Fit for the Future - Strengthening the Leadership Pillar of Humanitarian Reform

7/29/2019 Fit for the Future - Strengthening the Leadership Pillar of Humanitarian Reform

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A chance to influencethe humanitarian system

Fit or the uture?Strengthening the leadershippillar o humanitarian re orm


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This study was commissioned by the NGOs andHumanitarian Re orm Project, and conducted andauthored by Andy Featherstone.

The Project started in September 2008 with the aim o increasing the e ective engagement o international,national, and local NGOs in humanitarian re orm(clusters, humanitarian nancing, and HumanitarianCoordinator strengthening).

For more in ormation please visitwww.ngosandhumanitarianre orm.org


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Fit or the uture? Strengthening the leadership pillar of humanitarian reform

1

ContentsAcronyms 2

Executive summary and recommendations 3

1. Introduction 5

1.1 Background to the research 5

1.2 Methodology and research themes 5

1.3 Introduction: Humanitarian leadership practice, progress, and pit alls 6

2. Get the right ones in: The recruitment and deployment o humanitarian leaders 6

2.1 The need to place a high value on recruitment and selection: The HC pool in theory 7

2.2 Not just the right skills, but at the right time: The HC pool in practice 8

2.3 Beyond the HC pool: In uencing the appointment o RC/HCs 9

2.4 The importance o an enabling environment 10

3. Not them but us: The need to strengthen humanitarian partnership 10

3.1 A vision o the uture: HCT as strategic humanitarian leadership team 11

3.2 The importance o agency commitment to participation in leadership orums. 12

3.3 Stretching the traditional boundaries o HCT membership 13

4. Trouble at the top: The need to strengthen management and support 13

4.1 Making sense o HC management 13

4.2 The need or consistent and predictable support rom OCHA 14

4.3 Strength in numbers: The Deputy HC 15

5. Identi ying missing links in the humanitarian accountability chain 15

5.1 System-wide accountability 16

5.2 Accountability to crisis-a ected communities 16

6. Humanitarian principles and pragmatism in a complex world 17

6.1 Its not all about the hat 17

6.2 Collective commitment or coexistence? 18

7. Conclusion: Towards a shared responsibility or 21st century humanitarian leadership 19 7.1 Recommendations. 20

Annexes

Annex 1: Bibliography 21

Annex 2: List o participants 24

Annex 3: Terms o re erence 25

Annex 4: Online survey analysis 28

Annex 5: Interview guidance matrix 31


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AcronymsALNAP Active Learning Network on Accountability and Per ormance in Humanitarian Action

CAR Central A rican Republic

CERF Central Emergency Response Fund

CHAP Common Humanitarian Action Plan

DFID Department or International Development

DOCO Development Operations Coordination Ofce

DRC Democratic Republic o the Congo

ERC Emergency Relie Coordinator

FMR Forced Migration Review

DRLA Disaster Resilience Leadership Academy (at Tulane University)

DSRSG Deputy Special Representative to the Secretary-General

GHP Global Humanitarian Plat orm

HAP Humanitarian Accountability Partnership

HC Humanitarian Coordinator

HCAP Humanitarian Coordinator Assessment Panel

HC/RC Humanitarian Coordinator/Resident Coordinator (double-hatted role)

HCT Humanitarian Country Team

HFP Humanitarian Futures Project

IAAP Inter-Agency Assessment Panel

IASC Inter-Agency Standing Committee

ICVA International Council o Voluntary Agencies

NGO Non-Governmental Organisation

NHRP NGOs and Humanitarian Re orm Project

OCHA Ofce or Coordination o Humanitarian A airs

ODI Overseas Development Institute

OECD Organisation or Economic Cooperation and DevelopmentPoP Principles o Partnership

RC Resident Coordinator

RCAC Resident Coordinator Assessment Centre

RDT Regional Directors team

ToR Terms o Re erence

UN United Nations

UNCT United Nations Country Team


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Introduction and methodology When it was rolled out in 2005, the aim o humanitarian re orm was to improve the e ectivenesso humanitarian response by ensuring greaterpredictability and accountability in two ways:through strengthening leadership and co-ordination,and through the creation o a Central EmergencyResponse Fund (CERF). Five years on, the re orms arenow widely regarded as the prevailing humanitarian

response paradigm, and strenuous e orts have beenmade to review the successes and challenges o many o these ways o working. However, the onearea that has bene ted least rom scrutiny is theleadership pillar, widely considered to be the mostcrucial element in making the rest o the componentse ective.

This paper will review the steps taken to strengthenhumanitarian leadership, so that we can documentthe progress and highlight the challenges thatcontinue to hamper e ective humanitarian response.Recommendations will be made about ways tostrengthen leadership so that it is best able to meetthe ambitions o humanitarian re orm.

This research was commissioned by the NGOs andHumanitarian Re orm Project (NHRP). An initialliterature search and review provided a core seto documents that underpinned the research andcontributed to the development o an interviewmatrix to guide the study. A number o themes werethen explored through the use o semi-structuredinterviews with a broad range o stakeholders,including UN agency sta , humanitarian coordinationsta , NGO headquarters sta and eld workers, andacademics in a range o di erent contexts. A eld tripto Ethiopia provided an opportunity to gather real-time input into the research through a series o ocusgroup discussions and bilateral meetings. An onlinesurvey was developed and circulated to participants inthe study, and more broadly through NHRP memberagencies, the results o which contributed to the nalreport.

Key fndings and recommendationsThe need or the Emergency Relie Coordinator(ERC) to prioritise progress against the leadershippillar o humanitarian re orm The research highlighted important steps that havebeen taken to strengthen humanitarian leadership;but it has also revealed that providing consistentlye ective leadership o humanitarian response willrequire change within the UN and across the broaderhumanitarian community. With the arrival o a newEmergency Relie Coordinator (ERC), Valerie Amos,there is the opportunity to set an agenda thatmakes progress in this most important aspect o humanitarian re orm the priority. An evaluation o

the leadership pillar o humanitarian re orm wouldprovide an important oundation to this prioritisation. In light o recent high pro le humanitarian

challenges in Haiti and Pakistan, it is now essentialthat the new ERC, Valerie Amos, commissions anindependent evaluation o the leadership pillar o humanitarian re orm.

Recruitment and deployment o humanitariancoordinators (HCs)

Standby capacity is a prerequisite or rapid response,and the HC pool provides a dedicated system thatis able to screen and select competent individuals.However, the pool is only as good as its members. Soit is essential that humanitarian agencies put orwardtalented individuals and participate ully in selectionand appointment processes. Where some o the pastdecision-making processes have been awed or

ast-tracked in the name o rapid response, it will beimportant or the revised appointment system to be

ully implemented. The ERC has an essential role toplay in supporting and rein orcing this process. NGOs and UN Agencies must support the HC pool

by putting orward high quality humanitarianleaders, and by participating in selection andappointment processes.

The ERC must demonstrate her commitmentto accountable and transparent selection o humanitarian leaders through her commitmentto rein orcing the HC recruitment and selectionprocesses.

HC management and support The complexity o the humanitarian leadershiprole demands that the best possible managementand support is provided to incumbents. While the

oundations or per ormance management are inplace, the reporting line between the post and theERC is unworkable. Solutions need to be ound tomake rigorous per ormance management possible,and e orts to provide support to HCs need to bestrengthened. OCHA plays a crucial part in this; and itsper ormance in providing a consistent level o supportneeds to improve. Where the breadth o the role or thedepth o the crisis requires it, Deputy HCs should bemore widely deployed to support the work o the HC. HC per ormance management and appraisal must

be strengthened. The ERC must establish a systemto provide high quality management support,and the ERC-HC compact must be embedded in acontinuous per ormance management system.

OCHA must ensure that it can provide consistentand predictable support to the HC; and strenuouse orts should be made to establish surgecapacity and standby rosters to support timelydeployment.

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Executive summary and recommendations


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Strengthening humanitarian partnership The nature, requency, and scale o todays crisesdemand that the humanitarian community bemore than the sum o its parts. This requirestalented leadership that values diversity and ostersinclusiveness. I UN agencies and NGOs are to makea commitment to supporting leadership through theHumanitarian Country Team (HCT), then HCs mustengage them as strategic partners, and seek to valuethe diversity that the humanitarian community o ers.

In politicised humanitarian environments where thecommunity can easily become polarised, there is aneven stronger case or ensuring that the HCT hasstrategic reach. HCs have a responsibility to build Humanitarian

Country Teams that meet IASC ambitions orproviding strategic leadership that valuesdiversity and osters inclusiveness.

