appropriate way. It involves taking responsibility to ensure that things are understood.

Oxfam also added the three ECB competencies listed above. World Vision International (WVI) has developed the Humanitarian Competencies Project (HCP) working in partnership with National Offices and Regional Teams across Asia and Africa to facilitate a competency-based approach to learning and development. The project has designed competencies against job descriptions, which match the standard setting in the public and corporate sector. This includes access to vocational qualifications and accreditation through the University of Melbourne in Australia.180

United Nations System Staff College (UNSSC) undertook extensive consultations in 2003 with UN agencies to establish the Senior Management Network including 60 meetings with the agencies and interviews with 200 people. 181 The outcome was the UN Senior Management Network Leadership

Competency Mapping attached as Annex D. The map shows the breakdown of all UN humanitarian agencies and their competencies. Although they use slightly different terminology, UN agencies have very similar competency models.

179 Emergency Capacity Building Project - Staff Capacity Initiative (2006) Competencies. 180 World Vision Humanitarian Competencies Project http://www.humanitarianstandards.org/ 181 United Nations System Staff College, United Nations System Competency Map http://www.unssc.org/web/programmes/ML/smn/S


The SMN competencies will not replace but complement already existing organizational competency frameworks or future competency development work undertaken by organizations of the UN System. The competency map seeks to establish how the SMN competencies relate to any organisation-specific competencies that have already been developed, or are in the process of development. The map demonstrates the relationships between the six core competencies of the proposed Senior Management Network and the Managerial, Leadership and in some cases Core staff competencies of the individual organisations of the United Nations System. The alignment was determined by a direct comparison of indicators and definitions between the organisations’ competencies and the SMN competencies; and the relevant indicators are displayed in the map. The Senior Management Network Leadership competencies, broken down by agencies, are:

1. Leading Change: This competency encompasses the ability to develop an effective vision of the future and to develop a strategy within the broad context of the organization’s mission and the global environment that integrates program goals, priorities, values and other factors. Ability to translate a vision into a plan of action. Creates a work environment that encourages creativity. Maintains focus and persistence, even under adversity, in guiding others to accept innovative thinking.

2. Judgement/Decision Making: Identifies the key issues in a complex situation, analyses problems and makes sound decisions. Is valued for sound application of knowledge and expertise. Accepts responsibility for own decisions. Makes tough decisions when necessary. Involves others in deciding what course of action is appropriate. Evaluates pros and cons of alternatives and the impact of decisions on others and on the organization. Acts with integrity.

3. Communication: Demonstrates an ability to explain, advocate and express ideas in a convincing manner. Is an effective advocate of the organization’s values and mission. Is an effective listener; is sensitive to and responds to the concerns, needs and feelings of others. Negotiates effectively with individuals and groups both internally and externally. Is tactful and sensitive to the perspective of others; treats individuals with respect; facilitates an open exchange of ideas. Is clear and convincing in oral presentations.

4. Results Driven: Holds self and others accountable for results. Identifies opportunities to improve systems and performance. Responsive to customer/client expectations as well as those of stakeholders and Member States. Carries out an effective management of resources under shifting priorities to meet expected results within time, budget and quality standards. Readily adjusts plans and priorities to respond to changing circumstances. Relies on goal setting and performance measurement to monitor and enhance staff performance. Is willing to take risks to achieve goals.

5. Getting the Best Out of People: Inspires, motivates and guides others towards mission-related goals. Leads by example; promotes mutual trust and commitment; creates an enabling environment. Works with staff to establish realistic performance expectations, gives and expects frequent constructive feedback, provides coaching as required. Consistently develops and sustains cooperative working relationships; creates a culture that fosters high standards, team spirit and pride. Adapts management style to individuals and cultures; values diversity. Supports the balancing of work/life considerations to enhance employee satisfaction.

6. Building Partnerships: Develops networks and builds alliances; encourages and supports cross-function and cross-boundary activities. Sensitive to wider organizational priorities and to different perspectives. Collaborates and finds common ground with a wide range of stakeholders. Identifies and pursues opportunities to improve performance through partnerships. Builds consensus and develops networks that support the achievement of goals. Approaches challenges and opportunities with a clear perception of the impact on others and aiming to create win-win situations. Advocates, through persuasion and negotiation with those inside and outside the organization, for the attainment of organizational goals.


The United States Agency for International Development (USAID) / Office of Foreign Disaster

Assistance (OFDA) has listed the following requirements for their humanitarian leaders: • Open way of speaking • Command and control in emergencies; • More direct, decisive and diplomatic; • Good leaders – good communicators; • Directive without being insulting or rude; • Ability to work with different ranks and cultures; and • High emotional intelligence.

4.3 Recruitment & Application Processes Recruiting managers have a crucial role in ensuring that the right staff are hired, and checking that they are well suited to excel in the job they have to do. Getting the right person in the right place at the right time remains the key objective in any recruitment process. 182 Every aid worker can recount the untold consequences of getting it wrong, and mistakes in recruitment are often expensive as well as potentially damaging both to the individuals and to the reputation and activities of the organizations themselves. The organization’s recruitment function is tasked with finding staff to replace those who have left, and with filling newly created positions. In a competitive market characterized by a lack of qualified staff, the only options are to attract staff away from other agencies, develop and retain the agency’s own staff, or find and develop pools of staff with transferable skills gained elsewhere. Confronted with the current lack of program managers, one strategy is to poach them from other agencies. Poaching is, however, a double-edged sword: there is always another employer offering a better salary. It is therefore unlikely to be sustainable. A more sustainable and effective approach is to cooperate with other agencies at field and HQ level: possibilities include sharing training, setting common standards, developing shared entry routes into the sector, streamlining salary scales and promoting secondments. Recruiting new staff is especially challenging during new emergencies, because this is the moment when all organizations target the same limited pool of people. It is therefore crucial that agencies be able to adequately “brand” their organizations to ensure they do attract new staff. Alternatively, agencies can try to develop exclusive pools of staff, for example with stand-by agreements, internships, and use of partnership/alliance staff or secondments. In all cases, staff must be adequately screened, interviewed and selected before deployment. Agencies have tried to widen recruitment fields or develop exclusive pools of staff, for instance via registers of former staff, secondments from partner organizations, internship/fellowship programs and stand-by agreements with other agencies. According to two recent studies by the Emergencies Capacity Building Project, many humanitarian agencies are currently confronted with a general lack of skilled and experienced leaders, especially when looking for staff already familiar with the organization.183 They are also struggling to find

humanitarian staff (leaders) for positions requiring specific skills such as languages. 8

182 People in Aid (2003) Code. 183 Emergency Capacity Building Project - Staff Capacity Initiative (2006) Review of Current Practice in Developing and Maintaining Staff Capacity in IWG Member Agencies. http://reliefweb.int/rw/lib.nsf/db900sid/AMMF-6TVHFX/$file/ECB-Feb2006.pdf?openelement Emergency Capacity Building Project - Staff Capacity Initiative (2006) Competencies.


In particular they identified the following factors that make certain posts hard to fill: • Work in Tough Environments (for example Chad, Rwanda and Sudan): Most organizations

know which regions are the toughest to recruit for, but do not have a mechanism for quantifying how often they recruit to those places. There was general agreement that these trends could be mapped out from organizational registers, but no organization has yet done so.

• Fluency in French, Spanish or Portuguese: an individual without the language capability must

possess strong interpersonal skills to work with others. For technical posts, organizations now recruit from Africa and this has increased the recruitment pool. French-speaking logisticians are more readily available as French NGOs have a greater history of working in logistics.

• War-torn and Corrupt Countries: it is hard to recruit people to work in countries where

governments and militia have been fighting for years and where corruption is rampant. In contrast, there was mass volunteering to work in the Tsunami response.

• Program Managers and Representatives: agencies sometime struggles to recruit for these

positions, which require experienced people who are often not available and hard to retain once recruited. People in these posts need to fully understand the internal systems and workings of the organization before they can be deployed and so need a robust induction.

• Financial and Administrative Skills: agencies noted that program managers need substantial

training in finance and administrative skills. They hope to benefit from a trend in combined MBA and MPH degrees to find individuals with these non-emergency skill sets.

Many resource people raised the complexities of building diversity in humanitarian agencies and the “Western Face of Humanitarianism”.184 Diversity is also a challenge when recruiting as many NGOs, unwilling to give up hard fought senior women and southerners to take up more senior roles, like HCs. Further down stream many local southern NGOs complain about a brain drain of their best and finest leaders to international agencies, NGOs, and the UN. The Executive Director of the consortium British Overseas NGOs for Development (BOND) highlighted the aging senior leadership of British NGOs. Humanitarian leadership was still reliant on the “Rwanda generation”. Where was the next generation coming from? UN agencies also voiced concern on the immanent departure of senior leaders globally across the system over the next decade, and the lack of replacements currently available. Agencies interviewed in the Mapping Exercise identified a range of recruitment strategies including word of mouth, heading hunting, referrals, identification by standby rosters, portal websites such as Alertnet or Reliefweb;, using networks of managers and specialists to support HR in recruitment, seconding staff from partners within the same alliance or federation, and standardized recruitment through the UN Galaxy system. An understanding of these various modes of recruitment will assist the development of and range of recruitment targeting of HC Pool Phase II. The following are some examples of recruitment and application processes developed by humanitarian agencies: IWG agencies

185 Although growing, there are few training and academic institutions around the

world offering degrees or certificates in the field of humanitarian assistance. The number of individuals these programs are graduating each year tends to be relatively small compared to the number of organizations hiring personnel in this sector. Especially hard to find are graduates of programs in management of humanitarian programs. While an increase in the pool of graduates would

184 Interagency Working Group (2004) Report on Emergency Capacity - Analysis for the Interagency Working Group on Emergency Capacity. http://www.ecbproject.org/publications/ECB/Emergency%20Capacity%20Report%20ver.%20July%2014-Final.pdf 185 Interagency Working Group (2004) Emergency Capacity.


be helpful, IWG members consistently said that formal training and education were not enough in preparing individuals for leadership positions in emergency response. They highly value – and usually demand – substantial prior experience in the field, on the ground, not only for the learning humanitarian workers gain, but also as a demonstration of the worker’s ability to perform effectively in difficult circumstances.

IWG members are hesitant to hire new staff for key positions on emergency response teams; they want to hire “known quantities” to lead these critical operations. Because of the fast pace and often high risk in emergency contexts, NGOs must be able to count on their field leaders’ strong interpersonal and representational skills, good judgment, and effective leadership. One gap in the humanitarian sector is a mechanism for sharing performance appraisals of those professionals who move from one emergency short-term contract to another. That challenge aside, the IWG members themselves, with one exception, have weak systems for tracking of performance of internal staff in emergency programs.

Compared to development programs, there tends to be a high level of reliance on international staff (primarily Europeans and North Americans) for emergency programs. IWG’s review found that few members had made a serious commitment to reducing reliance on international personnel, but many felt such a change would serve them well. These sentiments were supported in part by the increasing number of operating contexts where European and American personnel are at greater risk than others. Another reason for reliance on international staff is the perception, perhaps supported by reality, that both the external and internal pools of non-European/non-American personnel qualified to assume management and technical positions in emergency work are very limited.

Closely linked to the historic dependence on international staff is the weak capacity of national staff. The emergency capacity review revealed that all IWG member organizations implicitly or explicitly have policies promoting development of national staff and many promote “graduating” national staff into the international corps, yet none has adopted a specific strategy targeting national staff as part of building emergency capacity. In addition, staff capacity building in the emergency sector has largely focused on international field staff.

Since 2006, the Lutheran World Federation (LWF) has developed a strategy which allows national staff from different field programs with experience on emergency response to be assigned to emergency programs where there is no or only few experience in staff capacity in the emergency sector. This allows LWF (a) to increase staff capacity building opportunities among national staff, (b) to keep staff costs lower than for international field staff and (c) to maintain international staff on a low level. Such staff exchanges have been organized in several programs (Chad – Eritrea, Chad – Guinea, Haiti – Nepal, South Sudan – Bangladesh etc.).

Save the Children United (SCF) Kingdom’s Emergencies Director explained that the humanitarian system has “billion dollar programs BUT not billion dollar leadership”. Surge humanitarian advisors and first leaders are easy to find, but longer term coordinators for leadership, coordination and management are very difficult to find. SCF UK recruits hundreds of people each year through its London office, many of whom will go on to have contact with children and young people. Incorporating robust and successful child protection measures in its recruitment procedures is given absolute priority. One particular challenge is vetting applicants who have lived or worked in countries where reliable criminal record or police checks are unobtainable. In such cases, alternative means of checking suitability are required. Some of the steps introduced include rigorously checking the employment history of short-listed candidates, ensuring they have submitted signed application and disclosure of conviction forms and that their identity is checked at interview. Interview panels always include at least one interviewer trained to screen for child protection concerns, and candidates must answer specific questions relating to child protection, which are drawn up with guidance from the organization’s child protection manager. Before confirming any offer of employment, at least two (usually three) satisfactory references must be


received with a reference from the previous line manager a pre-requisite. All references are verified, a process which involves telephoning the referee and confirming the authenticity of the reference. 186

WVI is building surge capacity to respond to two large Category 3 emergencies at once, building to four or more. Professional Reserve Pool including five senior leaders, funding at least one to be on stand by.

CRS’s International Development Fellows Program (IDFP) is designed to give those who are interested in a career in international relief and development the opportunity to increase their overseas experience, gain project management practice and become familiar with the work of CRS. It attracts 500-600 applications for 20 positions each year. These one-year fellowships are based in one of CRS’s country programs, and fellows generally work in the programming department. During the course of the year they are exposed to various aspects of project management, including proposal writing, budgeting, working with donors, working with counterparts, monitoring and evaluation. Although geographical preferences are taken into consideration, CRS places fellows in positions based on their skills and the needs of the country. IDFP provides CRS with strong program managers with a good knowledge of the organization and is popular with country offices, which compete to get a fellow. In the past years, over 90 percent of fellows have become CRS employees at the end of their contract, and many receive a job offer half way through their assignment. Because fifty percent of current Country Directors were originally fellows themselves, the value of the program is recognized at field level as much as at headquarters.

LWF noted that churches often do not recommend African female leaders to the international realm because there are not too many, and churches do not want to lose them. LWF has a stand by roster composed mostly by local staff and some international staff already deployed as field representatives, program managers or finance officers. The international and local staff included in the roster must have proven experience in emergency work and are trained in LWF systems and procedures. LWF’s policy is promoting local staff to the international field. It also uses secondments from one country program to another, with either international or local staff.

The Development Operations Coordination Office (DOCO) of the UN Development Group (UNDG) is currently acting as a Secretariat for Resident Coordinator Talent Management Working Group, chaired by the UN Secretariat and comprising representatives of: UNDP, UNICEF, UNHCR, OCHA, UNEP, WHO, UNFPA, WFP, DSS, UNCTAD. This is in response to declining numbers of staff from agencies other than UNDP participating in the RCAC, in addition to an overall decrease in the number of applicants for RC vacancies. By 2010, 27% of the existing RCs will reach retirement age. An assessment is currently being undertaken review trends and causes.

4.4 Interview & Assessment Processes

The growing demand for humanitarian leaders means more agencies are developing rigorous selection processes to ensure they recruit the best candidates. Although the structure and timing of selection processes can vary, they follow a common pattern. Agencies typically receive a large number of applications, so their selection process is constructed to allow quick, informed decisions at each stage to help them efficiently shortlist the most suitable candidates. A typical selection process will usually include the following (although the order may vary): • Application form, with vetting based on competencies; • Telephone or face-to-face interview; • Psychometric assessment; • Assessment centre (which may include psychometric tests); • Final interviews 186 People in Aid (2003) Code.