Donors have an essential role to play in viewingagency commitments to humanitarian leadershipand coordination as an essential part o humanitarian business, and in providing unds tosupport this.

NGOs and UN agencies that commit toparticipating in the HCTs should invest time andhuman resources at a level that is high enough toenable them to operate e ectively.

Developing system-wide accountabilitiesLeadership has its costs in both time and resources,but it is essential that HCT members are willingpartners o the HC. Humanitarian partnership willrequire a ar stronger commitment to workingtogether than currently exists and one that bene ts

rom more harmonised accountabilities. Greatere ort needs to be made to strengthen mutualaccountability within HCTs as a rst step towards

exploring how to bring greater coherence to thecollective accountability o humanitarian partners. The initiative undertaken in South A rica, where theHCT is held accountable by a regional humanitarianleadership team, may make an important contributionto this.

The HC should strengthen partnershipbetween HCT members by ormalising mutualaccountabilities between them through theuse o work plans, and by establishing two-way

eedback loops between members o the HCT andthe HC.

NGOs and UN agencies must prioritise

participation in HCTs. Headquarters shouldensure that HCT responsibilities are included intheir sta s terms o re erence (ToR), and that theyare per ormance-managed against these duties.

The ERC should signi cantly strengthen thee ectiveness o humanitarian response bydeveloping a system o collective accountabilityto ensure greater responsibility across thehumanitarian community or humanitarianresponse.

Accountability to crisis-a ected peopleA ocus purely on strengthening vertical and mutualaccountabilities risks missing the most important link in the accountability chain between those providingaid and those in need o it. It is essential that thecommitments made to crisis-a ected people in theHC ToR and HCT Guidance Note become more thanempty words. There is sufcient good practice inexistence or ways to be ound to ensure that the voiceo project participants can be heard and acted on byhumanitarian leaders.

Given the impact o leadership ailures on thosereceiving assistance, it is essential that HCsand HCTs deliver on their commitments to beaccountable to crisis-a ected people by adoptingappropriate methodologies.

NGOs, many already with considerable experiencein accountability to crisis-a ected populations,should actively support HCT and system-widee orts to improve accountability.

Upholding humanitarian principlesIn some o the most complex humanitarianenvironments where there is the greatesthumanitarian need, the lack o a collectiveunderstanding o and approach to promoting andde ending principles is one o the most signi cantchallenges acing humanitarianism. A humanitarianleader with relevant experience can be a strongadvocate or de ending and upholding humanitarianprinciples. Where politicised environments and aid

coherence agendas do not permit this, a collectivecommitment to transparency will o er the bestpossible chance or constructive coexistence. Strenuous e orts must be made by HCs to broker

the application o humanitarian principles withinthe diverse membership o the humanitariancommunity, and to de end these robustly whenthey are under threat.

Where ractures run deep within the humanitariancommunity, an approach by the HC that seeks toestablish commonalities, de end bottom lines,and promote coexistence through transparentcommunication should be vigorously adopted.


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1. Introduction1.1 Background to the researchWhen it was rolled out in 2005, the aim o humanitarian re orm was to improve thee ectiveness o humanitarian response by ensuringgreater predictability and accountability throughstrengthening leadership and co-ordination, andthrough the creation o a Central EmergencyResponse Fund (CERF). Two years later, in 2007, a

urther component partnership was added. Whileeach o the our pillars o humanitarian re orm isimportant in its own right, they are also inter-linked,and together they represent an ambitious e ort bythe humanitarian community to reach more peoplewith more comprehensive needs-based relie andprotection in a more e ective and timely manner.

Five years on, the re orms are widely regarded asthe prevailing humanitarian response paradigm,and signi cant time has been invested by manydi erent organisations and research institutions inreviewing the successes and challenges o these wayso working. What they have learnt has contributedto important changes. But one area has bene ted

little rom this scrutiny: the leadership pillar, widelyconsidered to be the most crucial element in makingthe rest o the components e ective. To date therehas been no system-wide evaluation o humanitarianleadership. O the three original components o humanitarian re orm, it remains the only pillar not yetevaluated.

While there has been growing interest in thecontribution that humanitarian leadership makesto coordinated humanitarian action, less attentionhas been ocused on reviewing the e ectivenesso the humanitarian leadership architecture romthe perspectives o those who work in it or interactwith it. This paper will seek to explore this in greaterdepth, with a view to documenting its successesand the challenges it aces. The paper will alsomake recommendations about how humanitarianleadership can be strengthened so that it best copeswith the considerable pressures placed on it. With twoo the largest humanitarian catastrophes o moderntimes in Haiti and Pakistan occurring within sixmonths o each other, recent humanitarian historyserves to emphasise the importance o stimulatingconstructive debate in this critical area.

1.2 Methodology and research themes The research was commissioned by the NGOs andHumanitarian Re orm Project (NHRP) 1, the steeringcommittee o which supported the development o terms o re erence (ToR) to guide the work (see Annex3). The revised Humanitarian Coordinator (HC) Termso Re erence ormed a oundation or the study. Fromthis a number o themes were identi ed that areconsidered undamental or success ul humanitarianleadership. Conversely, they are o ten the subject

o erce debate when humanitarian leadership isconsidered to be ailing. The themes include theollowing:

Key competencies o the humanitarian leadershippost

HC and HC/RC selection and appointmentprocesses

Facilitating partnership across the humanitariancommunity

Leadership o the Humanitarian Country Team(HCT)

HC per ormance management and support Accountability o the humanitarian leader,

collectively between humanitarian partners and tocrisis-a ected people

Upholding humanitarian principles and de endinghumanitarian space.

An initial literature search and review provided a coreset o documents that underpinned the researchand contributed to the development o an interviewmatrix to guide the study. Each o the seven themeswas then explored through the use o semi-structuredinterviews with a broad range o stakeholders,including UN agency sta , humanitarian co-ordination

sta , NGO headquarters sta and eld workers, andacademics in a range o di erent contexts. 2 A eld tripto Ethiopia provided an opportunity to gather real-time input into the research through a series o ocusgroup discussions and bilateral meetings. An onlinesurvey was developed and circulated to participants inthe study, and more broadly through NHRP memberagencies, the results o which contributed to thereport and recommendations. 3

1 The NGOs and Humanitarian Re orm Project is a three-yearaction research study that began in September 2008 ( unded byDFID) with the objective o increasing the e ective engagemento international, national, and local NGOs in humanitarian re orm(clusters, humanitarian nancing, and Humanitarian Coordinatorstrengthening). The project particularly emphasises the catalysing o NGO engagement in humanitarian re orm processes.2 See Annex 2 or a list o participants.3 See Annex 4 or an analysis o the results o the survey.


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While the limited time available to undertake thestudy meant that not all avenues o enquiry couldbe explored, the knowledge shared by the NHRPHumanitarian Re orm Ofcers (based in Zimbabwe,Ethiopia, Democratic Republic o the Congo, andA ghanistan) and the generous support o ered byextremely busy NGO and UN sta meant that a lot o ground could be covered in a short time.

1.3 Introduction: Humanitarian leadership practice,progress, and pit alls The NHRP synthesis study 4 highlighted the patchyprogress that had been made across the di erentpillars o humanitarian re orm, with most headwayconsidered to have been made in the nancing andco-ordination components. By comparison, ar lessprogress was reported in the area o leadership.

The UN has continued to appoint unquali edHCs who do not adequately understandhumanitarian action; who underestimate theimportance o NGOs; who do not understand thecritical importance o partnership...There is a needto ensure that stronger, more e ective leaderswith humanitarian experience are appointed to

the pivotal HC position.5

These concerns have since been echoed by theALNAP-authored document, The State o theHumanitarian System , which voiced considerableconcern about the strength o leadership and co-ordination in emergency responses.

O all its challenges, international humanitarianaction was seen to su er most rom lack o e ective leadership and coordination, accordingto its constituents responses, which wereconsistent across regions and agency a liations. 6

However, despite a slow start in strengthening thehumanitarian leadership pillar, e orts have beenmade to address some o the more signi cantconcerns. Progress has been made through theestablishment o the HC pool and the HC selectionand assessment panels, the revision o HC terms o re erence, and the introduction o HC compacts tostrengthen per ormance and management. An HC

4 NGOs and Humanitarian Re orm Project (2009) Synthesis Report:Review o the Engagement o NGOs with the Humanitarian Re ormProcess, Commissioned by the NGOs and Humanitarian Re ormProject. The report analyses the current state o global humanitarianre orm e orts rom an NGO perspective by synthesising a series o mapping studies carried out between November 2008 and February2009. These looked at humanitarian re orm in ve di erent countries:A ghanistan, the Democratic Republic o Congo, Ethiopia, Sudan, andZimbabwe.5 NGOs and Humanitarian Re orm Project (2009) Synthesis Report:Review o the Engagement o NGOs with the Humanitarian Re ormProcess, commissioned by the NGOs and Humanitarian Re ormProject.6 Active Learning Network on Accountability and Per ormance(ALNAP) (2009)The State o the Humanitarian System: AssessingPer ormance and progress A Pilot Study , Overseas DevelopmentInstitute.

Handbook has been elaborated, and considerablee ort has been invested in training candidates or theHC pool as well as or Resident Coordinators (RC) whohave an HC unction.

In addition to strengthening recruitment and trainingpractices, steps have been taken to identi y andunderstand better the actors that hinder e ective HCleadership and work conducted by the United NationsOfce or the Coordination o Humanitarian A airs(OCHA) HC Strengthening Team. Dividing these intothree categories has been particularly help ul: Individual skills, competencies, and motivation Limitations in the management and support

provided to HCs Institutional actors, including the breadth o the

role that HCs are o ten required to play (particularlyrelated to double-, triple- and quadruple-hattedHCs) and the associated need to balance con ictingagendas; and an HCs lack o authority overHumanitarian Country Team members.

Identi ying some o the key impediments toe ectiveness represents important progress, whichis necessary i solutions are to be identi ed. In theHC Strengthening Team there is also now a groupo people mandated and able to o er strategicand operational support. However, it is importantnot to underestimate the scale o the task: makingheadway in strengthening leadership is a complexprocess, and success will depend on a range o

actors. It is important to recognise that this is ashared task, and that the NGO community, as asigni cant humanitarian partner o ten with ar greaterresources than the UN, has an important role to playin supporting leadership and in seeking to promotean enabling environment that supports e ectiveleadership. This is the central theme o this research,and it will be explored urther below.

2. Get the right ones in: Therecruitment and deployment ohumanitarian leadersDespite the increasing pro essionalisation o thehumanitarian sector over the last 15 years, and despiteabundant literature on leadership theory, leadership

ailures in recent responses to humanitarian criseshave caused growing concern. While Weiss 7 pointsto a combination o overwhelming bureaucracy andunderwhelming leadership as one o the main ills o

the UN, concern about the lack o strong leadership isnot ocused on the UN alone: it speaks more broadlyto what is considered to be a dearth o talentedleadership across the sector.

7 Hochschild F (2010) In and Above Con ict: A Study on Leadership inthe United Nations , Centre or Humanitarian Dialogue.


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...the eld o international disaster management/humanitarian assistance remains one whichis characterised o ten as pre-pro essional,uneven in management competency, ine cient,inequitable, and o ten at odds with long termrecovery and development. 8

With the sector having grown considerably in recentyears, and with the politicisation o aid requiringthat it operates in ever-increasingly complexhumanitarian environments, there has been agrowing acknowledgement o the need to strengthenleadership. To address this, e orts are being made bytraining and research organisations to nd ways to

ll gaps, train leaders, and strengthen practice, 9 andthe re- ocusing o attention on leadership has led toan emerging consensus about a combination o skillsand competencies that humanitarian leaders require. These include planning or ambiguity, working acrossdi use teams, and the need to navigate success ullyaround the bureaucracies o modern managementtechniques. A succinct description o how these canprovide the basis or e ective humanitarian leadershipis given by the Humanitarian Futures Programme,whose report on leadership in 21st centuryhumanitarian organisations 10 considers that

...Strategic leaders o the uture need toposition themselves at the node where di erentnetworks connect or where there is maximumoverlap between the elements o a collaborativeVenn diagram. They will need skills to buildmulti-sectoral collaborative networks basedon a recognition o the changing realities o the humanitarian eld and emerging actors,and also to enable others to learn rom them...Future strategic leaders will have to movebeyond their traditional com ort zones andembrace the ambiguity which refects reality, and

consequently will have to develop appropriateanticipatory and adaptive skills.

In addition to suggesting important competenciesin envisioning and collaboration, it also points to aneed to ocus attention on strengthening mutualaccountabilities within the humanitarian system (anissue that is developed urther in section 5.1). NHRPs

8 Active Learning Network on Accountability and Per ormance inHumanitarian Action (ALNAP), Humanitarian Futures Programme(HFP), Disaster Management Leadership Academy (DMLA) (2010a)Humanitarian and Disaster Management Leadership: A CollaborativeResearch and Development Initiative .9 A joint initiative has been established between ALNAP, theDisaster Resilience Leadership Academy o Tulane University,the Humanitarian Futures Programme, and People In Aid, tosystematically explore and improve leadership within thehumanitarian sector. More on this joint initiative can be ound athttp://www.alnap.org/initiatives/current/leadership.aspx.10 Humanitarian Futures Programme (HFP) (2009) Strategic Leadership in 21st Century Humanitarian Organisations: A Preliminary Scoping Exercise, Stage One Analysis, Humanitarian FuturesProgramme, Kings College, London.

Mapping Study in DRC is a good example o howan empowered humanitarian leader can work withothers to provide e ective leadership.

Box 1: Success ul humanitarian leadership in DRC

There is general agreement that the DRC hasbene ted substantially rom a strong HumanitarianCoordinator who has made a real e ort to push

or humanitarian concerns and priorities withinan integrated mission structure. The HC plays anactive role in re orm mechanisms...and commandsrespect rom all the actors with whom he interacts.Observing the Pooled Fund Board meeting, it wasclear that the HC was well acquainted with thedetails o the proposals presented and capable o asking agency representatives tough questionswhen necessary...The HC also takes a keen interestin ensuring that the cluster system works e ectivelyand is willing to raise problems with cluster leadagencies to ensure that they are addressed. There ore, it is clear that an HCs strong and e ectiveleadership can contribute to ensuring better

unctioning re orm mechanisms. 11

In establishing an explicit set o humanitariancoordination competencies that incorporate theGlobal Humanitarian Plat orms (GHP) Principles o Partnership (PoP) 12 and People in Aids HumanitarianLeadership Competencies, and that orm the basis

or HC selection, important progress has been madetowards being able to identi y people with the skillsrequired to per orm humanitarian leadership roles.While the establishment o a competency ramework is an important rst step to strengthening leadership,success ul recruitment against this ramework remainsa crucial challenge, as does ensuring the timelydeployment o leadership in disasters.

2.1 The need to place a high value on recruitmentand selection: The HC pool in theoryDespite the need or strong leadership, recruitmentand selection processes have historically beenwoe ully inadequate or this important task. Importantprogress towards recruiting skilled humanitarianleaders who can o ten be deployed at short noticewas made when OCHA was tasked to establishand manage an HC pool to provide excellence inhumanitarian leadership 13. However, it has su ered

rom being seen by some as too UN-centric, and has

11 Mowjee T (2009a) NGOs and Humanitarian Re orm MappingStudy: Democratic Republic o Congo Report, Development Initiatives,Commissioned by the NGOs and Humanitarian Re orm Project.12 Endorsed by the Global Humanitarian Plat orm in July 2007(www.globalhumanitarianplat orm.org), the PoP comprises the

ve principles o equality, transparency, results-oriented approach,responsibility, and complementarity.13 Inter Agency Standing Committee (IASC) (2008) HumanitarianCoordinators Pool Mapping Exercise Report or the IASC , 31 October2008.


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still struggled to deliver leaders o a consistently highstandard. While pool members have all been recruitedagainst the HC competency ramework, some doubtremains about the ability o some o them to work tothe required standard.

Beyond the perception o many NGO sta o thedifculties o success ully competing or HC poolmembership, there are also structural disincentives

or would-be pool members. Interviews with UNagency sta highlight the uncertain career path orHCs, as the role may require that they adopt a robustrelationship with senior colleagues, and deal withunpopular issues that may hamper career progression. There is also a perception that, while the UN espousesthe importance o principles in its humanitarianwork, when HCs address such issues robustly withmember states, little is done to protect them rom theinevitable allout. 14 These perceptions will need to beaddressed i ambitious sta are to be encouraged toapply or HC pool membership.