Research indicates that use of multiple forms of selection assessment tools increase the reliability of predicting good candidates for a post. The following is one civil service model outlining the validity ratings of different assessment methods: 187

Chance (very poor predictions)Chance (very poor predictions) Accurate PredictionsAccurate Predictions

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0

Years of Job Experie

nce

Academic Results

Interests

Unstru

ctured Interviews

Referee Checking

WorkstyleInventoriea

Stru

ctured Interviews

Biodata

Work Simulations

General A

bility

Assessment C

enter

A combination of simulation,

Ability

tests and interviews

As a common base, all agencies interviewed against the application form or CV, and most interviewed against particular competencies based on the selection criteria for a specific job. In structured interviews, the interviewer sets down certain selection criteria and then asks questions to find out whether the candidate fits them. Many agencies are now using psychometric assessment early on in their selection process. Traditionally paper-based, assessment is now often administered as a series of online tests and inventories. Psychological assessment may also be a precursor to or part of an assessment centre. Designed by psychologists, psychometric assessments are used to assess a candidate’s abilities, personality, motivations, values and interests under standardized conditions in line with a particular role. There are many different types of assessment, all with the aim of helping the agency build an overall profile of the candidate. Psychometric assessments typically fall into two categories, aptitude tests and personality inventories. Aptitude tests are used to measure a candidate’s mental reasoning ability, most commonly their numerical, verbal, comprehension, and abstract or spatial reasoning skills. These tests are usually timed and consciously induce pressure. Sometimes incorrectly called “personality tests”, inventories are designed to reveal a candidate’s interests and motivations. The typical format is preferential questions (where the candidate selects from a series of choices). There are no right or wrong responses, just individual answers which psychologists use to develop a profile of the candidate, which can be compared to a preferred profile of the person the agency is seeking.

187 Government of South Australia (2008) Recruitment – Good Practice Guide http://intra.sa.gov.au/Policies/cpe/docs/Government/Recruitment_good_practice_Guide.pdf


Emotional intelligence (EI) tools may be used to identify candidates who possess a good level of “emotional competency”. In summary, EI is the capacity to: • Recognize and manage emotions in yourself and in your relationships • Use feelings to guide your thoughts and actions • Motivate yourself and others. Assessment centers are commonly used by large agencies. They are collections of tests and exercises that are designed to simulate an emergency environment and generate information about applicants. Common activities include work-typical exercises, group discussions, role plays and (in some instances) psychometric testing. Assessment centre testing can last from half a day to three days and is usually held at the offices of agencies or by a consultant assessment company. The aim of assessment is to uncover which applicants have the most suitable personal attributes, problem solving skills and general aptitude, and which candidates would fit best and excel within an agency’s structure and culture. Research has validated assessment centers as one of the best methods for predicting successful on-the-job performance as they generate objective, observable data on candidates. A number of agencies not use assessment as a selection tool, but rather as a supplement following selection to identify career and training needs (see section below). Others continue to track candidates on probation through the training process, and a number formalize this with observers rating candidates. An understanding of these various modes of selection and assessment will assist the modes and complexity to identify candidates for HC Pool Phase II. The following are some examples of selection and assessment processes developed by humanitarian agencies: Medecins Sans Frontieres (MSF)

188 An evaluation by MSF Belgium (MSF-B) of its recruitment procedure for expatriates raised two significant issues. First, 50% of its staff stopped working with MSF-B after only one mission. Second, a survey of 200 MSF-B staff selected for their performance (either significantly below or significantly above average) revealed that the key factor behind their above- or below-average performance was their mastery – or not – of soft skills. As a result, MSF-B decided to adopt the assessment centre system in order to improve the quality of its selection process. Through a range of tests conducted individually and in groups, management skills, motivation, adaptation skills, stress coping and professional skills are assessed. Although it requires more resources and time than a classic interview, MSF-B believes that this approach is worth the effort. Financially, the cost of an expatriate failure is estimated at 3,000 euros, while the additional cost of the assessment centre is about 100 euros per person. Therefore, to break even the assessment centers need to avoid one additional failure every 30 candidates. The system also makes the selection process more objective and gives the agency a better knowledge of candidates, thus improving the match between skills and assignments, as well as better and earlier identification of potential in candidates. It is now used by ten MSF sections (Belgium, Luxembourg, Switzerland, Austria, Italy, Denmark, Sweden, Norway, Hong Kong and Germany). The ICRC has one of the most comprehensive and intense selection and assessment procedures, which continues into the performance management cycle of delegates. After a candidate writes in and is identified, a two hour pre-interview by the recruiting section is carried out focusing on competencies, qualifications, behaviors and attitudes. Within six months eight selected candidates are brought in for two days at ICRC. A team of 4 recruitment assessors (three from different departments) observe day long exercises and carry out interview. Four observers and a moderator evaluate candidates (equal value vote). This is followed by a one month training course where candidates continue to be observed. 10-12 integration courses are held per year in French, in the field, in Oman, Bangkok, Nairobi, Dhaka, and Mexico. The human resources department determines where delegates are to deploy. A HR person is assigned the file of a delegate and tracks the career development of that person.

188 D. Loquercio, et al (2006).


UNOCHA’s Protection Standby Capacity (ProCap) Roster relies on a series of surge registers to provide pre-interviewed and ranked candidates. One of these, Norwegian Refugee Council (NRC), interview candidates by phone on motivation. A main interview consists of NRC human resource staff, ProCap, and a UN steering committee member. This is followed by a written test and reference checks. ProCap also use training as an opportunity to undertake assessment by observation. ProCap has also developed a multifaceted assessment approach based on these core competencies. This assessment approach combines written, observed, peer and self-assessments. Each of these presents advantages: • Written assessment: gives participants opportunity to relate their experience and perspectives in

a structured format. • Peer Assessment: gives participants multiple perspectives from peers who have similar “first-

hand” experience with program activities and who may provide unbiased perspectives.

• Self Assessment: in combination with peer and other perspectives this provides a good way for participants to judge their overall performance as contrasted with hidden and perceived strengths and weaknesses.

• Observational Assessment: involves a qualified observer who dedicates their time to observing

and recording how participants engage with the training curriculum. UNICEF uses SHL to undertake assessment of senior leaders, with simulation, psychometrics, feedback for learning career development. The process is also used for decision making on advancement.

4.5 Career Development & Succession Planning 189 Humanitarian agencies must be able to find good quality people with appropriate skills to fill key specialist and top leadership positions if they are to survive and thrive. Hiring in new skills and perspectives will always be important to refresh an organization and to fill unanticipated roles. However, there can be an over reliance on importing skills and experience in the humanitarian system with significant cost to the organizations – both real and in terms of unrealized potential of existing employees and consequent drop in motivation. Some have argued that organizations would be better served if they spent as much on developing their internal talent pool through appropriate succession planning and development as on recruiting and picking up the pieces of failed deployments. Succession planning can be broadly defined as identifying future potential leaders to fill key positions. Wendy Hirsh defines succession planning as “a process by which one or more successors are identified for key posts (or groups of similar key posts), and career moves and/or development activities are planned for these successors. Successors may be fairly ready to do the job (short-term

189 People in Aid (2007) Information Note Succession Planning http://www.peopleinaid.org/pool/files/publications/succession-planning--inotes.pdf W. Hirsh (2000) Succession Planning Demystified (Brighton: Institute for Employment Studies. Succession Planning, CIPD factsheet) http://www.cipd.co.uk/subjects/hrpract/general/successplan.htm?IsSrchRes=1 P.R. Bernthal and R.S. Wellins (2005) UK Global Comparisons Leadership Forecast 2005-2006: Best Practices for tomorrow's global leaders (Survey Report. London: Chartered Institute of Personnel and Development) http://www.cipd.co.uk/subjects/maneco/leadership/_UKglblcmprldrshp.htm Chartered Institute of Personnel and Development (2006) Reflections on Talent Management http://www.cipd.co.uk/subjects/recruitmen/general/_rfltlntmgt.htm Chartered Institute of Personnel and Development (2006) Talent Management, Understanding the Dimensions http://www.cipd.co.uk/NR/rdonlyres/6101AA06-F0C7-4073-98DA-758E91C718FC/0/3832Talentmanagement.pdf


successors) or seen as having longer-term potential (long-term successors).” 190 Succession planning is therefore not necessarily about plucking individuals out of the general talent pool and circumventing existing processes to “fast track” or place them into more senior positions. It is one part of range of resourcing and development processes which are also referred to as talent management. These cover resourcing strategy, HR planning, processes for filing vacancies, management and other professional development and should also involve talking to leaders about their aspirations. It is a dynamic process and should be repeated annually or biannually. Across the humanitarian agencies interviewed in the Mapping Exercise, many indicated that succession planning of senior leaders was crucial, but many indicated that they had little or no formal process in place. An understanding of succession planning of senior leaders in humanitarian agencies will be critical to track potential candidates for HC Pool Phase II, and promote this alternative career path. The following are some examples of succession planning processes being developed by humanitarian agencies:

Many agencies referred to a “list” which often resides at the executive level of potential future leaders. The Humanitarian Department of Oxfam Great Britain undertakes a regular exercise reviewing: who might fit into other posts; who requires competency development; and which positions may becoming vacant. From this process a “list” is provided to the International Division Senior Management Team on “rising stars” by the Humanitarian Department and by human resources staff. SCF Regional Directors and human resource staff track upcoming Country Director positions at the field level each quarter. Institutionally there is less rigorous succession planning. UNICEF also maintains an informal career tracking “list” of potential P5, D1 and D2 candidates for promotion. The United Nations

Department of Peace Keeping Operations (UNDPKO) tracks posts, scanning possible candidates, reviewing human resources files, asking heads of mission, regional managers, and peers. A succession panel is held once a month, with USG and directors of departments.

4.6 Leadership Development – Training & Secondment

Staff development can be defined as helping staff reach their potential in a way that is also beneficial for the organization.191 It should ensure that humanitarian leaders have the skills required for their position, and are also able to advance the objectives of the organization. Although agencies often do not consider staff development as a priority and find it difficult to implement, there are several reasons why they should give it more attention: • Staff with relevant skills or experience are not always readily available within the organization

and often cannot be recruited externally. As a result the agency has to develop its staff in order to match needs with skills;

• Staff development is a way to improve retention by providing opportunities to learn and grow; • Developing staff is meant to facilitate their movement into more senior jobs, thus ensuring the

availability of senior and good-quality leadership; and • Training and staff development improve the performance of employees, and keep agencies

relevant and efficient. Training, learning and development can take different forms, such as classroom courses, workshops, online training or formal education. In the latter case, agencies sometimes financially support full- or part-time study in exchange for longer-term commitment from their staff. Making sure that employees have a chance to upgrade their skills and maintain their employability can make them more willing to remain with the organization. Staff development only makes sense if staff are provided with professional opportunities to utilize newly acquired skills. Indeed, if employees gain new skills but stay in their position, this can lead to

190 Hirsh (2000) Succession Planning. 191 D. Loquercio, et al (2006).


frustration and induce them to take professional opportunities outside of the organization. This is why staff development needs to be accompanied by policies enhancing staff mobility, both laterally and vertically. That said, talent management can be controversial if it challenges an agency’s commitment to equal opportunities and equity of treatment for all staff.192 An understanding of leadership development of senior leaders in humanitarian agencies will identify training and secondment opportunities for candidates for HC Pool Phase II, and gap areas that need be covered by the HC System Strengthening Project. The following are some examples of leadership development, training and secondment practices being developed by humanitarian agencies:

InterAction’s Humanitarian Policy and Practice Committee consists of CARE, CRS, IRC, Mercy Corps (MC), SCF United States, WV United States, and Oxfam America. 193 It provides a framework for consultation, coordination, and advocacy on humanitarian issues such as protection, operations, and security.

The NGO Training Manager Consortium (NGO-TMC) consists of CARE, CRS, MC, SCF (US), and WV (US). It is a recently formed group for technology-supported learning (e-Learning) that aims to share best practices in regards to employee training at international NGOs and, in the future, to share training content and tools.

Learning for International Non-Governmental Organizations 194

(LINGO) was created in 2005 among 35 member agencies providing humanitarian relief and development assistance to facilitate the creation, development and support of learning environments in the humanitarian relief, development and environmental sector. LINGO operates a Learning Management System (LMS) that contains hundreds of courses on Leadership and Management Development, Information Technology, Project Management, Stress Management for Humanitarian Workers, Personal Safety and other topics. LINGOs provides monthly webinars led by industry experts on a wide range of organizational and development topics.

Agencies participating in the ECB Staff Capacity Initiative are working to improve their preparedness to respond faster in emergencies and provide higher quality responses with better trained and more rapidly deployed staff. A staffing metrics study has been conducted and a web-based tool is in development to allow the measurement of agency performance in the area of emergency staffing. Exchange visits between program line managers and human resources staff across the 7 agencies, both from the field and headquarters, allowed exchange of best practices as well as developing useful networking relationships. Important studies into issues such as staff turnover have been developed and published. Pilot projects underway span key issues such as national staff development, building trust in teams and the use of simulations.195

By tracking these and other issues over time, each agency will be able to see their own staffing trends, gaps and best practices. The database will also provide cross-agency averages for each indicator, thereby creating a baseline for where we are as a group. Individual agencies can then share information and collaborate together to highlight best practices and compare what works and does not work in terms of hiring, deploying, developing and retaining both national and international staff who are prepared for and ready to respond quickly and efficiently to emergencies.

The ECB National Staff Development Program (NSDP) recognizes research that senior managers lack knowledge of and confidence in the skills of national staff. National staff lack opportunities to develop and demonstrate those skills within the culture of an international organization. The National

192 F. Richardson (2005) How Can International Non-Governmental Organisations’ Resourcing and Reward Models Support Wider Humanitarian Impact? (Unpublished Report, Oxfam GB) 193 American Council for Voluntary International Action www.interaction.org 194 Learning for International Non-Governmental Organizations http://ngolearning.org/default.aspx 195 ECB.


Staff Development Program is a pilot project which aims to lower these barriers by designing and testing a sustainable, replicable program to increase the number of agency staff at the national level capable of leading and managing emergency programs.

CARE’s Leading with Impact program (LWI) is based on the premise that leadership development is a process to (a) influence individual talent and shape organizational culture and values; and (b) refine and broaden connection and global community. 196 The LWI focuses on four leadership capabilities identified as critical to achieving CARE’s vision and mission, and blends classroom learning and field practice in three phases: (1) personal assessments and pre-program preparation; (2) a six-day face-to-face session with individual 360° coaching and team sessions that allow for reflective practice; and (3) development and implementation of personal leadership commitments and team-based learning that extend beyond the six-day session. OXFAM Great Britain’s Management and Leadership Program (MLP) targets existing managers (typically who are considered to have the potential, either now or in the future) to take on more challenging roles and perhaps become future leaders of Oxfam. This program supports the “growing our own” approach and links closely with succession planning. In developing leaders on the program Oxfam emphasizes the disjuncture between how you are and how you know yourself to be, also referred to as “contrived behavior” and “cognitive dissonance”. The program comprises two principal elements:

Master Classes. These provide input on various key topics and are delivered using a variety of approaches, e.g. facilitated skills workshops, presentations from external speakers and Oxfam case studies. The intention is that these sessions are presented by a combination of internal and external facilitators/presenters, thereby not only promoting organizational culture and awareness but also providing information about the external management and leadership environment. Action Learning Sets (ALS) enable individuals to focus on “live” work issues that matter to them. The focus of discussion and exploration is determined by the set members and supported by a set facilitator. On the MLP, participants work in the same sets throughout the program (5 – 6 people per set) and wherever possible the same set facilitator. The set members are encouraged to keep in touch in-between the 3 organized meeting points. This close working over the duration of the program should encourage the development of supportive peer relationships that hopefully will continue after the program. Psychometric profiling using Myers Briggs Type Indicator (MBTI) is used, in addition to 360 degree feedback from managers and peers. Each participant is expected to have a Mentor whilst taking part in the program. As a result of the MLP, Oxfam have that noted good humanitarian leaders: • Have a comfort zone asking for help; • Are comfortable receiving negative feedback; • Know when to and when not to hold firm; • Are more realistic about personal limits; • Are more realistic about team limits; • Plan realistically; • Are more open to personal change; • Are comfortable dealing with conflict. Coaching has also been used to bring new staff up to speed as quickly as possible. One example given by a respondent was when a staff member joined Oxfam GB and had a fast turnaround to get out to Darfur. She was allocated a coach for the first few weeks of her deployment to help her understand the organization and its ways of working which she found invaluable.