The dearth o talented leaders in the sector is also aconsiderable barrier to NGO and UN agencies o eringup much-needed candidates to the pool. Many

organisations have invested considerable resourcesin sta development, and so are reticent to o erup such talent when this would reduce their ownhumanitarian response capacity. It is necessary orthese attitudes to change or the pool to be given thebest chance o success.

As important as it is to put candidates orward, it isequally important that senior NGO leaders participatein the IASC HC Assessment Panel (HCAP), the inter-agency body tasked to assess suitability, select HCpool members, and suggest potential matches toupcoming vacancies or HC and RC/HC positions.Interviews suggested that some agencies have alreadyde-prioritised their involvement; but this is short-sighted. Given past concerns about the danger o deploying HCs without the right skills and given thedearth o candidates in the pool who can compete ordouble- or triple-hatted humanitarian leadership roles the best opportunity currently available to in uencethis is to put candidates orward or selection, or orNGOs to participate on the HCAP.

While the uture success o the system will ultimatelybe in the hands o the newly-appointed ERC, as shealone has the power to en orce its use, humanitarianpartners have an important opportunity to help it tomake its mark. An NGO-UN partnership would providethe best possible oundation or the HC pool to

succeed, and it would be a missed opportunity i agencies were to opt out be ore commitments abouttransparent decision-making processes and

14 See Kent (2009) p.22 or a more detailed commentary on thisissue.

partnership in HC selection and appointmentprocesses could be implemented.

2.2 Not just the right skills, but at the right time: TheHC pool in practiceWhile the HC pool undoubtedly strengthens theability o the UN to have access to pre-screenedhumanitarian leaders, concerns remain over thelimited number o success ul deployments romthe pool, the appointment process, and the lack o timely deployment o some HCs. The act that NGOparticipation in the mechanism has elt laboured hasalso been a divisive issue, with many intervieweespointing to the small number o NGO-experiencedcandidates recruited to the HC pool, and the lack o a success ul deployment rom their number, as asigni cant ailure. While there purportedly have beeninstances where deployments have been o eredbut not taken up, there is no doubt that a success ulNGO-experienced HC deployment will provide animportant opportunity to build bridges and to testthe hypothesis that humanitarian coordinationcan be led by non-UN sta . Interviews with seniorNGO sta add weight to the symbolic importanceo success in this. 15 There is an irony here. It is o tensaid that NGO-experienced candidates have greaterhumanitarian experience; yet their inexperience o theUN system can make it difcult or them to compete

or humanitarian leadership roles, as Kent 16 explains:

There was a degree o dismay that the systemhad not adequately ound ways to provide thenecessary knowledge about the UN system tootherwise highly quali ed candidates. Even orthose with UN backgrounds, it was elt that littlesystematic e ort was made to expose potentialHC candidates to the inner workings o otheragencies.

While a comprehensive training package is beingdeveloped to strengthen the humanitarianknowledge o pool members, this should becomplemented by similar e orts to integrate HC poolmembers into the UN.

The process o HC selection and appointment to postshas also attracted considerable criticism. The IASCconsultation process has historically worked more as arubber-stamp, with the ERC generally asking or non-objections to Resident Coordinators being appointedas HCs. Steps have now been taken to revise theprocess, and an IASC HC Panel has been mandatedto work alongside the ERC to select humanitarian

15 Elisabeth Rasmussen, now Secretary General o the NorwegianRe ugee Council, was deployed to Uganda at the end o 2006, butreturned home a ter less than two months in post a ter ailing to begranted a visa by the authorities.16 Kent R (2009) Mapping the Models: The Roles and Rationale o the Humanitarian Coordinator , Humanitarian Futures Programme,London.


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leaders jointly. 17 However, while the system has thepotential to ensure a much more transparent decision-making process, its success will be dependent onthe willingness o the ERC to use it, as she retainsthe prerogative to select individuals who are notmembers o the pool 18 a right that has o ten beenexercised by ERCs in the past.

Concern has also been raised by IASC membersabout the practice o ast-tracking HC candidatures inorder to respond to rapid-onset emergencies. It willbe important that in uture an appropriate balanceis struck between getting the post lled swi tly andensuring that post-holder has the right competenciesand experience. While such decisions are o ten agreedon a no objection basis, some NGO IASC participantsare reluctant to be the only dissenting voice. A similarprocess has been adopted or moving sitting HCs(who have not been through the HC selection process)into the HC pool. This too is potentially divisive, andplaces both the HCs and potential objectors in adifcult position. Given the aws with this type o decision-making process, a ar more transparent way

orward would be or all candidates, whether or notthey have previous HC experience, to go through a

ull selection process. This recommendation has broadsupport.

The demand or senior humanitarian leaders romthe pool, and complications with nding a suitablecandidate, suggest that its current size o 33 membersis too small. One o the emerging lessons is that

nding a pool member who is senior enough, hassufcient experience, is available or deployment,and is willing to be deployed, can be a challenge. Theexperience o Haiti adds weight to the importanceo timely decision-making about deployinghumanitarian leaders.

...there was a perception o a coordinationde cit in the initial phase o the responseoperation, and a sense in which others (e.g.the military actors) elt they had to step in tosupplement humanitarian leadership on theground, which was not providing su cientstrategic vision or overall visible coherence.Critical strategic decisions impacting on thee cacy and appropriateness o the humanitarianresponse, including, or example, strategies to

17 As soon as the ERC decides to establish an HC unction, theDeputy ERC should convene and chair an ad hoc meeting o theIASC HC Pool Panel via tele/videocon erence to consult the IASC onthe most suitable HC model, and wherever possible on a suitablecandidate(s) or that model. The outcome o the meeting shall be awritten recommendation to the ERC. I consensus cannot be reached,a note shall nonetheless be sent to the ERC detailing the di erentopinions and options, including possible candidates or di erentoptions as appropriate. The nal decision on model and candidaterests with the ERC.18 See Inter Agency Standing Committee (IASC) (2010a) ConsultativeMechanism on HC/DHC Designation and Related Issues , IASC 76thWorking Group Meeting, 7-9th April 2010.

deal with immediate assistance to, and longer-term resettlement o , those displaced, and amore strategic targeting o assistance to preventsigni cant population movements, seemed to beslow in coming. 19

The earthquake in Haiti precipitated one o themost visible crises o recent years. The ndings o the IASC report suggest that signi cant work is stillrequired to close the gap between strengthenedhumanitarian leadership in theory and practice. Thisis disappointing given that the Earthquake occurred asigni cant time a ter the roll out o the humanitarianre orms. While it will always be a tough challenge todeliver high quality humanitarian leaders on time, theambitions o humanitarian re orm and the demandso humanitarian response require it.

2.3 Beyond the HC pool: Infuencing theappointment o RC/HCs The pre erence or appointing double-hatted HC/RCs is signi cantly more problematic than that o HC appointment, as the recruitment and selectionprocesses are internal to the UN, and are consideredby those outside the process to be extremely

difcult to in uence. Many consider it to be a ailureo judgment that the UN o ten ails to prioritisehumanitarian competencies in its appointments.

While HC pool members can be put orward by theHC panel to compete or double-hatted posts oncethe RC selection process starts, the IASC as a collectivebody e ectively loses the opportunity to in uencethe selection process, as it is an internal UN process. The need or signi cant UN experience to compete ordouble-hatted posts immediately puts them beyondthe reach o many HC pool members who come

rom an NGO background. But even or those whopossess the requisite UN experience, the 12-monthhiatus in the RC Assessment Centre (RCAC), which isa prerequisite or selection, has created a bottleneck in applications, which has delayed some HC poolmembers being put through the process.

For candidates who have success ully been throughthe RC assessment process, anecdotal evidencesuggests that appointments are o ten based as muchon internal bargaining and negotiation as they are oncandidate competence and capacity. While the pro le

or RC/HC posts includes humanitarian experienceand humanitarian coordination competencies 20,the success ul candidate whom the Inter-AgencyAdvisory Panel (IAAP) considers has the greatest t 21

19 Inter Agency Standing Committee (IASC) (2010c) Response to theHumanitarian Crisis in Haiti: Achievements, Challenges and Lessons to beLearnt.20 See United Nations Development Group (UNDG) (2009) Guidelines

or the Selection and Appointment o Resident Coordinators , November2009, UN, New York.21 The Inter Agency Advisory Panel is responsible or short-listing orRC posts and recommending them to the UNDG or endorsement. TheSecretary General makes the nal decision.


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all too o ten does not possess these competencies. The lack o experience o many HC pool membersin the eld o social development makes it difcult

or them to compete or posts. The limited diversityo the pool 22 likely adds to this challenge, as the RCrecruitment process places signi cant emphasison North-South balance and gender balance.However, it is the perceived lack o transparency inhow these decisions are made that is problematic,and this does little to build con dence and oster

acceptance, particularly given the requency withwhich candidates are selected without humanitarianexperience in settings that require it.

I humanitarian leadership is to be strengthenedin a context where the double-hatted model o humanitarian leadership is preeminent, there needsto be a ar greater prioritisation o humanitarianexperience in contexts that require it. While thesuccess ul progression o hal the HC pool throughthe RCAC and the deployment o ve pool membersto double- or triple-hatted posts by March 2010represent promising progress, there is still room

or improvement. Recent humanitarian leadershipailures have exposed the risks inherent in ignoring

the importance o humanitarian experience. Theimpact that poor leadership has had on the ability o the humanitarian community to respond e ectively inHaiti and other high-pro le crises serves to underlinethe importance o making the right decision rom theoutset.

2.4 The importance o an enabling environmentIn the context o humanitarian crises, which are o tenassociated with partial or complete state collapseprompted by natural disaster or con ict, the concepto an enabling environment may seem an odd one.However, it is essential or success ul humanitarianleadership, and it can be provided in some measure

by actors involved in responding to a crisis and thosetasked with leading the response.

At the level o the humanitarian community, much canbe done to oster an atmosphere that is supportiveo coordination and leadership. The willingness o actors to engage with HCs, to share in ormation,and to strengthen the response o the humanitariancommunity, is an important contribution to this, andit should not be taken or granted. There is growingconcern in some quarters about competition withinthe sector and about the prioritisation o individualagency mandates over the need or a coordinatedresponse. 23 It is not unknown or senior agency sta toprioritise their own programmes over attendance at

humanitarian leadership and coordination meetings.

22 In March 2010, the gender and geographical balance wasdescribed as unsatis actory, with only our women (15% o the total)and nine individuals rom non-OECD countries (33%) (IASC, 2010d).23 See Haiti Aid Agencies Accused o Jostling or Position athttp://www.guardian.co.uk/world/2010/jan/22/haiti-aid-agencies-accused-jostling

At the level o the organisation, a study by theHumanitarian Futures Programme 24 suggests thatthree essential characteristics are required ore ective humanitarian leadership: the prioritisationo planning despite the uncertain environment;a need to embrace ambiguity rather than allback on more traditional linear cause and e ectthinking; and the importance o ostering a dynamicplanning environment that is sufciently exible toaccommodate change and challenge.

Ironically, it may be these same organisationalcompetencies that are being displaced in thehumanitarian sector by the trend towards prioritisinglogic and planning. Continuing concern about thelack o innovation in the sector and measures toaddress it suggests that progress in pro essionalisingthe sector may have been achieved at the expense o the spirit o innovation and entrepreneurialism thatonce characterised it. These same skills are highlyprized in the dynamically changing environmentswhere humanitarian response is conducted. Thechallenge to humanitarian organisations is howto re-balance themselves to support efcient andaccountable provision o assistance, while ostering anenvironment that allows or ambiguity and change.

3. Not them but us: The need tostrengthen humanitarian partnership The disparate nature o the humanitarian community which comprises a multitude o organisations witha dizzying array o mandates, competencies, andcapacities points to the undamental importance thatpartnership underpin every aspect o humanitarianleadership. The OCHA paper on the un nished agendao HC strengthening explains the importance o partnership or success ul HC leadership.

...the role that Coordinators playis one o active acilitation and leadership rom behind.This horizontal role (as opposed to a vertical,command-and-control role) is extremely delicate,inso ar as it takes place in a context o non-hierarchical relationships where engagementin coordination arrangements is voluntary, andrelies on intellectual leadership and persuasionrather than on ormal authority. Such a role canbe per ormed success ully only i each and everystakeholder members o the UN County Team(UNCT) and HCT, but also agency headquartersand donors at eld and headquarters level iscommitted to making it work. 25

24 Humanitarian Futures Programme (HFP) (2009) Strategic Leadership in 21st Century Humanitarian Organisations: A Preliminary Scoping Exercise, Stage One Analysis,Humanitarian FuturesProgramme, Kings College, London.25 Ofce or the Coordination o Humanitarian A airs (OCHA)(2009b) Strengthening the HC System: The Un nished Agenda, paperpresented to the IASC Working Group in March 2009.


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While the balancing act required to lead a diverseset o humanitarian partners is a complex one, thePrinciples o Partnership provide a template or success.Implicit in them is the belie that e ective partnershipsare not just about mechanistic relationships, in whichactors come together to achieve a set o commonobjectives, dividing up responsibilities and planning joint work; rather they require attention to underlyingissues o power, attitudes, and styles o working. Thissuggests that the so ter networking, acilitation and

listening skills o HCs are o key importance. Interviewswith humanitarian sta bear this out: the majority o participants asserted that e ective communicationand transparency were among the most importantleadership attributes, and that they were a oundation

or strong partnerships built on trust.

Despite some progress having been made towardsostering partnerships within the humanitarian

community, this remains a key challenge. The researchinterviews highlighted a continuing lack o trustbetween di erent members that was elt to hampercloser ways o working. Toby Lanzers article in Forced Migration Review , written when he was the HC inCentral A rican Republic (CAR), speaks o competition(as opposed to partnership) as a recurring obstacle. 26

Regular and well-organised interaction betweenthe key organisations working in the same areaso humanitarian response is possible provided wecan address recurring obstacles competition,egos and poorly-run meetings. 27

Writing on trans ormational leadership andorganisational change, the Disaster ResilienceLearning Academy correctly identi es negative

actors o cultural di erences [between humanitarianpartners], competition over limited resources, andnarrowly ocused career ascendency, which theyconsider can create an environment in which sel -protectiveness, sel -promotion, and independencecan inhibit coordination and communication. 28

Strategic leadership theory strongly emphasisesthe importance o communication, networking,and diversity, which should underpin humanitariancoordination orums such as the HCT and clustermeetings. However, the ailure to value theseattributes adequately, to commit meaning ully tocoordination, or to use the opportunity or HCTsto drive humanitarian strategy, are proving to bea barrier to success. An important question or thehumanitarian community is whether there is sufcient

26 At the time the article was written, Toby Lanzer was HC or CentralA rican Republic. He is currently Chie o Sta in the UN Mission in Timor Leste.27 Lanzer T (2007) Humanitarian Re orm: A View rom CAR.Forced Migration Review , 29 (December), Re ugee Studies Centre.28 Disaster Resilience leadership Academy (DRLA) (2010)Trans ormational Leadership and Organisational Change , Report onresearch themes.

will to build a partnership that transcends agencymandates and rivalries, and that provides a oundation

or e ective leadership.

3.1 A vision o the uture: HCT as strategichumanitarian leadership team The IASC Guidance Note re ers to the HCT as thecentre-piece o the humanitarian coordinationarchitecture o humanitarian re orm, and describesits responsibilities as including (1) agreeing oncommon strategic issues related to humanitarianaction in-country; (2) agreeing on common policiesrelated to humanitarian action in-country; and (3)promoting adherence by organisations undertakinghumanitarian action in-country to humanitarianprinciples, the principles o partnership, the IASCguidelines, and policies and strategies adopted bythe HCT.29 This type o orum is embodied in Lanzersarticle on humanitarian co-ordination in the CAR.

In CAR, we have established a common orumor discussing the political and security context,

assessing peoples needs, elaborating sectorpriorities and de ning a strategy to meet them.The orum, which we call the Humanitarian

and Development Partnership Team (HDPT),is in ormal and based on equality and mutualrespect. 30

Interviews suggest, however, that progress remainspatchy, that ambitions to use the HCT as a strategic

orum remain unmet, and that in many emergenciesthe HCTs are best characterised by the absenceo strategic leadership and intent rather than itspresence. Even though the Humanitarian Re orm Tracking Tool identi ed 13 out o 16 countries wherea broad-based HCT had been ormed by October2008, interviews with HCT members highlighted poorprogress towards meeting the ull aspirations outlinedin the HCT Guidance Note. On too many occasions,HCTs were described as being more ocused at thelevel o in ormation sharing, or were considered too

ractious to be e ective. Furthermore, discussions withsenior humanitarian sta showed that expectations o HCTs were o ten low; and in the absence o a strongaccountability structure, participants elt powerlessto e ect change. The NHRPs research in Zimbabwe istestament to this.