196 Emergency Capacity Building Project - Staff Capacity Initiative (2006) Staff Capacity.


Oxfam also provides access to external training for leaders at: • The Oxford Said Institute; • The Cambridge University Poverty and Leadership Program; • The Royal College of Defense Studies; • The Gstalt Institute, Boston, USA; • The Society for Institutional Learning Massachusetts Institute of Technology (MIT); • The Indian Institute for Management. SCF has developed a Leadership Development Program (LDP) for senior leadership staff. The six day residential gives participants the opportunity to hear and meet leaders from other parts of the organization and across sectors, to step up into a challenging leadership role for the week under observation and to develop a leadership development plan based on the diagnostics and feedback they experience. This is followed by a 12 month program of mentoring and coaching, followed by a 360 assessment a year later. SCF maintains links to Centre for High Performance – London Business School. SCF runs a Senior Management Development Program (SMDP) five times per year. The program is used for personal development – there is no not pass or fail. However, it is used for talent spotting. The program emphasizes the 5 Vital signs required an SCF senior manager: • Leadership; • Team; • Good Communications; • Care for others in team; • Beneficiary focus; and • Resistance. SCF also runs a Child Protection Program for young leaders in their 20s with a view to grooming them for future leadership. The program uses placements across the organization and with other agencies. The program takes a system wide view, comfortable if participants are placed in the future with other agencies. WVI has developed its global leadership development initiative “Pathways to Leadership” in recognition of the fact that competent management of the NGO non-profit sector is an extremely important issue. 197 The initiative is driven by an acute awareness of the strategic importance of effective leadership at multiple levels and the scarcity of competent leaders to meet these needs in the developing world. All World Vision’s managers receive a wide range of relevant training and support, but the “Pathways to Leadership” program seeks to develop high-potential leaders, with a particular focus on cultivating national staff. The uptake is almost equally split between male and female staff, and the benefits to individuals have been quite tangible, with many remarking on the increased effectiveness of their work as a result of improved skills. The benefits to the organization have also been significant. World Vision’s recent evaluations suggest that programs are having a much greater impact on communities. Moreover, the ability to source high caliber leaders from within the organization is paying dividends, with a large number of course participants promoted to leadership positions. Given the scale of training undertaken by WV, the agency is also considering building a World Vision University, with a view to accrediting all training. World Vision has a “feeder school program”, under which junior staff shadow the agency’s Emergency Response Team (ERT) members and are coached by their mentor for 15–18 months.

NRC uses leadership development courses on project management, Chiefs of Mission Program and soft skills like inspiring confidence, and executive presentation skills. They also have individual tailored courses with Cranfield Praxis Centre for high level leadership and managers. These are leaders identified by the Director Generals Office. In addition a new module is being developed on leadership and advocacy.

197 People in Aid (2003) Code.


Tearfund in recent years has broadened its disaster management work and introduced a Disaster Management Development Program (DMDP). 198

This aims to strengthen the knowledge, experience and capabilities of existing field managers, equipping them for disaster management work in operational programs and partner support work. The program is open to all managers and so far almost half the delegates have been national staff. It was designed by Tearfund’s own learning and development specialists around a “cascade” model in which individual participants are encouraged to transfer their learning to others and to their program. Tearfund aims to use the program to develop current and emerging leaders and the first course module - “program design and planning” - has been validated by the UK’s Institute of Leadership and Management. External validation forms part of a formal accreditation process and such recognition assures participants that the content is of a high quality. The remainder of the program covers aspects of disaster management, generic people and project management together with skills for personal development and developing others.

Merlin piloted a coaching process in 2007 where external coaches worked with Country Directors and Country Health Directors. The initiative formed part of an overall management and leadership program that senior managers in Merlin participate in. Coachees came forward on a self selecting basis and telephone coaching conversations took place to help the individuals focus on learning objectives set by their line managers. A review of the process has shown that it was a very positive learning experience within the organization and will be repeated further. It has helped coachees to experience coaching for themselves and has helped to expand their management style and skills and to improve communications within the line. It has also helped the managers to take responsibility for their own learning and development. The benefits of using external coaches were that they were perceived as neutral and non-judgmental and that the overall process did not use up large amounts of internal capacity.199

Medair’s approach to emergency staff management could provide an example of how to mitigate concerns about potential staff loss from emergency roster deployment. It has specifically built in a field staff management process of active mentoring and shadowing to ensure that senior country programme staff are capable of deputizing for each other’s posts, particularly for the Country Director (CD) posts. CDs “shadowed by three or four potential CDs during the course of a year… Each potential CD shadows a serving CD for three months, spending one month on each of three different disciplines or tasks. Importantly, the potential CDs are extra staff, supernumerary to the team – they do not fill an established post within the team.” As a result, Medair can mobilize staff from existing teams to respond to new emergencies without damaging the capacity of the contributing country programme. Medair points out that there is an extra cost involved in the scheme, but consider it “well worth paying” towards achieving their goal of a rapid response pool.200

ICRC’s “Capital Avenir” program makes funds available to help employees to reorient their career or upgrade their professional skills. The agency also advises and supports departing staff in their career transition. Providing short-term training during assignments can be difficult and agencies have looked at alternatives. IFRC International Managers Effectiveness Program (IMEP) is not a performance management tool, but confidential personal development. Eleven IFRC management dimensions have been identified. Over 100 managers have been assessed since 2007. It consist of the following components: a 360 degree feedback using Leadership Effectiveness Analysis (LEA), a one week clinic with further 360 degree, personal planning, coaching, and implement planning with a coach over next 12 months. 4 one hour sessions. Peer support and networking and teleconferences. Run with Management Research Group (MRG), who are also use by the ICRC.

198 People in Aid (2003) Code. 199 People in Aid (2007) Competency Frameworks. 200 S. Haw, Operations Director, Medair (2003) Staff Mobilisation in Emergencies Past and Present (Report of the Fifth Emergency Personnel Seminar (EPN 5), Evian, France) http://www.epn.peopleinaid.org/files/epn5/staff-mobilisation.aspx


In addition to 360 degree assessment undertaken by Management Research Group (MRG), IFRC also uses the Institute of Management Development (IMD) Lausanne, Harvard University Business School, and IFRC leaders also access ICRC training. The UNSSC is a central point for leadership training across the UN. The Staff College runs 10 day interagency UN Country Team Coordination and Leadership Skills Workshop for P5/D1 senior managers, including all new RCs. The goal of the program is to augment knowledge of in-country level UN Reform and coordination and the “Delivering as One” initiatives in order to strengthen leadership and management skills of UN Country Teams. The UNSCC has supported induction training for new RCs for eight years. Agency representatives were added in 2006.

United Nations High Commissioner for Refugees (UNHCR) Management Assessment Project (MAP) is undertaken in conjunction with the Oxford Group. It provides a transition bridge of competencies for P4s moving to P5 positions. It follows a portfolio approach, with eligibility criteria validated, competency based interviews, psychometrics (Occupational Personality Questionnaire (OPQ) benchmarked on British corporations), written work, managers feedback, face to face, assessment centre, and group assessments. A Middle Management feeder to senior management skills training includes self study modules and a 360 degree plus week long workshop, with 12 modules covering a broad range of management development concepts. UNHCR’s Strategic Leadership Program (SLP) reviews regional best practices in two 2 ½ day workshops, which also include coaching, and a personal leadership assignment. UNHCR noted that traditional training fails with senior level leaders, who find peer exchange the preferred option to develop knowledge. Since 1999, 20% of UNHCR’s staff development budget has been allocated to the field offices who are empowered to identify their specific learning needs and identify local solutions. On-the-job learning (eg. coaching, shadowing, action learning, guided missions) is encouraged. From its headquarters in Geneva, training providers in the various subject areas are converting or redesigning training workshops into distance learning modules or blending self-study elements and workplace application with the face-to-face events to create 9-month learning programs. E-learning was introduced in early 2003 with on-line courses in management, personal effectiveness and communications skills. Where the subject matter warrants (staff safety, induction and supply chain), UNHCR has developed interactive learning CD-ROMs in-house. There remains a need to develop more tools for self-directed learning (self-study guides, coaching guides, job aids) in a number of UNHCR specific subject areas and to reinforce the important role of all supervisors to more proactively facilitate the learning of their staff. The adjustment has been surprisingly well accepted, particularly in the field offices where lack of access to learning opportunities was a source of frustration. Skills development is all the more important as offices expand and contract with refugee influxes. While learning activities must match organizational needs we should not ignore the fact that capacity building of locally recruited staff is also an organizational obligation. UNICEF’s Global Learning Curriculum is being revamped to better deliver on staff competencies clearly linked to the organizational priorities to ensure mandate delivery. Learning is organized around three sets of interrelated curricula: (a) excellence in programming for children to achieve the MTSP targets; (b) leadership and development; and (c) management excellence. UNICEF’s Learning and Development Section conducts courses for Heads of Offices and other senior leaders, Program and Operations Managers, and Young Professionals. UNICEF’s Intranet “Learning Web” portal is a resource for staff where they can access information regarding what core learning opportunities exist (including workshops), CD-ROMS, on-line courses, take a UNICEF Orientation course, learning more about Emergencies and Programs, view P2D (Personal x Professional Development) information, learn more about Leadership and Management, review Job Competencies, find information regarding Interviewing Skills and Facilitation Skills, and also Caring for Us (a section devoted to HIV/AIDS in the workplace and Stress Management).


UNICEF has created the P2D, shorthand for (Personal x Professional) Development. The P2D process is designed to support and enhance fulfillment of staff in all aspects. There are five primary elements to managing one’s own progress in an organization explored during this program: Self-Awareness, Development Exploration, Development Opportunities, Individual Action, and Development Coaching. UNICEF’s Leadership Development Course (LDC) is designed for P4s on the way from middle to senior leadership. Participants are self selected, with support of a supervisor and one other not in line of command. A coach is identified in situ. The Gordon Institute Business School, University of Pretoria trains coaches. Participants focus on managing self (360 degree); managing others; managing organizationally; and gender and leadership (genders separated and then together). This is followed with: • Individual project along with coach; • Senior leaders panel presented project separate feed back on presentation; • Mentors in background of training observing; • 1 page thought piece on each block and assessed within 30 days also marked academically; and • Another 360 degree. Higher scorers are highlighted for rapid movement upward and begin work as Deputy Representatives and Representatives in training. The total timeframe of the LDC is1 ½ years and candidates get academic credit with University of Pretoria.

For UNICEF senior leaders there is a 2 week program for new Country Representatives. The Senior Leaders Curriculum (SLC) is run for Country Representatives and staff P5 and above, preparing to be RCs. It is a 2 year course with 6 modules of 5 days each. UNICEF coaches candidates for RCAC for 6 months – with dedicated staff for coaching. Recognizing the need for targeted and managed talent sourcing and development, additional funds have been allocated for 2008-2009 biennium to develop the New and Emerging Talent Initiative (NETI) to identify and recruit a higher-quality talent pool.

The WFP, the FAO and the International Fund for Agricultural Development (IFAD) jointly manage the Management Development Center (MDC). MDC was launched in October 2004 and three subsequent Centers through to April 2005. Since then, a total of 6 MDC’s have run for 146 senior managers from the three agencies. The centers are run four times per year. FAO uses it for P5 posts and above, while WFP focuses on D1 and some P5, Country Directors and Deputy Country Directors. The center is used for learning assessment and career development. It has also prepared WFP staff attempting the RCAC.

The MDC includes a blend of simulated management activities and assessments, peer-to-peer learning, experiential learning, and management development tools, including: • 360-Degree Feedback Report; • Occupational Personality Questionnaire and Report; • Staff Management Exercise; • Strategic Presentation Exercise; • Peer-to-Peer Competency Interviews; • Individual Learning Development Plan; • Competency Interview; • Feedback Discussion; and • Final Report.

MDC was initially run by SHL Consulting Company and then changed to ENCOMPASS. It has now returned to SHL. SHL also works with UNDP on the RCAC.


WFP is developing on-line career development tools and the PACE (Performance and Competency Enhancement) 360 degree self-assessment tool. WFP accesses pro bono training provided by Management Centre Europe on MBA type courses, negotiation and strategic planning, linked with the American Management association. There is also a WFP Emergency Coordination Program linked to a Netherlands University. With Boston Development Group, WFP undertakes assessment for Country Directors and senior leaders, linked with field based training. UNFPA has developed an Assessment Learning Chain (ALC) linking performance to training needs. Many UN agencies mentioned UNFPA excellent competency framework and model leadership development, which has been copied by UNHCR, FAO and WFP. In particular, the development of multi rater assessment, assessment for work objectives and also competency, identifying learning, and career development. UNDP with DOCO organizes an annual RC/Resident Representative induction in New York. UNDP also run thematic trainings for RCs on governance, trade (with UNSSC & Inter-agency working group on trade and the productive sectors), and work relations (with the International Labor Organization (ILO)). They also run coaching labs with peer to peer counseling for leaders. UNDP have developed on-line learning with a self paced social networking Virtual Development Academy. DOCO works closely with the Staff College to carry out the UN Country Team Coordination and Leadership Skills Workshop. The LEAD program has been developed by UNDP recognizing that in the next 4 years 30% of the workforce will retire. Funding cuts in the late 90s caused a suspension of entry-level programs. The LEAD program attempts to revive “Home grown” talent and build an organizational culture of loyalty. The LEAD Program is a recruitment tool which serves as an entry point for young development professionals interested in a career with UNDP. It provides qualified individuals opportunities to serve as development practitioners in UNDP. The selection process is conducted over 7-8 months and includes an E-application, CV short-listing, a written test, remote competency assessment, and panel interviews. This is followed with two assignments of approximately two years each. When readiness for middle management is confirmed, participants are mainstreamed into the UNDP workforce. WHO has recently completed a Strategic Direction and Competency Review, which outlines development of the following: • Global Communications Strategy on Career Development • Global Framework for Career Development • Career Development through Mobility and Rotation • Generic profiles • Skills inventory • Harmonization of selection procedures • Career Transition Guide for Staff • Development of model Career Paths • Career Development Centre • Workshops, resource libraries, one-on-one support • Interactive Website WHO runs a Global Leadership Program (GLP) for P5 level and above, in addition to Health Cluster Training, Tunis WHO Centre for Health Cluster Training in Emergencies, Cluster Sector Lead Training with OCHA, and leadership training at the UN System Staff College. WHO also accesses management training at the London Institute.

UNDPKO runs a Strategic Leadership Induction Program (SLIP) for senior mission leaders and a Senior Mission Administration and Resource Training (SMART), which uses Harvard style case studies in a 5 day workshop simulation of mission. The program is focused on P4-D1 levels. Participants are tested on subject matter before and after module learning.


UNRWA’s Leadership Management and Development Program (LMDP) is an entry point for the development of professionals interested in a career with UNRWA. It provides an opportunity to train the UNRWA’s future leaders. The LMDP is a key element of UNRWA’s succession planning strategy, allowing it to develop a talented pool of professionals that will be drawn upon by UNRWA to fill middle management functions in the short and the medium term. The LMDP takes a “Blended Learning” approach - a mix of learning methodologies, including some workshops (face-to-face sessions), self study/ learning modules, an internet based learning resource centre provided by the learning consultants. Participants interact with each other through an on-line discussion forum, post questions or concerns and offer answers, comments or guidance to each other. The Office of Human Resouce Management (OHRM) of the UN Secretariat is active in leading the

Human Resources Reform Task Force. OHRM are planning the development in 2009/2010 of Learning & Development Assessment Centers for senior leaders, which will include 360 degree feedback and psychometric feedback. Currently SHL does assessment for leaders for OHRM. P4-P5s undertake 360 degree assessment, which is confidential and not used for career planning. There is private one to one coaching with Mannet, but tender provider is about to change. OHRM runs a Leadership Development Program for D1-D2s. It is a live-in 5 days program, with 360 degree feedback, follow up, and a second workshop. OHRM is exploring possible on-line learning with Cornell University’s e-Cornell program, looking at certification and equivalency. IOM undertakes secondments to OCHA paid by: projects, through cost sharing, and by IOM funds. IOM is part of many UN Country Teams, and with common pay systems can align easily within the UN system. IOM and UN agencies share information and continue pursue complementary or joint programming. Each at the present time remains independent one of the other. A decision is pending on IOM seeking UN agency status.