29 Inter Agency Standing Committee (IASC) (2010b) Guidance or Humanitarian Country Teams , endorsed by the 75th IASC WorkingGroup on 18th November 2009.30 Lanzer T (2007) Humanitarian Re orm: A View rom CAR.Forced Migration Review , 29 (December), Re ugee Studies Centre.


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Box 2: Slow progress made towards realising theambitions or the HCT in Zimbabwe

The survey revealed that the HCT has an agreed TOR that was dra ted in accordance with the IASCguidelines on HCTs and approved in March 2010but highlighted the absence o a work plan ora mechanism to review its per ormance. Somerespondents elt that the HCT has been reducedto an in ormation-sharing orum and has not

met its strategic ambitions. Several respondentsobserved that the HCT lacks responsiveness towardshumanitarian advocacy issues with both thegovernment and donors. Accountability to crisis-a ected populations hasnt been integrated into theHCTs work and there are no mechanisms in place toraise awareness o its existence with humanitarianclaimants or to elicit eedback rom them.Accountability to a ected people is considered to bemore relevant to clusters or individual agencies. 31

O even greater concern is that it tends to be in themore complex politicised environments where theneed or strategic leadership and strong coordination

between organisations is greatest that progresstowards a coherent humanitarian partnership in theHCT has been most difcult to establish. Interviewswith humanitarian sta in both Somalia andA ghanistan highlighted deep divisions and a ailureto build strong strategic partnerships. While it is inthese situations that it is hardest to achieve success, itis also the case that a ailure to bring the humanitariancommunity together risks seriously damaging the

ragile construct o humanitarianism, as MichaelYoungs commentary rom Pakistan in HumanitarianExchange Magazine 32 suggests:

...the Humanitarian Country Team, althoughrepresentative o the wider community, hasbeen unable to play an e ective strategicrole and remains ocused on issues o processand operational detail. This ocus on micromanagement has urther undermined its abilityto act as an e ective advocate or humanitarianprinciples.

I busy humanitarian sta (whether rom NGOs, UNagencies, or national NGOs) are to be convinced o theimportance o investing valuable time in attendingmeetings, there has to be an acknowledgement o thestrategic role that the HCT needs to play, and o thevalue o its embodying the Principles o Partnership.In politicised humanitarian environments, where the

31 Survey o HCT members conducted in July 2010; collatedby Mudasser Siddiqui, Humanitarian Re orm Ofcer or NHRP inZimbabwe.32 Young M (2010) The Uses o Adversity: Humanitarian Principlesand Re orm in the Pakistan Displacement Crisis, HumanitarianExchange Magazine, Issue 46, March 2010 , Humanitarian PracticeNetwork, ODI.

community can easily become polarised, there is aneven stronger case or ensuring that it has strategicreach.

3.2 The importance o agency commitment toparticipation in leadership orumsInterviews at all levels o the humanitarian communityraised concern about the commitment and ability o agencies to dedicate the time and resources required todeliver against their coordination commitments. Whilesome agencies were more sel -critical than others, therewas a general acceptance that, on the one hand, NGOsand UN agencies demanded a seat at the coordinationtable, but, on the other hand, they did not (or couldnot) always appropriately resource this.

I humanitarian agencies are to be accepted asequals, they need to act as equals and take onleadership positions at country and cluster-level.NGOs complain that they are not treated as equalsbut they are o ten passive in seeking to addressthis. (Humanitarian director)

Some o the bad habits that weaken the leadershippotential o the HCT include delegating participationto junior members, prioritising agency positionsover the wider needs o the group, and ormingmembership blocs that vote together. This is divisive,and in some HCTs it pits the UN agencies againsttheir NGO cousins, which can create an extremelytoxic environment that undermines any possibility o meaning ul partnership.

The research ound evidence o an uneasy relationshipin some instances between UN agencies and HCTs,where there was a perception that a power strugglebetween power ul heads o UN agencies and the HC(/RC) was stymieing the ability o the HCT to work strategically, and destroying what little trust remainedbetween humanitarian partners. This speaks to a

broader issue o internal disjointedness that Kentraises in his paper on models o UN humanitarianleadership:

A persistent rustration or virtually all practicingRCs and HCs that were interviewed or thisexercise was the lack o authority that a ectedtheir ability to per orm their unctions e ectively[which] is regarded as one o the greatestdisincentives acing UN coordinators in general.The sense o grievance seems considerable. Facedwith a wide range o responsibilities, many o which are ultimately concerned with saving lives,coordinators rail at the act that expectationsabout substantive results depends in the nalanalysis on their ability to cajole and persuade. 33

33 Kent R (2009), Mapping the Models: The Roles and Rationale o theHumanitarian Coordinator , Humanitarian Futures Programme, London(internet).


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HCT members can also thwart the ambitions o HCsthrough their inaction or non-participation. Whileresource constraints (both human and nancial) areo ten blamed, the logic o prioritising programmesover participation in both HCT and clusters is aulty.It will only be through committing to coordinationand leadership as an equal partner that humanitarianstakeholders will be treated as such. Donors play a keyrole in understanding that coordination commitmentsare a part o doing humanitarian business, and they

should ensure that their unding priorities re ectthis. Where there is bad behaviour in HCTs, it needsto be challenged. Success in ostering a productiveand collegiate working environment within the HCTshould be considered a key per ormance indicator orall o its members.

3.3 Stretching the traditional boundaries o HCTmembershipHumanitarian leadership has long been the domaino the international community, represented byUN agencies and international NGOs. While animportant emphasis has been placed on ensuring theengagement o national NGOs in cluster coordination,less attention has ocused on the importance o national NGO participation in HCTs.

The research ound only modest success in seekingto broaden HCT membership to include nationalparticipation. Interviews suggested that nationalNGOs o ten place a comparatively low value onattendance. The potential value o having nationalrepresentation in coordination orums has receivedconsiderable attention in numerous clusterevaluations, and the same value needs to be placedon national NGO participation in HCTs. In complexpoliticised humanitarian environments, concernshave been raised about the potential or nationalparticipation to add to an already complicated set o

relationships; but there is an important need or such judgments to be based on practice rather than theory.

While important partners are o ten omitted romHCTs, there has been an increasing trend orrepresentatives rom donor agencies to be memberso the group. The research suggests that there havebeen mixed motives or this. On the one hand, thereis doubtless potential or donors to support andstrengthen the voice o HCT, which is welcome.However, in some countries donor participation was

ound to be a means o policing agency commitmentto the HCT. It also has the potential to restrict the voiceo HCT participants; some participants in the researchraised a concern that the unding relationshipbetween humanitarian agencies and donors meantthat discussion or disclosure about aid ailures orcomplexities risked being blocked. Others pointed tothe overtly political role that many donors play, whichmeant that other HCT members were less inclinedto speak out about sensitive issues. A growing move

towards coherence in donors agendas certainly riskscomplicating relationships within HCTs.

Without doubt, the most important humanitarianpartner is the national government. It is also theprimary duty bearer, and as such should play acentral role in leading and coordinating humanitarianresponse. Where the humanitarian communityenjoys good relations and coordinates well withthe government, e orts to orge strong links withhumanitarian coordination orums have beensuccess ul. However, where this relationship isweak, there is a risk that parallel structures may beestablished (as in Ethiopia) or that humanitarianactivity exists in a policy vacuum (as in Haiti).Neither model provides a strong oundation orproviding assistance. The lack o optimism within thehumanitarian community about the ability o an HC toresolve political inter erence success ully 34 underlinesthe importance o government engagementand inclusion rom the outset, and the need ortransparent communication with humanitarianpartners when positive outcomes cannot be reached.

4. Trouble at the top: The need tostrengthen management and support The success or otherwise o humanitarian leadershipis an issue o erce debate and con ictingopinions. Each new crisis throws up its particularcocktail o complexities related to the political andhumanitarian environment, and is subject to avast array o humanitarian actors governmental,non-governmental, local, and international eachwith its own competencies, capacities, and strongly-held views over humanitarian priorities. It is theseorganisations that an HC is mandated to lead, and itis important to acknowledge the complexity o the

task rom the outset. A complex task requires strongsupport and responsive management; but there areconsiderable gaps in these crucial areas.