4.7 Systems and Tools for Tracking Rosters An examination of tracking systems across humanitarian agencies will inform how information will be stored and tracked on candidates on the HC Pool. To varying degrees agencies use the following applications for a range of tasks including Hiring Management, Performance Management, Succession Planning and Learning Management. Many humanitarian agencies (even OCHA) retain a paper or file based record for succession planning or of preferred candidates – “a list”. Most agencies (including parts of OCHA) record and track using basic software like Excel or more complex programs like Access, common to Microsoft Windows. However, particularly in the UN system, a range of other tailored software is used: • OHRM and all the Secretariat mid-2009 - ORACLE linked to People Soft – personnel

management & learning management process • ProCap – individual web based tracking ProCap Online • UNHCR – People Soft to be used for performance management and learning management,

currently using Access for learning management. • UNDP – SAP E-Recruit • UNFPA – SAP E-Recruit • UNICEF – SAP E-Recruit in 2012 • WFP – SAP old version moving to UNICEF model • WHO – ORACLE linked to Global Service Management • Department of Field Support (DFS) – ORACLE about to be implemented for succession planning • Global Fund - ORACLE linked to Softscape – performance management • Cross UN – Galaxy


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As outlined above the evolution of the Humanitarian Coordinator and Resident Coordinator systems has remained intertwined since both were first created. Many of the themes identified below have been the subject of concern of the IASC since its creation in 1992, and of the humanitarian community before that time. They are central to the humanitarian reform process initiated in 1996 by the Humanitarian Reform Review. In addition humanitarian leadership is integral to the other pillars of reform – sectoral coordination, humanitarian financing and partnership. As a result, resolution of these issues is critical. The following Section outlines key issues of concern highlighted by resource people during the Mapping Exercise (see Annex A) and drawn from a review of IASC papers from 1992 to 2008 (see Annex D). These issues and options are not weighted, or listed as preferred recommendations, but rather are intended to document issues that may be considered in the future by the HC Group and the IASC. They do, however, constitute a range of unfinished areas of debate that still require attention in developing humanitarian leadership reform.

5.1 Resident Coordinators Performing Humanitarian Coordination Functions As early as the 3rd

Session of the IASC Principals questions had been raised about the quality of Resident Coordinators and their ability to work full time on humanitarian response, particularly in complex emergencies.201 These concerns continue to be raised by many of the resource people. In addition, issues of closeness to Government, focus on development, and inability to engage with and build suitable partnerships with non-UN actors and local civil society, where all raised as concerns. The Principles of Partnership were raised as benchmarks for such interaction. Some felt that there were regular examples of failures by RCs in disasters to apply even the basic PoPs. They indicated a need to develop humanitarian country teams in conflict and disaster-prone countries (by RCs and RC/HCs) as part of the Global Humanitarian Platform (GHP) and linked to the Principles of

Partnership (PoP), to broaden inclusion of NGOs, IOM and the Red Cross/Red Crescent Movement. Some resource people noted that in many cases humanitarian work is carried out in countries in which there is very limited national capacity, but we should not assume that this is always the case. They noted the important role of RCs in coordinating the transformation of direct assistance to support for national capacity. A number of resource people emphasized that the leadership competencies and experiences were as valid in emergencies as in development, and that well-designed training initiatives on specific aspects of humanitarian coordination/leadership could address many of the perceived problems. It has also been stressed that the RC’s access to and potential leverage on national authorities are important assets, the lack of which may undermine their humanitarian functions. They also indicated that the trust of the UNCT and Government was essential. Some indicated that RCs are sometimes perceived to lack correct expertise, and trust and credibility are hard to earn when engaging new actors in crisis situations. Nested in the debate is the divide between development and humanitarian cultures and approaches – which some claim manifest themselves in leadership styles and ability to command and control in emergencies. Central to the argument is a recognition (or denial) that in emergencies and disasters RCs require different skill sets and competencies. Others emphasized that some important steps in that direction are already underway and should be further pursued.

201 IASC (1992) Summary Record and Action Points incl intro HCs (IASC Principals 3rd Session October 1992).


A number of resource people focused on the need to identify and add specific humanitarian competencies required of all RCs and/or changes of emphasis or skills when applying existing RC leadership competencies, when responding to disasters and emergencies. They indicated there was a need to further integrate humanitarian competencies and skills in the selection process of RCs. Some explained that in order to be able to make the connections between development and humanitarian work, RCs need to be to provided with the kind of support that the person needs in order to ensure that all responsibilities can be well implemented. It will also be important to be as clear as possible about the competencies that are needed. The level of subjectivity needs to be reduced to the minimum. Some indicated that competencies of RCs could be enhanced through the regional trainings currently being undertaken by HCSSP. Others felt there needed to be more extensive capacity building of RCs through coaching, mentoring, and peer support from other RCs or HCs. Some proposed that RCs should be provided with humanitarian leadership advisors during key crises or a Deputy HC. Regarding the appointment process, many felt that the IAAP should only appoint RCs in conflict and disaster-prone countries with suitable humanitarian competencies. They indicated the need for the ERC to increase identification of unsuitable RC candidates in the IAAP in selection for conflict and disaster-prone countries. A number of resource people raised the difficulty of standing aside or removing poorly responding RCs. In instances where this has occurred, many felt that changes where made too late and only after senior level negotiations between the UNSG, UNDP and the ERC. There needed to be a better procedure, which did not destroy the career of the RC lacking competencies in humanitarian leadership. Others felt that the issue of potentially “removing” an RC on the ground, when he/she does not perform well in terms of humanitarian leadership, would be problematic. In emergency contexts, discussions on designation and removal should first and foremost focus on the HC (not the RC) function. A few stated that a good self aware leader should be able to recognize that he/she was out of their depth and required assistance. A temporary stand-aside procedure should be identified between the ERC and UNDP Administrator, for when an RC is missing the experience or competencies to undertake humanitarian leadership – allowing a RC (acting interim)/HC to fill a post temporarily, until a disaster or crises response is completed or after a time limited posting.

5.2 Resident Coordinators/Humanitarian Coordinators In major crises, conflict and disasters, as a rule Resident Coordinators are appointed as Humanitarian Coordinator by the ERC, in recognition of their broader coordination role beyond the UNCT, with other stakeholders, particularly NGOs, IOM, and the Red Cross/Red Crescent Movement. As outlined above this is one of four options available for the ERC to construct leadership humanitarian coordination in response to disasters and emergencies. It is, however, the most commonly used response at the present time, and has been for the past sixteen years of the IASC’s existence. When both the RC and the HC posts are vacant, the RC selection process precedes that of HC designation. In such cases, in most instances the ERC proposes as HC the newly-appointed RC. The RC selection process and the HC selection process are two separate processes that are under the responsibility of two different senior UN officials, who represent two different constituencies. RCs are selected by the UN Secretary-General on the basis of the recommendation of UNDG members and observers. HCs are designated by the ERC, further to consultation with IASC members. It should be noted that the membership of UNDG and that of IASC are partly overlapping, as all UN members of the IASC are also members of UNDG (see attached table). Greater collaboration between HCSSP and UNDOCO on RCAC, training and induction of RCs, and talent management of RCs was seen as useful by some resource people. Some referred to the debate with UNDG agencies about UNDPs management of the RC System and the need to develop more


UNDP Country Director positions, by fire walling RCs.202 These issues have been raised again in a Joint Inspection Unit Report currently being drafted. HCs do not act in isolation, but are part of a team comprising other senior leaders (UN and non-UN), supported by OCHA. Many argued that the advisory support provided to RC/HCs is critical and could be expanded as a means of ensuring effective humanitarian response and management, relying on a team approach rather than stacking up an unrealistic set of demands on the individual RC/HC. Resource people also noted that the HC’s performance has been limited in the past by authority over operations she/he is coordinating, but there remained a lack of clarity over what sort of authority she/he has over cluster coordinators who are managed by another agency. Some resource people noted that humanitarian leadership needed to be built on top of development leadership – rather than the other way around. There needed to be a long-term view on succession-planning and targeting of junior/middle management staff, ie. P2-P4 staff, to give them greater exposure to humanitarian operations. They argued that the focus of the debate so far has been mainly on getting the development agencies to make more room for people with a humanitarian profile to join the ranks. There is little discussion of how the humanitarian community can create short term opportunities for young development workers to get field experience with humanitarian agencies. Possibly allowing more junior staff can take 2-3 month “sabbaticals” every few years “on their way up” to round out their profiles and better prepare them for the inevitable natural disasters they will find themselves handling in the future.

5.2.1 Resident Coordinator Assessment Centre

The Resident Coordinator Assessment Centre (RCAC) is a 3-day residential assessment conducted by an external company which assesses coordination and leadership competencies. Candidates are sponsored by a (usually their own) UN agency. They need to have senior management experience, development/humanitarian experience, representational experience, and be a minimum of four years before retirement. The average failure rate is 50%. The range of assessment scenarios has developed over time, and increasingly conflict and disaster case studies are standard. In 2003 the RCAC was revised to reflect a heavier component on humanitarian/crisis management. The RCAC costs $15,000 per candidate. In HC Pool Phase I only non-UN candidates were funded to undertake the RCAC. Nominations for the RCAC continue to fall below the Secretary-General’s targets for regional and gender balance. Some resource people indicated that agency nominations for the RCAC are not always fully satisfactory in terms of competencies as well as professional experience of proposed candidates (development/humanitarian/managerial). Some indicated that exclusive reliance on performance during the RCAC to judge the suitability of candidates for the RC function is unwise. Past performance assessments, reference checks and other measures should be given careful consideration.203 Others added that, with all its possible limits, the RCAC does constitute a fairly thorough assessment, while nothing comparable is yet in place to select potential HCs. Numbers of resource people, both UN and non-UN, questioned the assessment methodology of the RCAC. A number indicated that testing focused on problem-process-solution, where “humanitarian” candidates focused on rapid problem-solution. Some raised the need to add more on humanitarian

202 Joint Inspection Unit (2008) Draft: Special Representatives of the Secretary-General and Resident Coordinators: A Benchmarking Framework for Coherence Within the United Nations System (UN Doc JIU/REP/2008/XX). 203 IASC (2006) Annex 1 to Draft Action Plan: Special Task Force on RC/HC Assessment, Selection, Support and Training Recommendations for consideration by the UNDG Executive Committee (IASC – Working Group 64th Meeting) WO/0603/1405/7.


response. Others raised the need to have an additional assessment for those candidates who could be endorsed to work in conflict or disaster-prone countries or as RC/HCs. Some resource people raised the issue of cost covering of the RCAC by the HCSSP. Options Identified by Resource People � Continue with the current RCAC process, regularly monitoring the humanitarian element of the

assessment. � Establish a humanitarian assessment in addition to the RCAC, based on humanitarian

competencies, to qualify RC Pool members wishing to be deployed to conflict and disaster-prone countries. Only these RC Pool candidates would be recommended to the IAAP process.

� Increase the number of candidates with humanitarian experience from IASC agencies passing the

RCAC. � Increase the number of available IASC pre-screened candidates, using the HC Pool, passing the

RCAC. � Mirror the RCAC process in the selection/assessment for the HC Pool, with specific humanitarian

focus.

5.2.2 The Inter Agency Assessment Panel Resident Coordinators are selected according to the following procedure: Vacancies for RC posts are advertised within the wider UN system for two weeks. Agencies submit the names of candidates with appropriate experience and skills who have successfully passed the RCAC. 204 The Inter-Agency Advisory Panel (IAAP) – comprised of senior human resources officials of United Nations Development Group (UNDG) members and observers – reviews candidates and proposes at least three candidates per vacancy to the UNDG Chair (often less). If the vacancy is in a country where the RC is likely to be subsequently designated as HC, the ERC has the power to challenge the appointment of a candidate not considered as having suitable humanitarian qualifications for the position. Similarly the head of UNDSS can object on security grounds. The UNDG Chair consults with UNDG Principals as necessary and submits the candidates to the UN Secretary-General, recommending one for appointment. The UN Secretary-General selects a candidate and seeks the Government’s agreement. The Government accepts the candidate. The UN Secretary-General appoints the candidate as RC. Resource persons noted the poor notice of upcoming RC/HC and HC vacancies. There was a lack of clarity on the link between the HC Pool and the IAAP process, and whether the ERC used the HC Pool as the first point of reference when choosing candidates for the IAAP process. A number of responders highlighted the need for succession planning, given the fact that most RC/HC posts are replaced with a reasonable lead time. In crises their currently is no rapid process to gather endorsement of candidates. As note above the RC appointment through the IAAP often created a fait accompli on the designation of the same individual as HCs. More work is needed in advance succession planning. Resource people noted the lack of consultation with the non-UN for RC posts in countries in conflict and disaster-prone countries. A number of agencies have highlighted that a list of upcoming vacancies shared with the IASC would lead to greater transparency. The creation of a succession panel to assist the ERC in identifying suitable candidates from the HC Pool has also been raised, both long term and ad hoc as rapid crises occur. Some thought that the assessment made at the IAAP level, where key humanitarian agencies

204 IASC (2006) Draft Action Plan.


(including OCHA) are represented, together with the ERC’s following consultation with the IASC, already provides concrete opportunities to challenge appointment of candidates. Options Identified by Resource People � Regularly table upcoming RC/HC vacancies and RC vacancies in countries in conflict and

disaster-prone countries at the IASC. � Create an IASC HC Succession Planning Panel to review competencies of HC Pool candidates

and to plan potential matches to upcoming RC/HC vacancies in countries in conflict and RC vacancies in disaster-prone countries, for the ERC’s consideration.

� Increase the use by the ERC of the “veto power” in the IAAP of unsuitable RC candidates for

countries in conflict and disaster-prone countries. � ERC supports candidates from IASC agencies with considerable humanitarian experience for

countries in conflict and disaster-prone countries. � 3 IASC pre-screened candidates, using the HC Pool, are presented as preferred candidates by the

ERC to the IAAP for countries in conflict and disaster-prone countries. � The ERC chooses one candidate from 3 IASC pre-screened candidates from the HC Pool, to

present as the preferred candidates to the IAAP for countries in conflict and disaster-prone countries.

� Only IASC pre-screened candidates, using the HC Pool, are presented to the IAAP by the ERC

for countries in conflict and disaster-prone countries, and IASC agencies do not present individual candidates on their own agency’s behalf. In such cases, IASC agencies that are members of UNDG would cease to submit their own candidates to the IAAP and support the candidates drawn from the HC Pool and submitted by the ERC on behalf of the IASC.

5.2.3 Induction Process The current induction process for all new RCs (including RC/HCs) involves annual briefings in New York over ten days and leadership training at the UN System Staff College in Turin over two weeks. This offers new RCs an introduction into their roles and responsibilities (1 week focusing on the RC role, 1 week focusing on the UNDP RR role). Agencies agree that the current package should be improved in order to better respond to assessed needs of incoming RCs. In addition, the one and a half day training on HC issues are not considered sufficient to prepare future RCs for potential emergencies or humanitarian settings. The annual scheduling of this training resulted in some RCs waiting almost a year before benefiting from a proper “induction” to their roles. The key critique of current induction was the emphasis of agency briefings (“talking heads”) at headquarters level, and the need for more tailored approach. There is no formalized approach for independent HCs, briefings being organized by OCHA ad hoc.


Options Identified by Resource People � Increase the time allocated for briefing, training, and induction from humanitarian NGOs, IOM

and the Red Cross/Red Crescent Movement for new RCs and RC/HCs. � Increase the time allocated for briefing, training, and induction of new RCs and RC/HCs in New

York, Geneva, Rome and at the UN System Staff College on issues relating to humanitarian response

� Include briefing by OCHA regional offices as mandatory for all new RCs and RC/HCs. � Have a separate expanded induction process for RC/HCs and for RCs posted to disaster-prone

countries.

5.2.4 Performance Appraisal of HCs & RCs As outlined above, in the 2007 RC/HC/DO and UNCT Performance Appraisal, UNCTs identified one humanitarian goal and a separate section being completed for the ERC when a Flash Appeal was activated or where the RC is also HC. A number of resource people indicated that process should be more inclusive of non-UN humanitarian agencies, The ERC has developed compacts with (X) HCs, but the connection to the RC/HC/DO and UNCT Performance Appraisal process requires clarity. Ongoing efforts are being made to explore how non-UN agencies can contribute to the appraisal of the RC/HC in his/her humanitarian role. A few resource people indicated that such involvement would be a de facto approval of the RC/HC system. Others have drawn attention to the development of Humanitarian Country Teams in the GHP process and the potential for 360 degree appraisals. Some resource people were of the view that coordination failures, in general, do not result in any kind of sanction.205 Others mentioned that humanitarian coordination and leadership should also be regarded as a collegial responsibility of the broader Humanitarian Country Team and the performance of all HCT members should thus also be appraised, not just the HC’s performance, on a two-way, 360-degree basis. Options Identified by Resource People � Continue development of RC/HC/DO and UNCT Performance Appraisal, with the UNCT

identifying one humanitarian goal and a separate section being completed for the ERC when a Flash Appeal is activated or where the RC is also HC. Input for the later drawn from UN humanitarian agencies, OCHA regional offices, and the compact with HCs, and compiled by the ERC.

� Seek input to ERC for the RC/HC/DO and UNCT Performance Appraisal on humanitarian

response from NGO, IOM and Red Cross/Red Crescent Movement. � Develop an independent performance appraisal of RCs and RC/HCs as part of the creation of

Humanitarian Country Teams.

205 IASC (2005) ICVA - The Humanitarian Coordinator System: Issues for Discussion (IASC Principals 33rd Session December 2005).


5.3 Humanitarian Coordinator Designation HCs are designated according to the following procedure: • The ERC proposes a candidate and seeks the endorsement of IASC members.206 • IASC members endorse the candidate. • The ERC designates the candidate as HC. When the ERC proposes as HC the newly-appointed RC (which is the case in most instances), non-UN IASC members have de facto a limited say in the choice of HC, as their options are limited to approving or rejecting the proposed candidate. A number of resource people raised concerns on the short notice in responding to HC appointments. While the appointment of HCs is formally an IASC endorsed decision, the reality is that the “consultation” with the IASC is more of a rubber-stamping exercise with usually only days given for “objections” to be raised. The time for response has been extended to weeks recently. Resource people also raised the issue of fairness and due process by asking for broad endorsement of a candidate, without a set of criteria for comments to be made against. One agency pointed out that in a number of countries such HR practice is illegal and can be defamatory. Some have stated that if the HC system is to be strengthened, there is clear need to have a transparent set of criteria for selecting a person to the post. The ERC should provide an explanation to the IASC of why the candidate has the required qualifications. This explanation should refer to the set of criteria.207 Some have called for a broader transparent recruitment process which includes an open call for candidates, an interview process, and a clear appointment process. The lack of clearly defined and agreed criteria and procedures for establishing and disestablishing HC positions leads to HC positions not always being established/dis-established in a predictable and consistent manner across countries. At times HC positions are established late, as the ERC does not receive from the field the information and analysis that would lead him to decide that the criteria for establishing an HC position are met. This is particularly topical in the case of slow-onset disasters, where field staff have a development background, and are therefore not always able to assess whether a given situation has reached emergency thresholds. Many resource people referred to the ongoing debate on HC models, with the two extremes arguing for the exclusive use of stand-alone HCs or the RC/HC models. Most indicated that the ERC should have a range of HC models at his/her disposal, to flexibly respond to specific country circumstances. Some expressed a desire for the IASC agencies to be more involved in the determination of which model was used. The HCSSP has currently engaged a consultant to outline these models, their feasibility, and the issues surrounding them.

206 Up until recently the time frame for endorsement by IASC members was 5 days. This timeframe however was considered insufficient by NGO consortia, in light of their need to consult their membership. As a result, the timeframe has been extended to two weeks. 207 IASC (2005) ICVA .


Options Identified by Resource People � Continue with current process of seeking IASC endorsement of HC status. � Create an IASC HC Appointment Group to review the model to be used in a given conflict or

disaster-prone country, the available candidates, and the suitability of the appointed RC. � Create an IASC HC Succession Planning Panel, to review competencies of HC Pool candidates

and to plan potential matches to upcoming RC/HC vacancies in conflict or disaster-prone countries, for the ERC’s consideration.

� Endorse the automatic designation of HC status in countries where the RC/HC post has just fallen

vacant (ie accept the IAPP chosen candidate) or for RCs in conflict or disaster-prone countries.

5.4 The Humanitarian Coordinator Pool The following issues focus on a critique of Phase I and suggesting improvements to be incorporated in HC Pool Phase II. As outlined above, the HC Pool Phase I was established in 2006. Across the range of stakeholders there was a broad support for the need for a HC Pool and for its continuation, with improvements.

5.4.1 Use of the HC Pool

As outlined above, the debate on the RC/HC Model remains unresolved. There was a broad acceptance among resource people that the HC Pool is a necessary tool for the HC. More work is required on the link with succession planning for the IAAP. A few resource people indicated that the HC Pool should, in the long term, be the only source for RC posts in conflict and disaster-prone countries, a view rejected strongly by others. Others considered it one of a number of paths, including individual IASC agencies creating career development paths leading to the RCAC and IAAP processes, eg. UNDP, and UNICEF. These, however, were not considered as mutually exclusive of the HC Pool.

Options Identified by Resource People � Use the HC Pool as roster only for deployment as independent HCs. � Use the HC Pool as roster only for deployment as RC/HCs. � Use the HC Pool for all models that may be selected by the ERC, and develop two streams within

the HC Pool - a roster for the RC/HCs and a roster for humanitarian leadership. � Cease the use of the HC Pool and focus on RC and HC strengthening and return to broad selection

of individual candidates by the ERC. � Continue the HC Pool in a Phase II, with more stringent and compressive selection and

assessment criteria.


5.4.2 Recruiting Key comments from resource people involved broadening avenues for promoting the HC Pool. There was a sense that the HC Pool should be exploring avenues for recruitment which are being used by IASC agencies. This being recognized, a clear way of culling large numbers of applicants needs to be found, if some approaches are pursued. Options Identified by Resource People � Existing Humanitarian Coordinators could nominate people in the field who they see as having

the requisite skills to be a Humanitarian Coordinator. � Use head hunting and word of mouth among IASC agencies to identify possible candidates. � IASC agencies identify suitable “sponsored” candidates. � Post on Galaxy and cull candidate list through UN competency based process. � Advertise through ReliefWeb. � Advertise broadly in journals focusing on humanitarian affairs eg. the Economist, Guardian

Weekly, etc. � Limit applications to a limited time bound period of two weeks, once a year.

5.4.3 Selection Criteria

Resource people indicated there were few problems with selection criteria for the HC Pool, but instead some were critical of their rigorous application in the application and interview process. Some agencies have commented that HC Pool and candidates from IASC agencies still lack development experience to fulfill the RC side of RC/HC posts. Some indicated it was not experience of other parts of the humanitarian system, but rather a proven track record in including and integrating concerns of these other agencies, that was more important. The Principles of Partnership were highlighted as a guide or reference to explore these behaviors/competencies. Options Identified by Resource People � Use the current profile (attached as Annex C) as the basis of selection. � Add selection criteria on professional experience, including coordination and management

experience in development. � Add selection criteria on professional experience, including coordination and management

experience working with the United Nations. � Add selection criteria on professional experience, including coordination and management

experience working with NGOs, IOM and/or the Red Cross/Red Crescent Movement.


5.4.4 Application Process There was a general acceptance across resource people, particularly those involved in the HCG, that the selection process of the HC Pool needed to be more rigorous. Although the bulk of candidates were considered of a high caliber, in some instances agencies provided candidates that were not their best and required considerable capacity building. There needs to be a clear transparent process for rejection in application, regardless of where candidates come from, based on clear criteria. A number of agencies and resource people indicated that they would not identify candidates, but if individuals applied they would support them institutionally. Resource people indicated they were loath to release good non-OECD candidates or women, when their placement in higher level positions was hard won. Most were supportive of releasing candidates if they applied as individuals. Some emphasized the need for good communications promoting HC Pool, and the possibility of IASC agencies presenting the HC Pool as a career option during agency performance appraisal. One indicated that NGOs were often a “breeding ground” for a career path to UN eg. SCF to UNICEF. More work is required in identifying career paths with career development sections of IASC agencies. If individual applications were used, concern was raised on the scale of applications if too broad and mechanisms for culling. Head hunting was seen subjective. Do we need to source applicants beyond IASC agencies? Regarding the inclusion of non-UN candidates in the pool, some resource people noted the difference between NGO background and NGO affiliation. The former might be desirable experience for an HC to have but the latter is an organizational commitment or statement. They explained a candidate should only be describe as "non-UN" or "NGO" if they still have a formal relationship with a non-UN "home" agency. The question was raised - where the non-UN targeted as candidates for the HC Pool for their background or their affiliation? Similarly - where the UN being targeted for their background or their affiliation? Options Identified by Resource People � Have a clear process to reject unsuitable candidates. � Only agencies can sponsor individuals to the HC Pool. � Focus on individual applications, not agency lists, with applicant’s validation and supporting

evidence from their home agency. � Agencies to provide validation against HC competencies and profiles, as supporting evidence for

individual applications. � Include operational, human resources, and/or current HCs in the selection panel for the HC Pool. � Use only CVs, interviews and reference checks as the basis of selection. � Use evidence based application, interviews, assessed simulation, written tests, psychometric

assessment, and referee checks. � Continue assessment for suitability during capacity building (prior to RCAC or deployment), with

observation and assessment at training and during secondments. � Broaden the sources of applicants beyond the UN, NGOs, IOM, and the RC/RCM, and include

candidates from the public sector, national disaster ministries, business, and/or the military, with suitable experience in provision of assistance and/or disaster response.


� Having taken quality and excellence into account, actively focus on selecting women, non-OECD candidates, and non-UN candidates, with diversity targets (eg. 50%).

� Have a peer review by HR staff of selected IASC agencies to validate selection process after three

years.

5.4.5 Competencies of Humanitarian Coordinators Regarding the issue of quality of RCs in responding to humanitarian crises, some resource people felt the current RC competencies where inadequate in reflecting the requirements of humanitarian leadership. Others indicated that there needed to be greater clarity on how competencies are applied in crises – explaining preferred behaviors. As outlined earlier there are a range of leadership competencies across the UN, NGO, IOM and RC/RCM families, which are almost identical. Some indicated that there was no need for new competencies, but rather better communication and guidance on preferred and unacceptable behavior against competencies, and a clear link to performance appraisal. Options Identified by Resource People � Use the current RC leadership competencies. � Use the current RC leadership competencies, but outline behaviors in crises against those

competencies. � Use the current RC leadership competencies, but add additional humanitarian competencies. � Develop a separate set of competencies for HCs. 5.4.6 Training Resource people emphasized that training is not a panacea for lack of knowledge ad experience. Some indicated concern that HC Pool Phase I had relied too heavily on this aspect to build competencies for individuals with little humanitarian background or lack of experience with working with the UN. Training is a complement not a competency builder or substitute for experience. As outlined above, HC Pool Phase I undertook only one learning event for the HC Pool. Action 4.1 from the original 1996 plan to review and compile relevant current training opportunities available across the system for potential and serving HCs, remains uncompleted.


The following areas have been identified as gaps requiring specific training, as part of the professional development of the HC Pool and specifically not available in other courses: Working with the United Nations • Mandates, missions and governance • Humanitarian reform • Principles of Partnership, Humanitarian Country Teams & the IASC • The role of Resident Coordinators, Humanitarian Coordinators, Designated Officials, OCHA

Heads of Office • Negotiating access, International Disaster Response Law (IDRL), logistics entry points • One UN and coherence • Working with UN Country Teams • Integrated missions, the role of Deputy Special Representative to the Secretary General,

Department of Peacekeeping Operations, Department of Field Support • Working with the military • Humanitarian space • The United Nations Department of Political Affairs • Working with Governments • Negotiating human rights Working with Humanitarian Non Governmental Organizations, IOM & the Red Cross/Red Crescent Movement • Humanitarian principles & Codes of Conduct • SPHERE Standards • Accountability • Local capacity • Human rights, protection & responsibility to protect • Access and rights to assistance • Humanitarian advocacy • Humanitarian space • Principles of Partnership, Humanitarian Country Teams & the IASC • Independence & NGOs “outside” IASC coordination systems Humanitarian Diplomacy • International law ((International Human Rights Law (IHRL), International Humanitarian Law

(IHL), International Refugee Law (IRL) – RCs, HCs & DSRSGs - responsibilities • Diplomacy and host Governments • Negotiating access, International Disaster Response Law (IDRL), logistics entry points • Humanitarian Country Teams & Principles of Partnership • Facilitation, mediation & conflict resolution in teams • Working with the military – armed forces as responders, non-state actors, intervention forces &

peacekeeping missions • Humanitarian space • Negotiating human rights – sovereignty, responsibility to protect, the humanitarian system & the

UN system • Modes of action – ALNAP Protection Model • Humanitarian advocacy & host Governments


Options Identified by Resource People � Use the current UNCT training at the UN System Staff College, RC induction in New York, and

RC and HC Retreats as the basis of training. � Rely on individuals to identify their own training in their own agencies. � The HCSSP tracks and monitors suitable humanitarian training for the HC Pool, HCs and RCs

across the UN, NGO, IOM and Red Cross/Red Crescent Movement and the humanitarian sector, and universities playing a referral role.

� The HCSSP develops further training to fill identified gaps – humanitarian diplomacy; working

with the humanitarian UN; and working with humanitarian NGOs, IOM and the Red Cross/Red Crescent Movement.

5.4.7 Secondments Secondments were seen as an excellent way to build capacity for HC Pool candidates, but more importantly build trust as UN candidates get more exposure to non-UN and non-UN to UN structures and methods of work. Resources people indicated that at present the system does not reward secondments, and staff often lose out by leaving their parent agency. Some concern was raised if seconded positions took places from those within agencies. Better for position to be gap fillers in transition, when a post was interim vacant. Secondments needed time limits. Should they be for a fixed term or for an indefinite period that is subject to notice? There needed to be clarity on salary – if the non-UN agency of origin there may be difficulties with UN HR rules regarding provision of gratis staff. If seconded to a non-UN agency, would the individual continue to be paid UN salary? How will supervisory and disciplinary matters be dealt with? If it is long-term, how will performance management and development be managed? Does indemnity insurance need to be provided? Who will fill the role in the home organization? How will the secondee retain contact? How will the end of the secondment be managed (for example return to original role)? An alternative to secondment into a post is shadowing, pairing up two senior managers. One spends the day following round the other and then at the end of the day there is a debrief where the shadower can feedback to their colleague what they have observed. Both parties can learn from the process. Options Identified by Resource People � Individuals self organize secondments. � Secondment from UN to non-UN and visa versa. � Secondment from UN to UN & non-UN to non-UN. � Secondment to fill gaps between departure and arrival of posts. � Secondment to a substantive post as IASC agency Deputy Country or Regional Director, OCHA

Country Director, Deputy HC, contingency planner, as a career stepping stone to deployment as an HC.

� Shadowing RC/HCs, Country Directors of IASC agencies or OCHA


� Broaden secondments beyond the UN, NGOs, IOM, and the RC/RCM, and include placements with the public sector, national disaster ministries, business, and/or the military institutions undertaking provision of assistance and/or disaster response.

� Having taken quality and excellence into account, actively focus on selecting women, non-OECD

candidates, and non-UN candidates, for secondments with diversity targets (eg. 50%).

5.4.8 Right of Return & Reintegration 208

The “right of return” ensures that staff members who leave their home agency to work temporarily as RC/HC have a guaranteed position waiting for them. How to recognize promotions earned during the time as RC/HC? A number of resource people raised the issue of problems when HCs return to their home agencies. Have moved to D1 level and above there were often fewer positions at this level to return to and few wanted to go back into P5 level positions. Some agencies noted difficulties for former RC/HCs to return to jobs in their home agencies that do not have the same level of visibility and responsibility as the RC/HC function. Some felt that the “right of return” was not especially relevant to staff interested in the RC/HC function. These should be the system’s “best and brightest” who need to be confident that, after serving as RC/HC, they will be welcomed back to their home agency. Specific “right of return” for RC/HCs would raise questions as to why such a right is not granted to staff on other types of secondments or inter-agency transfers. The issue of who negotiates contractual right of return was also raised. Agencies expressed concern that although a position was put on hold, resulting in uncertainty in the interim, few actually returned to their posts. One questioned whether the appointment as a HC was actually “one-way street” and better to recognize that HC appointment was a career elevator away from agencies. Others maintained that HC posts provided capacity for the agency when HCs returned. Options Identified by Resource People � Individuals organize their own departure and right of return with their home agency. � HCSSP organize the departure and right of return individuals with the home agency. � Memorandums of Understanding are developed bilaterally with IASC to release candidates to the

HC Pool � IASC agencies make a statement of intent to support individual applications to the HC Pool,

training and secondment, within reasonable means. A process is created so that candidates who are consistently unable to be released are removed from the HC Pool.