4.1 Making sense o HC management There are currently 30 HCs, and on average 30 RCsper orm humanitarian unctions every year. Inaddition, all o the other 75 RCs have humanitarianresponsibilities vis--vis preparedness, and all o themhave a line o accountability up to the ERC. 35 In thelast year, steps have been taken to revise the generic ToR or the HC and to establish compacts betweeneach o the HCs and the ERC. While the ToR has helpedto bring important clari cation to the role, and thecompacts have begun to be used more consistently,

progress reports rom the HC Strengthening Team

34 In the online survey over two-thirds o respondents considered itextremely difcult or impossible or the HC to success ully deal withpolitical inter erence rom government.35 Messina C (HC Strengthening Team), 2010, pers. comm.17 September.


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note that these have not yet been embedded in acontinuous per ormance management system, andso are not yet able to manage under-per ormance. That these issues have been identi ed and reportedrepresents important progress. However, only whenthey have been resolved will the accountability de cithave been addressed. Recent eedback rom theIASC review o achievements and challenges in Haitidoubtless adds weight to the urgent need or action.

The initial coordination and leadershipchallenges...emphasize the need to rein orceendorsed systems and structures and to makesure individuals who are required to lead areprovided with the means to do so. 36

Interviews ound broad consensus that theestablished HC management line to the ERC istoo distant and is unworkable; neither is it alignedwith that o RCs, which is now decentralised andpivots around Regional Directors Teams (RDT). 37 Such misalignment is problematic while there isconsiderable overlap between the two unctions:all RCs have humanitarian responsibilities orpreparedness, a growing number o RCs per orm

humanitarian unctions, and most HCs are also RCs.While making changes to the reporting line willdoubtless be complex, there is a growing recognitionthat action does need to be taken to strengthen themanagement o humanitarian leaders. One way toaddress this would be to bring the management o the HC in line with that o the RC: the post would bemanaged regionally, with the active participation o the OCHA Regional Head o Ofce in this team havingmore ormal responsibility or providing managementsupport. This would potentially o er greatermanagement support, while also ensuring that theRDT bene ted rom greater humanitarian capacity.While current levels o seniority and established

reporting lines will likely complicate success ulchange 38, given the increase in the number o RC/HCposts and the act that there are a growing number o RCs who per orm humanitarian unctions, there wouldbe signi cant bene ts in harmonising reporting lines.

A second management weakness is the inabilityo other senior members o the humanitariancommunity to in uence the per ormancemanagement o HCs, even when there is a broadconsensus that they are ailing to have the impactrequired o the post. This is a highly divisive issue.While there is truth in the assertion that judgments

36 Inter Agency Standing Committee (IASC) (2010c) Response to theHumanitarian Crisis in Haiti: Achievements, Challenges and Lessons to beLearnt.37 These teams include the Regional Directors o the operationalagencies o the UN system.38 Currently OCHA engages with the RDTs through the OCHAHead o Regional Ofce (whose grade is lower than that o RCsand o Regional Directors, and who does not have managementresponsibilities vis--vis RCs).

may o ten be based on idiosyncratic and largelysubjective benchmarks, di ering rom onestakeholder to the other 39, that the process is closedto external input, and that the mechanism to providemanagement support to HCs and to per ormancemanage them is mani estly weak, this does not o eran easy path to resolving the issue. The concept paperon HC-ERC compacts provides a potential blueprintto achieve success, but the research suggestsa signi cant gap between theory and practice.

Compacts need to describe HC objectives better, andprovide more detailed and more measurable outputsthat bene t rom regular review; these should ormpart o a continuous per ormance managementsystem which includes remedial action in caseso under-per ormance. For many humanitarianorganisations, per ormance management systemssuch as this have been in place or many years; and itis a glaring omission that they have not yet been ullyrolled out at the most senior level o the humanitariansystem.

Irrespective o the approach taken to resolveweaknesses in the per ormance management o HCs and provision o support to them, an importantrecommendation o this paper is that change isurgently needed. Consistently e ective leadership inhumanitarian crises requires signi cantly enhancedmanagement and support, and many working inthe system believe that the challenges o the currentsetup do not provide the conditions necessary todeliver this.

4.2 The need or consistent and predictable supportrom OCHA

Field-level support or an HC or RC is entirelydependent on the capacity o the OCHA eldofce to provide it. However, recent evaluations o humanitarian response and interviews linked to this

research suggest that support is very o ten too little,too late. Capacity to lead humanitarian coordinationand support the HC regularly arrives some time a tera crisis, with the result that the humanitarian leadero ten ails to receive the required support.

Providing Coordinators with swi t support incase o major sudden-onset emergencies or rapiddeterioration o an existing situation has at timesproved problematic, as OCHA has not always beenable to mobilize swi tly the required quantity andquality o sta , especially ollowing the rst wave o surge capacity. 40

Interviews highlighted a level o dissatis action with

OCHAs ability to provide a comprehensive serviceto support humanitarian leadership even in chronic

39 Ofce or the Coordination o Humanitarian A airs (OCHA)(2009d) Strengthening the HC System: The Un nished Agenda, paperpresented to the IASC Working Group in March 2009.40 Strengthening Humanitarian Coordination and Leadership: AProgress Report , OCHA April 2010.


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crises, despite broad praise or the added value it canhave. The research highlighted the important role thatit can play in situations where it arrives in good timeand bene ts rom sufcient capacity, allowing theHC to per orm and to meet his or her responsibilities

ully. Where there is an RC/HC, pressures on time areeven greater, making the success o humanitarianleadership even more contingent on OCHAsassistance. In such situations, UNDP also has animportant role to play in de-linking the RC role rom

that o the UNDP Country Director, signi cantlyreducing the RC/HCs workload and giving theincumbent the best possible chance o success.

The importance attached to e ective humanitarianleadership points to an urgent need or OCHA toprovide a more consistent and predictable packageo services to HCs and RCs, including the use o standby rosters or coordination support teams andspecialised advisors (particularly in areas o advocacyand protection, which are o ten the skills most difcultto recruit) who can be deployed at short notice. Itis essential that HCs and the broader humanitariancommunity be assured o a minimum level o support in coordination. It is also essential that OCHAaddresses gaps in the quality and quantity o support.Ultimately, i humanitarian leaders are to be e ectivein responding to crises, the ability o OCHA to deploytimely and e ective support is critically important.

4.3 Strength in numbers: The Deputy HCReviews o recent emergency responses havealso emphasised the important support that canbe received through the deployment o DeputyHumanitarian Coordinators (DHCs). Such postscurrently exist in several large emergencies, includingSudan, Chad, Niger, and Haiti, and they can provideimportant capacity or supporting an HCs leadershipin large crises.

In a context such a Haiti, it is clear that these[leadership] unctions cannot be e ectivelydischarged by one person alone, particularlyi that person also maintains responsibilitieswithin an integrated UN mission (in this caseMINUSTAH). Various strategies to support theHC must be considered, which might include theswi t appointment o a Deputy HumanitarianCoordinator, the delegation o the incumbentsother responsibilities to an alternative person, orthe appointment o a separate HC as the situationrequires. The overriding requirement is to supportthe HC unction. 41

41 Inter Agency Standing Committee (IASC) (2010c) Response to theHumanitarian Crisis in Haiti: Achievements, Challenges and Lessons to beLearnt.

Historically the DHC post has attracted controversydue to potential overlaps with OCHAs role. Onoccasions it has been used to make up or a perceivedlack o humanitarian skills in the HC or HC/RC. In suchcircumstances the post risks becoming marginalised;but where both the HC and DHC have relevanthumanitarian competencies, the post bene ts rom aclear ToR that clari es decision-making responsibilitiesand ways o working with OCHA. And where there arelarge or complex crises, it can make a considerable

contribution to humanitarian leadership.Because DHCs are o ten deployed closer to disasterareas, they also have much to o er through theirpotential linkages with humanitarian eld teams anda ected populations. Given the accountability gapsidenti ed earlier in this report, the posts potentialto provide leadership on issues o accountability todisaster victims is too good an opportunity to miss.

Through the deployment o DHCs there is also anopportunity to start to build the skills gap thathas been identi ed in the HC pool, particularly inthe NGO-experienced candidates who o ten havesigni cant humanitarian experience but who may lack

knowledge o the UN system. By deploying HC poolcandidates as DHCs, capacity can be built within theteam while also providing much-needed support tohumanitarian leadership.