5.4.9 Systems and Tools for Tracking Rosters

The HC Pool maintains human resources data on HC candidates. The level and complexity of a database will be determined by the addition of functions like tracking recruitment, assessment, competency ranking, learning management, succession planning, and/or performance appraisal. The extent to which this data remains exclusive only in agencies that perform the primary management function of RCs (UNDP) or DSRSGs (UNDPKO), or is shared, or linked with the HCSSP, is yet to be determined. This also relates to information for succession planning which resides with the IAAP and

208 See IASC (2006) Annex 1 to Draft Action Plan: Special Task Force on RC/HC Assessment, Selection, Support and Training Recommendations for consideration by the UNDG Executive Committee (IASC – Working Group 64th Meeting) WO/0603/1405/7.


the levels to which this information can be made available to IASC agencies. With the advent of new HR systems in the UN Secretariat in 2009, the extent to which a common system can be adopted by HCSSP and OCHA, are yet to be determined. Options Identified by Resource People � Continue reviewing other agencies data tracking methods as a follow up to the HC Pool Mapping

Exercise. � Use a simple database with limited fields – for Mapping Report, using Excel or Access. � Identify range of uses for the database – which may include tracking recruitment, assessment,

competency ranking, learning management, succession planning and/or performance appraisal. Investigate utilizing OHRM, OCHA, UNDP or other databases.

� Explore data sharing of dual functioned HCs who are RCs (with UNDP) and DSRSGs (with

UNDPKO). � Develop independent HR data for each HC.

5.5 Future Issues 5.5.1 Evaluating Success of the Humanitarian Coordinators Pool Resource people identified that HC Pool rapidly able to service the appointment of RC/HCs and HCs was critical. However, there were also riders that the quality and quantity of those recruited was equally critical. The measure of success of the HC Pool should be judged not only numbers deployed and building diversity, but also the quality of humanitarian leadership linked to the quality of humanitarian coordination. Options Identified by Resource People � Report to the IASC in three years time against the HCG Work Plan. � Have an independent evaluator or IASC peers review the effectiveness and continuation of the

HC Pool after three years. � IASC agencies explore ways that real time evaluation and evaluation includes humanitarian

leadership and the role of RCs, HCs and Humanitarian Country Teams in their measures of success.

5.5.2 Mapping Exercise as a Resource Given the time constraints outlined in the introduction, there needs to be further follow up with agencies interviewed and continue to others missed, to fill gaps and maintain a full picture of humanitarian leadership across the humanitarian system. A number of resource people indicated that the range of information gathered by the Mapping Exercise was useful as reference for future policy discussions. There is a need for information elements of mapping exercise to be updated regularly and shared across IASC.


Options Identified by Resource People � Note the findings of the Mapping Exercise. � Actively agenda outstanding issues for consideration by the HCG and the IASC. � Use the Mapping Exercise as a rolling study and further explore missing data on humanitarian

leadership development and training across the humanitarian system. � Facilitate further mapping by consultants, peers, and IASC agencies to document humanitarian

leadership development and training across the humanitarian system.

5.5.3 Long Term Career Development Beyond the short term goal of filling current RC/HC and HC posts, very little work has been undertaken on identifying the next generation of leaders from with IASC agencies. Some agencies, particularly in the UN, report and imminent gap emerging as large numbers of senior staff approach retirement age. Resource people indicated there needs to be a longer term plan for HC Pool, training, placements and career planning among IASC agencies. Dynamic changes are occurring in the humanitarian system – Governments in developing countries are building response capacity, there is an increasing use of local military, peacekeepers, and business actors in delivery of assistance. Some resource people stated that the sources for future leadership needed to be considered beyond the traditional sources among IASC agencies (UN, NGOs, IOM, and RC/RCM). Options Identified by Resource People � Develop a program for middle managers in IASC agencies with a view to building an additional

stream of talent management for the HC Pool. � Subsume a program for middle managers in IASC agencies with a view to building an additional

stream of talent management for the RC Pool with DOCO. � Build links with IASC agencies building long term career development programs. � Seek Universities and academic institutions, particularly in non-OECD countries, developing

humanitarian leadership programs, to identify future candidates and streams for recruitment. � Broaden the sources of long term future applicants beyond the UN, NGOs, IOM, and the

RC/RCM, and interface with career planning of candidates from the public sector, national disaster ministries, business, and/or the military, with suitable experience in provision of assistance and/or disaster response.


66..00 WWAAYYSS FFOORRWWAARRDD

This following Section outlines proposals for HC Pool Phase II (2008-2011). It proposes how the HC Pool will be managed and used in order to identify candidates for Humanitarian Coordinator positions, and how vacancies will be tracked and matched to potential candidates. It draws on procedures outlined at the 64

th Meeting of the IASC Working Group of 14 - 16 March 2006 and the goals and

targets outlined for strengthening humanitarian leadership at the 34th

Session of the IASC Principals

of 24 April 2006.209 The following recommendations outline the future direction of the HC Pool. However, it is envisaged that a Manual of Procedures will be developed by OCHA in consultation with the HC Group to outline the detail required for implementation. The following recommendations are made to the IASC HC Group: Recommendation 1: Take note of issues of concern identified by the 2008 HC Pool Mapping

Exercise, with a view to the IASC HC Group further exploring future options for humanitarian leadership reform.

Recommendation 2: Endorse the continuation of the HC Pool for a period of three years.

6.1 Humanitarian Coordinators Pool This paper outlines proposals for Humanitarian Coordinators Pool Phase II (2008-2011). It proposes how the Pool will be managed and used in order to identify candidates for Humanitarian Coordinator positions, and how vacancies will be tracked and matched to potential candidates. It draws on procedures outlined at the 64th Meeting of the IASC Working Group of 14 - 16 March

2006, and the goals and targets for strengthening humanitarian leadership outlined at the 34th Session

of the IASC Principals Meeting of 24 April 2006.210 6.1.1 Guiding Principles In keeping with the Principles of Partnership of equality, transparency, results-oriented approach, responsibility, and complementarity, the HC Pool will focus on the following guiding principles: • Quality & excellence, strengthening trust and confidence by IASC stakeholders of the HC system. • Greater transparency, participation and ownership in the selection of candidates for Humanitarian

Coordinator positions, and thus strengthened commitment to coordination at the field level.

209 IASC (2006) Annex 2 to Draft Action Plan: Procedures for the Humanitarian Coordinators Pool (IASC – Working Group 64th Meeting) WO/0603/1404/7. IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0. 210 IASC (2006) Annex 2 to Draft Action Plan: Procedures for the Humanitarian Coordinators Pool (IASC – Working Group 64th Meeting) WO/0603/1404/7. IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0.


• Diversity of candidates in terms of gender, geographic origins and agency of origin, and inclusion of candidates from outside the UN System.

• All options open for the HC model of deployment, allowing maximum flexibility for the ERC.

6.1.2 Composition of the HC Pool The HC Pool will be drawn from candidates nominated by an IASC agency who are: • Currently in the RC Pool, i.e. who have already passed the RC Assessment Centre (RCAC); • Currently deployed as RCs, RC/HCs or HCs and who are available within 6 months for

appointment in another country; or • Senior humanitarian leaders currently serving in another capacity. 6.1.3 Selection & Assessment of Candidates Selection will be based on evidence-based application, interviews, assessed simulation, written tests, psychometric assessment, and referee checks. Applicants will provide validation and supporting evidence from their home agency. Validation will be against HC competencies and profiles. An IASC Humanitarian Coordination Assessment Panel (HCAP) will be convened, consisting of senior operational and human resources personnel from IASC agencies, with a balance of UN and non-UN IASC members to undertake selection of HC Pool candidates. A clear process will be developed to reject unsuitable candidates. Assessment for suitability will continue during the capacity building phase, with observation and assessment at trainings and during secondments.

6.1.4 Training & Capacity Building The HC Pool will use the current Leadership and Coordination Skills training conducted by the UN System Staff College and the forthcoming three-day humanitarian induction for first-time RCs as the basis of training. Further training will be developed specifically for HC Pool members on humanitarian diplomacy (negotiation & advocacy); working with the UN; and working with humanitarian NGOs, IOM and the Red Cross/Red Crescent Movement. OCHA’s Humanitarian Coordination System Strengthening Project (HCSSP) will identify suitable trainings carried out by the UN, humanitarian NGOs, IOM and the Red Cross/Red Crescent Movement, playing a referral role for HC Pool members. To build the capacity of HC Pool candidates, cross-secondments will be explored for HC Pool members to other IASC agencies. This exposure will enable capacity building of HC Pool members’ knowledge of other structures and methods of work, and importantly build trust across the IASC as members get more experience. 6.1.5 HC Pool Management OCHA’s Humanitarian Coordination System Strengthening Project will manage the HC Pool with guidance from the IASC HC Group.


6.1.6 Duration of HC Pool Phase II The framework of HC Pool Phase II will be maintained for three years (2008-2011), after which time its effectiveness at implementing the Guiding Principles outlined above will be reviewed. During that period, there will be continual review of the suitability of existing candidates and replenishment with new candidates.

Recommendation 3: Endorse the creation of an IASC Humanitarian Coordinators Assessment Panel.

6.2 Identifying Humanitarian Coordinators 6.2.1 Succession Planning

The IASC Humanitarian Coordination Assessment Panel (HCAP) will review competencies of HC Pool members and to review and suggest potential matches to upcoming vacancies for HC and RC/HC positions, as well as for RC vacancies in disaster-prone countries, for the ERC’s consideration. The HCAP will also be convened on an ad hoc basis to advise and assist the ERC in identifying suitable candidates from the HC Pool to be designated as HCs when rapid-onset crises occur. OCHA will regularly table upcoming HC and RC/HC vacancies, as well as RC vacancies in disaster-prone countries, at the IASC for information. 6.2.2 Designation of Humanitarian Coordinators When a vacancy arises, the ERC will in principle select from a short list of HC Pool members as identified by the IASC HCAP, to present as the preferred IASC candidate to the Inter-Agency Assessment Panel (IAAP) as HCs (i.e. for HCs who are also being appointed as RCs) or to designate as stand-alone HCs (i.e. an HC who is not an RC at the same time). The ERC may, however, depending on the specific country situation and availability of HC Pool candidates, choose to propose to the IASC a nomination from outside the HC Pool.


PROPOSALS FOR THE IASC

1. Endorse the continuation of the HC Pool for a period of three years.

(a) The HC Pool will consist of up to 30 members drawn from candidates nominated by IASC agencies.

(b) The HC Pool will use the HC Pool Profile endorsed by the 65th IASC Working Group Meeting in July 2006, and will develop a more stringent and comprehensive selection and assessment process.

(c) IASC agencies nominating candidates for the HC Pool commit to release them for training, secondment and deployment, within reasonable means.

2. Endorse the creation of an IASC Humanitarian Coordination Assessment Panel

(HCAP).

(a) The HCAP will undertake the selection of HC Pool candidates and review the continuing suitability of existing candidates.

(b) The HCAP will twice a year review and suggest potential matches of HC Pool members for the ERC’s consideration for the following:

(i) Upcoming RC/HC vacancies;

(ii) Upcoming HC vacancies;

(ii) Upcoming RC vacancies in disaster-prone countries.

(c) The HCAP will also be convened on an ad hoc basis to advise and assist the ERC in identifying suitable candidates from the HC Pool to be designated as HCs when rapid-onset crises occur.

(d) Upcoming HC and RC/HC vacancies, as well as RC vacancies in disaster-prone countries, table for information at IASC Working Group meetings twice a year.

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WFP

M

anue

l DA

SIL

VA

Rep

rese

ntat

ive

(23)

WFP

Tes

ema

NEG

ASH

Cou

ntry

Direc

tor

(24)

WFP

M

icha

el JO

NES

RC T

ajik

ista

n

2008 H

um

anit

aria

n C

oordin

ato

rs P

ool M

appin

g E

xer

cise

P

age 9

1 o

f 124

AAGG

EENN

CCYY

// PPOO

SSTT

NNAA

MMEE

TTII TT

LLEE

Unit

ed N

ati

ons

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, New

Yor

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tion

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k

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k G

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ection

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uman

itar

ian

Aff

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er

OH

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R, G

enev

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atth

ias BEH

NK

E

OiC

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ission

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port U

nit a

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apid

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R, G

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apid

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pons

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R, G

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rizi

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ef, C

apac

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ldin

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R, G

enev

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azum

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an R

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of th

e R

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sent

ativ

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reta

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ener

al for

the

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an R

ight

s of

Int

erna

lly

Displ

aced

Per

sons

(O

RSG

-HR-

IDP), N

ew Y

ork

Pat

rick

EG

LO

FF

A

divs

er

UN

DP, G

enev

a M

igue

l BER

MEO

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r Crisis Pre

vent

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over

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vent

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over

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ND

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ew Y

ork

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CRO

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an R

esou

rces

U

ND

P, N

ew Y

ork

Mic

hael

EM

ER

Y

Chi

ef, R

ecru

itm

ent,

Offic

e of

Hum

an R

esou

rces

2008 H

um

anit

aria

n C

oordin

ato

rs P

ool M

appin

g E

xer

cise

P

age 9

2 o

f 124

AAGG

EENN

CCYY

// PPOO

SSTT

NNAA

MMEE

TTII TT

LLEE

UN

DP, N

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ork

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eva

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ff D

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opm

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taff

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eva

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gram

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2008 H

um

anit

aria

n C

oordin

ato

rs P

ool M

appin

g E

xer

cise

P

age 9

3 o

f 124

AAGG

EENN

CCYY

// PPOO

SSTT

NNAA

MMEE

TTII TT

LLEE

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ars O

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2008 H

um

anit

aria

n C

oordin

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rs P

ool M

appin

g E

xer

cise

P

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4 o

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SSTT

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um

anit

aria

n C

oordin

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rs P

ool M

appin

g E

xer

cise

P

age 9

5 o

f 124

AAGG

EENN

CCYY

// PPOO

SSTT

NNAA

MMEE

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XX BB

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OODD

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TTrr aaii nnii nngg && CCaappaaccii ttyy BBuuii llddii nngg

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ee

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aann

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RRoosstt ee

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aannddii dd

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Selection & Assessment

HHCC

DDeessii gg

nnaatt iioonn bb

yy EE

mmeerr gg

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aanneell


AANNNNEEXX CC:: PPRROOFFIILLEE FFOORR HHUUMMAANNIITTAARRIIAANN CCOOOORRDDIINNAATTOORRSS Endorsed by 65

th IASC Working Group Meeting in July 2006:

Education:

• Advanced University Degree preferably in: o Political or social science; o International studies; o Public administration; o Economics; o Law; o Technical area (e.g. engineering, earth sciences, etc.) or other relevant field; or o the equivalent combination of education and experience in a related area.

Work Experience: • Minimum of Fifteen (15) years of cumulative and progressively responsible professional

experience, including coordination and management experience in: o humanitarian affairs; o emergency preparedness; o crisis/emergency relief management; o recovery and development; o humanitarian advocacy; and/or o humanitarian policy or other related area.

• Work experience should also include at least 5 years of experience at the international level. • Experience in complex emergencies and/or natural disasters, including humanitarian emergency

efforts at the field level, is essential.

Additional Skills:

• Representational and negotiation skills developed through proven representational experience in advocacy campaigns and international fora.

• Experience in dealing with the media. • Knowledge of the United Nations, or other multilateral system, and of the humanitarian aid

community. • Experience in leading inter-agency consultations and coordination.

Competencies:

Professionalism:

• Authoritative knowledge and wide exposure to the full range of humanitarian and emergency relief assistance and related human rights issues, as well as recovery and development issues;

• Ability to advise senior management and other senior officials on approaches and techniques to address highly complex/sensitive issues;

• Experience in the humanitarian field with demonstrated capacity for intellectual leadership; • Conceptual and strategic analytical capacity and ability to thoroughly analyze and evaluate critical

matters pertaining to a broad spectrum of humanitarian and emergency relief issues/problems; • Demonstrated original and creative thinking, independent judgment and discretion in advising on

and handling major policy, project and other issues/problems; • Strong negotiating skills and ability to influence others to reach agreement on difficult issues; • Ability to work under extreme pressure, on occasion in a highly stressful environment (e.g. civil

strife, natural disasters and human misery); • Excellent knowledge of institutional mandates of UN and non-UN humanitarian actors, policies

and guidelines related to humanitarian affairs and seasoned knowledge of the institutions of the UN system;

• Commitment to Continuous Learning; and • Willingness to keep abreast of new developments in the field.


Communications

• Excellent communication (spoken and written) skills, including the ability to present and defend difficult positions to senior officials.

Planning and Organizing

• Ability to effectively develop unit work program, direct others in the execution of the total program and ensure timely delivery of results.

• Technology Awareness - Fully proficient computer skills and use of relevant software and other applications, e.g. word processing, spreadsheets, internal databases, Internet, etc.

Teamwork

• Excellent interpersonal skills, including ability to operate effectively across organizational boundaries;

• Ability to establish and maintain effective partnerships, including with non-UN partners, and working relations in a multi-cultural, multi-ethnic environment with sensitivity and respect for diversity.

Languages

• Fluency in oral and written English or French is essential; • Knowledge of a second official UN language an advantage and sometimes a requirement.

(specific languages may be required depending on the country of assignment).


AANNNNEEXX DD:: BBIIBBLLIIOOGGRRAAPPHHYY –– RREESSOOUURRCCEE DDOOCCUUMMEENNTTSS

United Nations Documents Administrative Committee on Coordination (1994) Statement on the Role and Functioning of the Resident Coordinator System

http://www.undp.org.cu/crmi/files/docs/undp_bcpr_rescoord.pdf Administrative Committee on Coordination (1999) Administrative Management of the Resident Coordinator System - Guidelines for the Resident Coordinator System (Consultative Committee on Programme and Operational Questions (CCPOQ)) http://www.undg.org/archive_docs/920-ACC_Guidelines_on_the_Functioning_of_the_RC_System_-_ACC_Guidelines_on_the_Fun.pdf L.M. Gomez (1993) Letter to all UNDP Resident Representatives: Cooperation Between UNDP and the United Nations Department of Humanitarian Affairs (UNDP/ADM/93/57). High Commissioner Sadruddin Aga Khan to P. Hoffman, Administrator, UNDP, cable, 21 May 1971, 1/6/5 IND, F/HCR 11.1 http://www.unhcr.org/publ/PUBL/3ebf9bab0.pdf Joint Inspection Unit (2008) Draft: Special Representatives of the Secretary-General and Resident Coordinators: A Benchmarking Framework for Coherence Within the United Nations System (UN Doc JIU/REP/2008/XX).

J.G. Speth, Administrator, UNDP & S. Vieria de Mello, Under-Secretary-General for Humanitarian Affairs and Emergency Relief Coordinator (1999) Letter to Resident Coordinators (26 March 1999). Senior Management Network http://www.unssc.org/web/programmes/ML/smn_intro.asp United Nations (2005) Humanitarian Response Review (Commissioned by the UN Emergency Relief Coordinator and Under-Secretary-General for Humanitarian Affairs) http://www.reliefweb.int/library/documents/2005/ocha-gen-02sep.pdf UN General Assembly (1971) GA Resolution 2816 (XXVI). UN General Assembly (1977) GA Resolution 32/197. UN General Assembly (1979) GA Resolution 34/213. UN General Assembly (1981) GA Resolution 36/225. UN General Assembly (1987) GA Resolution 42/196. UN General Assembly (1989) GA Resolution 44/211. UN General Assembly (1989) GA Resolution 44/236, incl. Annexed the International Framework of Action for the International Decade for Natural Disaster Reduction.

UN General Assembly (1990) GA Resolution 45/100. UN General Assembly (1991) GA Resolution 46/182: Strengthening of the Coordination of Humanitarian Emergency Assistance of the United Nations (UN Document A/RES/46/182).


UN General Assembly (1992) GA Resolution 47/199: Triennial Policy Review of Operational Activities for Development of the United Nations System (UN Document A/RES/47/199). UNHCR (2001) The State of the Worlds Refugees 2000 – 50 Years of Humanitarian Action http://www.reliefweb.int/library/documents/prelims.pdf UNHCR (2000) The Kosovo Refugee Crisis - An Independent Evaluation of UNHCR’s Emergency Preparedness and Response (Evaluation and Policy Analysis Unit) EPAU/2000/001 http://www.reliefweb.int/rw/rwb.nsf/AllDocsByUNID/f95e329234f1e04d85256881007c4eb0 UN Joint Inspection Unit (2005) Some Measures to Improve Overall Performance of the United Nations System at the Country Level, Part II, JIU/REP/2005/2 (Part II). UN News Centre (2002) New UN Humanitarian Coordinator in Iraq Appointed (Press Release) http://www.un.org/apps/news/story.asp?NewsID=3820&Cr=iraq&Cr1=oil UNOCHA (2002) IDP Response Matrix - Methodology, Data, Analysis and Issues for Consideration - Preliminary Report (IDP Unit, UNOCHA) http://www.reliefweb.int/idp/docs/references/IDPMatrixPrelOct03.pdf United Nations Security Council (1992) Resolution 746 (1992) Somalia (UN Doc S/RES/746) http://www.unhcr.org/refworld/publisher,UNSC,,SOM,3b00f16a40,0.html UN Secretary-General (1991) Report of the Secretary-General Pursuant to Security Council Resolution 721(1991) (UN Doc. S/23280). http://www.un.org/Depts/dpa/repertoire/89-92/89-92_c.pdf United Nations System Staff College, United Nations System Competency Map http://www.unssc.org/web/programmes/ML/smn/S WFP (1999) Annual Report of the Executive Director: 1998 (Appendix 1) Issues arising from the implementation of the United Nations Secretary-General’s Reform Programme (Agenda Item 3) http://www.wfp.org/eb/docs/1999/wfp000023~2.pdf WFP (2000) WFP Emergency Report (Report No. 17 of 2000) http://iys.cidi.org/humanitarian//wfp/00a/0018.html

IASC Principals Minutes & Supporting Papers IASC (1992) Summary Record and Action Points incl. intro HCs (IASC Principals 3rd Session October 1992). IASC (1993) Summary Record and Action Points incl. HCs (IASC Principals 4th Session February 1993). IASC (1994) Summary Record and Action Points (IASC Principals 8th Session June 1994). IASC (1994) Draft Improved Field Level Coordination of Humanitarian Assistance: Providing Adequate Support to Emergency Units incl. HC Options (IASC Principals 8th Session June 1994). IASC (1994) Strengthening Field Coordination of Humanitarian Assistance in Complex Emergencies (IASC Principals 9th Session September 1994). IASC (1994) Summary Record and Action Points (IASC Principals 10th Session December 1994).


IASC (1994) Creating a Roster of Potential Humanitarian Coordinators (IASC Principals 10th Session December 1994). IASC (1994) Terms of Reference for the Humanitarian Coordinators (IASC Principals 10th Session December 1994). IASC (1997) Summary Record and Action Points (IASC Principals 17th Session March 1997). IASC (1997) The ECOSOC Review of the Capacity of the UN System in Humanitarian Assistance (IASC Principals 17th Session March 1997). IASC (1999) Recommendations of the HC Retreat (IASC Principals 22nd Session December 1999). IASC (2000) Summary Record and Action Points (IASC Principals 23rd Session April 2000). IASC (2000) Draft Supplementary Guidance to Humanitarian/Resident Coordinators on their Responsibilities in Relation to IDPs (IASC Principals 23rd Session April 2000). IASC (2005) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 33rd Session December 2005) PR/0512/1221. IASC (2005) ICVA - The Humanitarian Coordinator System: Issues for Discussion (IASC Principals 33rd Session December 2005). IASC (2005) Strengthening the Humanitarian Coordination System (IASC Principals 33rd Session December 2005). IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination (IASC Principals 34th Session April 2006) PR/0604/1588/7. IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? (IASC Principals 34th Session April 2006) PR/0604/1955/0. IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 35th Session December 2006) PR/0612/1949/7. IASC (2006) Strengthening the Humanitarian Coordination System: Achievements and Next Steps (IASC Principals 35th Session December 2006) PR/0612/1931/7. IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordination System (IASC Principals 36th Session April 2007) PR/0704/2240/7. IASC (2007) Summary Report of Humanitarian Reform Implementation, including a Progress Update on Global Clusters and Field Implementation – incl. Strengthening Leadership: Humanitarian Coordinator Action Plan (IASC Principals 36th Session April 2007) PR/0604/2158/7. IASC Working Group Minutes & Supporting Papers IASC (1992) Summary Record and Action Points incl. IASC focus (IASC – Working Group 1st Meeting). IASC (1993) DHA and Coordination of Humanitarian Assistance incl. intro HCs (IASC – Working Group 5th Meeting).


IASC (1994) Summary Record and Action Points incl. intro HCs (IASC – Working Group 8th Meeting). IASC (1994) Draft Improved Field Level Coordination of Humanitarian Assistance: Providing Adequate Support to Emergency Units incl. HC Options (IASC – Working Group 9th Meeting). IASC (1994) Summary Record and Action Points incl. HCs & Field Coordination (IASC – Working Group 11th Meeting). IASC (1994) Draft : Strengthening Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies (IASC – Working Group 11th Meeting). IASC (1994) Summary Record and Action Points incl. HCs & Field Coordination (IASC – Working Group 13th Meeting). IASC (1994) Draft : Strengthening Field Coordination of Humanitarian Assistance in the Initial Response Phase of New Complex Emergencies (IASC – Working Group 13th Meeting). IASC (1994) Summary Record and Action Points incl. HCs & Field Coordination (IASC – Working Group 14th Meeting). IASC (1994) Strengthening Field Coordination of Humanitarian Assistance in Complex Emergencies (IASC – Working Group 14th Meeting). IASC (1994) Summary Record and Action Points incl. HC Pool (IASC – Working Group 15th Meeting). IASC (1994) Draft TOR of the Humanitarian Coordinator, Profile & HC Roster (IASC – Working Group 15th Meeting). IASC (1994) Summary Record and Action Points incl. HC Pool (IASC – Working Group 16th Meeting). IASC (1994) Creating a Roster of Potential Humanitarian Coordinators (IASC – Working Group 16th Meeting). IASC (1994) Suggested Profile of Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1994) TOR of the Humanitarian Coordinator (IASC – Working Group 16th Meeting). IASC (1994) Information Note on Field Guidelines for Situation Reports from the Coordinator (IASC – Working Group 16th Meeting). IASC (1996) The Involvement of the United Nations System in Providing and Coordinating Humanitarian Assistance- IASC Response (IASC – Working Group 21st Meeting). IASC (1996) Summary Record and Action Points (IASC – Working Group 23rd Meeting). IASC (1996) Humanitarian Coordination (Interim Report) (IASC – Working Group 23rd Meeting). IASC (1996) Summary Record and Action Points (IASC – Working Group 24th Meeting). IASC (1996) Humanitarian Coordination (Interim Report) (IASC – Working Group 24th Meeting). IASC (1997) Summary Record and Action Points (IASC – Working Group 25th Meeting).


IASC (1997) Great Lakes Region - Information Note on Arrangements for the Coordination of Humanitarian Assistance (IASC – Working Group 25th Meeting). IASC (1997) Follow-up to ECOSOC Resolution 1995/56 - Internally Displaced Persons (IASC - February 1997 ad hoc Working Group Meeting). IASC (1997) Summary Record incl. Humanitarian Coordinators Pool (IASC - February 1997 ad hoc Working Group Meeting). IASC (1997) Summary Record and Action Points (IASC – Working Group 26th Meeting). IASC (1997) Summary Record and Action Points incl. ECHA, Corrdination & JIU Report (IASC – Working Group 28th Meeting). IASC (1997) IASC Recommendations on Coordination (IASC – Working Group 28th Meeting) 1997/iasc-wg/XXVIII/2. IASC (1997) Internally Displaced Persons (IASC – Working Group 28th Meeting)1997/iasc-wg/XXVIII/3.3. IASC (1999) Summary Record and Action Points incl. IASC – HC Links (IASC – Working Group 39th Meeting). IASC (2000) Summary Record and Action Points incl. HC Retreat & RC Selection (IASC – Working Group 40th Meeting). IASC (2000) Final Report of the UNOCHA Management Retreat for Humanitarian/Resident Coordinators (IASC – Working Group 40th Meeting). IASC (2000) IASC Policy on Protection of Internally Displaced Persons Executive Summary (IASC – Working Group 40th Meeting). IASC (2000) IASC Policy on Protection of Internally Displaced Persons - Operational Guidance to Resident/Humanitarian Coordinators (IASC – Working Group 40th Meeting). IASC (2000) The Competency-Based Assessment for the Selection of Resident Coordinators (RCs) Strengths, Weakensses and Options for Improvement (IASC – Working Group 40th Meeting). IASC (2001) Summary Record and Action Points incl. HC Retreat (IASC – Working Group 44th Meeting). IASC (2001) Management Retreat for Humanitarian/Resident Coordinators - Report (IASC – Working Group 44th Meeting). IASC (2001) Summary Record and Action Points incl. HC TORs (IASC – Working Group 47th Meeting). IASC (2001) Background Note for Terms of Reference of the Humanitarian Coordinators (IASC – Working Group 47th Meeting). IASC (2002) Summary Record and Action Points incl. HC TORs (IASC – Working Group 49th Meeting). IASC (2002) Terms of Reference (ToR) of Humanitarian Coordinator: Issue Paper on Revision of ToR (IASC – Working Group 49th Meeting).


IASC (2002) Summary Record and Action Points incl. HC TORs (IASC – Working Group 50th Meeting). IASC (2002) Revision of the Terms of Reference of Humanitarian Coordinator: Summary Record of the Preliminary Meetings of the Inter-Agency Group Overseeing the Revision of the Terms of Reference for the Humanitarian Coordinator (IASC – Working Group 50th Meeting). IASC (2002) Summary Record and Action Points incl. HC TORs - UNDG RC Issues Group Comments on the draft HC TOR (dated Nov 13, 2002) (IASC – Working Group 51st Meeting) AF/JP 11/13/2002. IASC (2002) Revised Terms of Reference for the Humanitarian Coordinator (IASC – Working Group 51st Meeting). IASC (2002) Summary Record and Action Points incl. HC & Humanitarian Financing (IASC – Working Group 52nd Meeting). IASC (2003) Summary Record and Action Points incl. RC HC Split (IASC – Working Group 54th Meeting). IASC (2004) Summary Record and Action Points incl. HC Accountability (IASC – Working Group 55th Meeting). IASC (2004) Summary Record and Action Points incl. HCs, TORs & IDPs (IASC – Working Group 56th Meeting). IASC (2004) Follow-up to the IASC External Review: Draft IASC Implementation Plan incl. HC recommendations (IASC – Working Group 56th Meeting). IASC (2004) IDPs: Discussion on UNHCR’s Proposed Conclusions concerning the Role of Humanitarian Coordinators, with focus on Internally Displaced Persons (IASC – Working Group 56th Meeting). IASC (2004) Summary Record and Action Points incl. HCs (IASC – Working Group 57th Meeting). IASC (2004) Summary Record and Action Points incl. Integrated Missions (IASC – Working Group 58th Meeting). IASC (2004) Discussion on Integrated Missions: NGO Discussion Paper (IASC – Working Group 58th Meeting). IASC (2004) Internally Displaced Persons: Implementing the Collaborative Response to Situations of Internal Displacement (IASC – Working Group 58th Meeting).

IASC (2005) Integrated Missions Study (IASC – Working Group 60th Meeting). IASC (2005) Summary Record and Action Points incl. Non-UN as HCs (IASC – Working Group 61st Meeting). IASC (2005) OCHA - Strengthening the Humanitarian Coordinator (HC) System: Strengthening of the RC/HC System-Background Note (IASC – Working Group 62nd Meeting).

IASC (2005) ICVA - The Humanitarian Coordinator System: Issues for Discussion (IASC – Working Group 62nd Meeting).


IASC (2005) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 63rd Meeting). IASC (2005) A Strategy and Plan of Action for Strengthening the Humanitarian Coordination System: A Proposal to the IASC (IASC – Working Group 63rd Meeting). IASC (2006) Final Summary Record and Action Points incl. Strengthening the Humanitarian Coordinator System (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1312/7. IASC (2006) Strengthening the Humanitarian Coordinator System - Draft Procedures for the Humanitarian Coordinators’ Pool (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1277/3. IASC (2006) Strengthening the Humanitarian Coordinator System - What is our goal and how do we get there Draft Outline for the Long-term Strategy (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1278/3. IASC (2006) Strengthening the Humanitarian Coordinator System - Establishing a Pool of Humanitarian Coordinators (IASC - February 2006 ad hoc Working Group Meeting) WO/0602/1279/3. IASC (2006) Final Summary Record and Revised Action Points (IASC – Working Group 64th Meeting) WO/0603/1546/7. IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 64th Meeting) WO/0603/1558/5. IASC (2006) Strengthening the Humanitarian Coordination System: What is our goal and how do we get there? - Draft Action Plan (IASC – Working Group 64th Meeting) WO/0603/1405/7. IASC (2006) Annex 1 to Draft Action Plan: Special Task Force on RC/HC Assessment, Selection, Support and Training Recommendations for consideration by the UNDG Executive Committee (IASC – Working Group 64th Meeting) WO/0603/1405/7. IASC (2006) Annex 2 to Draft Action Plan: Procedures for the Humanitarian Coordinators’ Pool (IASC – Working Group 64th Meeting) WO/0603/1404/7. IASC (2006) Final Summary Record and Revised Action Points/Conclusions incl. Humanitarian Reform: Strengthening Humanitarian Coordination System (IASC – Working Group 65th Meeting) WO/0607/1705/7. IASC (2006) Revised Action Points incl. Strengthening the Humanitarian Coordinator’s System (IASC – Working Group 65th Meeting) WO/0603/1558/5. IASC (2006) Strengthening the Humanitarian Coordinator’s System - HC Training and the HC Profile (IASC – Working Group 65th Meeting) WO/0607//7. IASC (2006) Summary Record, Revised Action Points and Conclusions incl. Strengthening the Humanitarian Coordinator System (IASC – Working Group 66th Meeting) WO/0611/1941/7. IASC (2006) Strengthening the Humanitarian Coordinator System - Circumstances leading to the Separation of the RC and HC Functions and the Role of Deputy Humanitarian Coordinator (IASC – Working Group 66th Meeting) WO/0611/1947/7.


IASC (2007) Update on the Cluster Approach and Other Humanitarian Reform Developments - Humanitarian Coordinators Strengthening (IASC – Working Group 67th Meeting) WO/0703/2056/7. IASC (2007) Strengthening the Humanitarian Coordination System – Progress on the Action Plan (IASC – Working Group 68th Meeting) WO/0706/2257/7. IASC (2007) IASC - “Inspired” Coordination Mechanisms in the Field (IASC – September 2007 Working Group Retreat) WO/0709/2358/7. IASC (2007) Final Summary Record and Revised Action Points/Conclusions incl. HC Training (IASC – Working Group 69th Meeting) WO/0711/2519/7. IASC (2007) Strengthening the Humanitarian Coordination System - Reportback (IASC – Working Group 69th Meeting). IASC (2008) Strengthening the Humanitarian Coordination System – Progress on the Action Plan (IASC – Working Group 70th Meeting) WO/0803/2606/7. Others Active Learning Network for Accountability and Performance in Humanitarian Action www.alnap.org American Council for Voluntary International Action www.interaction.org M. J. Anstee, "The Experience in Angola, February 1992-June 1993" in J. Whitman & D. Pocock (1996) After Rwanda: The Coordination of United Nations Humanitarian Assistance. P.R. Bernthal and R.S. Wellins (2005) UK Global Comparisons Leadership Forecast 2005-2006: Best Practices for tomorrow's global leaders (Survey Report. London: Chartered Institute of Personnel and Development) http://www.cipd.co.uk/subjects/maneco/leadership/_UKglblcmprldrshp.htm Chartered Institute of Personnel and Development (2006) Reflections on Talent Management http://www.cipd.co.uk/subjects/recruitmen/general/_rfltlntmgt.htm Chartered Institute of Personnel and Development (2006) Talent Management, Understanding the Dimensions http://www.cipd.co.uk/NR/rdonlyres/6101AA06-F0C7-4073-98DA-758E91C718FC/0/3832Talentmanagement.pdf S. A. Cunliffe and M. Pugh (1996) The UNHCR as Lead Agency in the Former Yugoslavia (The Journal of Humanitarian Assistance) http://www.jha.ac/articles/a008.htm . F.M. Deng and R. Cohen (eds) (1998) Forsaken People: Case Studies on the Internally Displaced. http://books.google.com.au/books?id=NUJfmOZQipkC&dq=Forsaken+People:+Case+Studies+on+the+Internally+Displaced.&pg=PP1&ots=BKPIPqZ7Ll&source=bn&sig=iASI3Efsdf8YIFvLPCHrJuXd8sg&hl=en&sa=X&oi=book_result&resnum=5&ct=result#PPR11,M1 A. Donini et al (1996) Afghanistan Report - Coordination in a Fragmented State (Lessons Learned Report Prepared for the United Nations Department of Humanitarian Affairs) http://www.reliefweb.int/ocha_ol/programs/unocha/afgrpt/afghan.html


A. Donini (1998) The Policies of Mercy - UN Coordination in Afghanistan, Mozambique and Rwanda. Occasional paper no. 22 (The Thomas J. Watson Institute for International Studies) http://www.watsoninstitute.org/pub/OP22.pdf . Emergency Capacity Building Project www.ecbproject.org Emergency Capacity Building Project - Staff Capacity Initiative (2006) Humanitarian Competencies Study. http://www.reliefweb.int/rw/lib.nsf/db900sid/AMMF-6TVHNZ/$file/ECB-Apr2006.pdf?openelement Emergency Capacity Building Project - Staff Capacity Initiative (2006) Review of Current Practice in Developing and Maintaining Staff Capacity in IWG Member Agencies. http://reliefweb.int/rw/lib.nsf/db900sid/AMMF-6TVHFX/$file/ECB-Feb2006.pdf?openelement Emergencies Personnel Network http://www.epn.peopleinaid.org/ S. Haw, Operations Director, Medair (2003) Staff Mobilisation in Emergencies Past and Present (Report of the Fifth Emergency Personnel Seminar (EPN 5), Evian, France) http://www.epn.peopleinaid.org/files/epn5/staff-mobilisation.aspx Government of South Australia (2008) Recruitment – Good Practice Guide http://intra.sa.gov.au/Policies/cpe/docs/Government/Recruitment_good_practice_Guide.pdf W. Hirsh (2000) Succession Planning Demystified (Brighton: Institute for Employment Studies. Succession Planning, CIPD factsheet) http://www.cipd.co.uk/subjects/hrpract/general/successplan.htm?IsSrchRes=1 Interagency Working Group (2004) Report on Emergency Capacity - Analysis for the Interagency Working Group on Emergency Capacity. http://www.ecbproject.org/publications/ECB/Emergency%20Capacity%20Report%20ver.%20July%2014-Final.pdf S.M. Khan and M. Robertson (2000) The Shallow Graves of Rwanda http://books.google.com.au/books?id=nPoSnlk_Sk8C&dq=The+Shallow+Graves+of+Rwanda.&pg=PP1&ots=Ts9bD5kvMh&source=bn&sig=FWoh47Ps6-JwKZ-bhRJxqtIq6ec&hl=en&sa=X&oi=book_result&resnum=4&ct=result#PPP14,M1 S. Lautze, et al (1998) Strategic Humanitarian Coordination in the Great Lakes Region 1996-1997 - An Independent Study for the Inter-Agency Standing Committee http://www.reliefweb.int/ocha_ol/pub/greatlak/intro.html Learning for International Non-Governmental Organizations http://ngolearning.org/default.aspx D. Loquercio et al (2006) Understanding and Addressing Staff Turnover in Humanitarian Agencies (Humanitarian Practice Network, Humanitarian Policy Group, Overseas Development Institute) http://www.ecbproject.org/publications/ECB1/Understanding%20and%20Addresing%20Staff%20Turnover.pdf R. McNair (1994) Room for Improvement (Relief and Rehabilitation Network Paper 10, Overseas Development Institute) http://74.125.39.104/search?q=cache:5R5foAmtMOMJ:www.sheltercentre.org/shelterlibrary/items/pdf/RoomForImprovement_TheManagementandSupportOfRelief.pdf+Relief+and+Rehabilitation+Network+Paper+10&hl=en&ct=clnk&cd=2&gl=au


People In Aid (2003) Code of Good Practice in the Management and Support of Aid Personnel. http://www.peopleinaid.org/code/ L. Minear, et al (1992) United Nations Coordination of the International Humanitarian Response to the Gulf Crisis, 1990-1992: Occasional Paper Number 13 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op13.html People In Aid (2007) Behaviours Which Lead to Effective Performance in Humanitarian Response - A Review of the Use and Effectiveness of Competency Frameworks within the Humanitarian Sector http://www.reliefweb.int/rw/lib.nsf/db900sid/ASAZ-7GTGQB/$file/pia_Jun2007.pdf?openelement People In Aid (2007) Information Note Succession Planning http://www.peopleinaid.org/pool/files/publications/succession-planning--inotes.pdf A. Richardson (2000) New Issues in Refugee Research - Negotiating Humanitarian Access in Angola: 1990 – 2000 (Working Paper No. 18) http://www.jha.ac/articles/u018.htm F. Richardson (2005) How Can International Non-Governmental Organisations’ Resourcing and Reward Models Support Wider Humanitarian Impact? (Unpublished Report, Oxfam GB) R. Righter (1995) Utopia Lost: The United Nations and World Order. C. Scott (1995) Humanitarian Action and Security In Liberia 1989–1994: Occasional Paper 40 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op20.pdf M. Somers (2000) Dynamics of Coordination,, Occasional Paper 40 (The Thomas J. Watson Institute for International Studies) http://hwproject.tufts.edu/publications/electronic/e_op40.pdf SPHERE Project Humanitarian Charter & Minimum Standards in Disaster Response www.sphereproject.org K. Van Brabant (1999) Opening the Black Box - An Outline of a Framework to Understand, Promote and Evaluate Humanitarian Coordination (Humanitarian Policy Group, Overseas Development Institute) http://ocha-gwapps1.unog.ch/rw/lib.nsf/db900sid/LGEL-5DDGWS/$file/odi-hum-jun99.pdf?openelement

J. Whitman & D. Pocock (1996) After Rwanda: The Coordination of United Nations Humanitarian Assistance. World Vision Humanitarian Competencies Project http://www.humanitarianstandards.org/

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AANNNNEEXX FF:: CCUURRRREENNTT RREESSIIDDEENNTT CCOOOORRDDIINNAATTOORR SSEELLEECCTTIIOONN PPRROOCCEEDDUURREE

IAAP proposes at least 3 candidates

UNDG Chair submits all candidates,

recommends one

Secretary-General endorses candidate

Government agrees to candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

SSEECCRREETTAARRYY--GGEENNEERRAALL AAPPPPOOIINNTTSS RRCC


AANNNNEEXX GG:: CCUURRRREENNTT HHCC DDEESSIIGGNNAATTIIOONN PPRROOCCEEDDUURREE

ERC proposes one candidate

IASC members endorse candidate

EERRCC DDEESSIIGGNNAATTEESS HHCC


AANNNNEEXX HH:: CCUURRRREENNTT RRCC//HHCC SSEELLEECCTTIIOONN PPRROOCCEEDDUURREE

IAAP proposes at least 3 candidates

UNDG Chair submits all candidates,

recommends one

Secretary-General endorses candidate

Government agrees to candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IAAP Member submits

candidate

IASC members endorse

EERRCC DDEESSIIGGNNAATTEESS HHCC

SSEECCRREETTAARRYY--GGEENNEERRAALL AAPPPPOOIINNTTSS RRCC

EERRCC PPRROOPPOOSSEESS AASS HHCC


AANNNNEEXX II:: HHUUMMAANNIITTAARRIIAANN CCOOOORRDDIINNAATTOORRSS IINN TTHHEE FFIIEELLDD and other Humanitarian Coordination Arrangements

Country/Region Name/Title/Address Title

1 Afghanistan Mr. Bo Asplund * DSRSG/RC/HC

2 Burundi Mr. Youssef Mahmoud ERSG/RC/HC

3 Central African Republic Mr. Mai Moussa Abari RC/HC a.i.

4 Chad Mr. Kingsley Amaning RC/HC

5 Colombia Mr. Bruno Moro RC/HC

6 Cote d’Ivoire Mr. Georg Charpentier DSRSG/RC/HC

7 DRC Mr. Ross Mountain DSRSG/RC/HC

8 Eritrea Mr. Dirk Jena RC/HC a.i.

9 Ethiopia Mr. Fidele Sarassoro RC/HC

10 Georgia Mr. Robert Watkins * RC/HC

11 Guinea Ms. Mbaranga Gasarabwe RC/HC

12 Haiti Mr. Joel Boutroue DSRSG/RC/HC

13 Indonesia Mr. El-Mostafa Benlamlih RC/HC

14 Iraq Mr. David Shearer * DSRSG/RC/HC

15 Kenya Mr. Aeneas Chuma RC/HC

16 Liberia Mr. Jordan Ryan DSRSG/RC/HC

17 Myanmar Mr. Daniel Baker HC

18 Nepal Mr. Robert Piper RC/HC

19 Niger Mrs. Khardiata Lô Ndiaye RC/HC

20 occupied Palestinian territory

Mr. Maxwell Gaylard Deputy Special Coordinator/RC/HC

21 Somalia Mr. Mark Bowden * RC/HC

22 Sri Lanka Mr. Neil Buhne RC/HC

23 Sudan Ms. Ameerah Haq DSRSG/RC/HC

24 Timor-Leste Mr. Finn Reske-Nielsen DSRSG/RC/HC

25 Uganda Mr. Theophane Nikyema RC/HC

26 Zimbabwe Mr. Agostinho Zacarias RC/HC

Deputy Humanitarian Coordinators

Country/Region Name/Title/Address Title

Southern Sudan Mr. David Gressly (Ms. Lisa Grande arrival in country tbc)

Deputy Humanitarian Coordinator

Northern Sudan Mr. Toby Lanzer * Deputy Humanitarian Coordinator

Eastern Chad Ms. Fatma Diouf Samoura Deputy Humanitarian Coordinator

* HC Pool Phase I members

As of 25 August 2008


AANNNNEEXX JJ:: IIAASSCC CCOOMMPPAARREEDD TTOO UUNNDDGG MMEEMMBBEERRSSHHIIPP

Agency

IASC Members &

Standing Invitees (SI)

UNDG Members, Executive

Committee Members (EC) &

Observers (O)

DESA � ECA � ECE � ECLAC � ESCAP � ESCWA � FAO � � IFAD � ILO � ITU � IOM �(SI) OCHA � �(O) OHCHR �(SI) � OHRLLS � UNAIDS � UNCTAD � UNDP � �(EC) UNDPI � UNEP � UNESCO � UNFIP �(O) UNFPA � �(EC) UN Habitat � � UNHCR � � UNICEF � �(EC) UNIDO � UNIFEM � UNODC � UNOPS � UNWTO � WFP � �(EC) WHO � � WMO � Director, Office of the Deputy Secretary General

�(O)

RSG on Human Rights of IDPs �(SI) Spokesman of the Secretary-General �(O) SRSG for Children in Armed Conflict

�

ICRC �(SI) ICVA �(SI) IFRC �(SI) InterAction �(SI) SCHR �(SI) World Bank �(SI) �(O)