5. Identi ying the missing links in thehumanitarian accountability chainGiven the importance attached to accountabilityin the rhetoric o humanitarian re orm, it is curiousthat, beyond the provider o last resort, greaterattention has not been given to the accountabilityarchitecture o the HC (or RC/HC) and HCT. Leadershipcannot unction in an accountability vacuum. Thisis one o the more signi cant challenges to thesystem o UN humanitarian leaders. Time and again,problems raised in interviews that were associatedwith leadership can be mapped back to the weak accountability ramework. In a system characterisedby non-hierarchical relationships between partners,and strong competitive incentives or each o thepartners, there should be little surprise that anaccountability system based solely on hierarchical,vertical lines does not work. While nding workablesolutions to x the mani est gaps in the accountabilitychain will be complex, and will require that individualagency power is ceded or the greater good o thehumanitarian community, there is little doubt that

success in this will allow signi cant progress to bemade in strengthening humanitarian leadership.


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5.1 System-wide accountability There is an important accountability de cit at thesystem-level, with no single person or collectiveentity accountable or achieving humanitariangoals. The RC or HC leads and chairs the HCT, butdoes not have ormal authority over it; and whilethey are accountable or the process o leading andcoordinating humanitarian action, they cannot beheld accountable or the results, as they have noauthority over the agencies responsible or service

delivery. This is urther complicated when the HCTis taken into account: its members who are usuallysenior UN agency or NGO sta are accountableto their Regional Director or Head Ofce or thedelivery o results in the sector or geographic areawhere they work. However, they are rarely heldaccountable or process (such as participation inHCT or clusters) unless they have speci c clusterleadership responsibility. Furthermore, while the ToR

or the HCT speaks to their accountability or bothprocesses and results, it is unclear who should holdthem accountable and so no one does. I the HCTis expected to play a strategic leadership role, then aholistic approach to the accountability o its members

needs be adopted.Experience rom the Cluster 2 Evaluation 42 suggeststhat mutual accountability can orm the oundation

or a success ul team. A rst step to achieving thiswould be or all HCT members to ormalise theirresponsibilities in their respective ToRs. This wouldallow them to be held accountable within their ownorganisation or their per ormance in the team. Itmight also help ensure that members prioritise HCTattendance and duties. Currently it is no surprisethat, when time is short, members put their agencybe ore their HCT responsibilities. Re-working ToRs mayensure that busy country managers ring- ence time

or HCT business. Mutual accountabilities can also berein orced through the use o ormalised work plansthat link to the Common Humanitarian Action Plan(CHAP). Strengthening mutual accountabilities couldalso establish more ormal eedback loops betweenmembers o the HCT and the HC. The importantissue here is the need to ensure that eedback cango in both directions: rom HCT members to the HC

or the delivery o his/her compact, but also romthe HC to the HCT members or their engagementin and delivery o tasks associated with the HCTwork plan. Joint objective-setting between HCTmembers (including the HC) would be the ultimategoal, as it would allow the team the greatest possibleopportunity o working towards common objectives.

However, mutual accountability can only go so ar;and it will only be through strengthening collective

42 Streets J et al (2010) Cluster Approach Evaluation 2: SynthesisReport , Urgence Rehabilitation Development and Global Public PolicyInstitute.

accountability or humanitarian action that it willbe possible to make a step change in the strengtho humanitarian response. On this issue the resultso the online survey are encouraging, with almost90% o respondents agreeing that leadershipand coordination would bene t i humanitarianorganisations gave greater priority to broadhumanitarian response objectives over individualagency interests. The challenge this presents tothe humanitarian community is how to move rom

rhetoric to reality. While discussions on the issueremain in their in ancy, with the establishment o regional IASC teams, and with a growing numbero international NGOs having set up regionalmanagement structures, there is the potential to trialinnovative ways to strengthen team accountability toa regional management mechanism.

One such solution to lling the accountabilitygap is being pioneered in South A rica. The HCTis held accountable by a Regional Humanitarian Team, composed o Regional Directors o relevanthumanitarian agencies. This approach builds onagencies existing accountability lines, as many UNand non-UN agencies have a Regional Directorposition with line management responsibility orCountry Representatives. It also dovetails with theaccountability system or RCs and UN Country Teams,which centres on UN Regional Directors Teams(RDT).43

A central message o the research is that in orderto be e ective, humanitarian leadership willrequire considerably strengthened teamwork andtransparency, and that i the community is to work beyond its constituent parts, change will be necessary. The key challenge here is whether members o thehumanitarian community are willing to stretch theiraccountabilities and cede power to the broader

humanitarian system at a time when the sector isconsidered by some to be becoming ever morecompetitive, and when demands on the time o seniorhumanitarian sta are becoming ever greater.

5.2 Accountability to crisis-a ected communitiesIn addition to reviewing vertical and mutualaccountabilities, there remains a considerable de citin accountability to people a ected by crisis, andwho are in need o (or are receiving) aid. Evaluationsregularly re er to the ailure o the humanitariancommunity to place sufcient emphasis on thisline o accountability; and yet it seems difcult tomake headway. It is noteworthy that the HC ToRmakes re erence to the importance o this line o accountability, and that the IASC Guidance Note orHCTs goes urther, suggesting the need or the groupto establish mechanisms to achieve this.

43 Its important to note that the transition o reporting lines is awork in progress that is gradually becoming a reality.


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The HC is ultimately accountable to thepopulations in need. 44

The HCT is ultimately accountable to thepopulations in need. Appropriate andmeaning ul mechanisms should be designed andimplemented at the local level to achieve thisgoal. 45

Interviews with HCs and HCT members drew mixedreactions to these responsibilities. Some asserted that

it was not possible to deliver this at such a high level;others considered it a central priority, and bemoanedthe inability o humanitarian re orm mechanismsto prioritise such an important aspect o theirwork. In its report on UN leadership, the Centre orHumanitarian Dialogue provides an apt description o the contradiction.

While mandates requently re er to themost vulnerable and disadvantaged, thesebene ciaries o the UN seldom play a signi cantrole in evaluating UN per ormance. While they aresometimes re erred to as clients or stakeholderpopulations, there is no systematic and rigorousattempt as there is with clients in the privatesector to collect and analyse their views andadjust programmes accordingly. 46

The responses received to the online survey indicatethe low expectations that humanitarian sta haveo HC success in resolving the de cit, and testi y tothe limited progress that agencies themselves havemade in consistently delivering against this line o accountability. 47 While steps have been taken to plugthis most glaring o gaps in some organisations,collective progress across the humanitariancommunity can be described as patchy at best. Theresearch suggests that there is little question aboutwhether bene ciary accountability is important; what

appears to be more difcult is to conceive appropriatemechanisms to engage meaning ully.

It is a recommendation o this paper that the statusquo is untenable, and that there is an urgent need

or practical ways to be identi ed to per orm thisaccountability unction. HCs and HCTs can little a ord

44 Inter Agency Standing Committee (IASC) (2009c) Revised Terms o Re erence or the Humanitarian Coordinator , HumanitarianCoordination Working Group.45 Inter Agency Standing Committee (IASC) (2010b) Guidance or Humanitarian Country Teams , endorsed by the 75th IASC WorkingGroup on 18th November 2009.46 Hochschild F (2010) In and Above Con ict: A Study on Leadership inthe United Nations , Centre or Humanitarian Dialogue.47 51.4 % o respondents considered that HCs had ailed to deliveragainst this aspect o their ToR, compared with 12.3% who consideredthat HCs had been success ul. Agencies scored their own e ortshigher, with 41.1% o respondents considering that some success hadbeen achieved, against 19.7% who considered their agencies e ortsunsuccess ul. These percentages were considerably less than those inother areas, including participation in coordination orums, de endinghumanitarian principles, and working in partnership.

to work in the absence o eedback rom the peoplethey are seeking to assist; cluster evaluations havemade clear the importance o making headway inthis, and a growing number o organisations acrossthe humanitarian sector have made a commitment tothis by signing up to Codes o Conduct and minimumstandards, or through a ormal commitment toaccreditation by the Humanitarian AccountabilityPartnership (HAP).

The sector has generated many good practice casestudies into how the views o a ected people canbe captured, and how eedback can be elicitedand meaning ully in orm decision-making abouthumanitarian response. 48 The key decision lies withHCs and HCT members: they will need to agree thatsuch eedback is important or supporting theirleadership unction. The research ndings stronglysuggest that ailure to elicit and incorporate the viewso a ected people would be a grave error.

6. Humanitarian principles andpragmatism in a complex world

6.1 Its not all about the hat The breadth o the humanitarian leadership rolehas been an issue that has historically divided thehumanitarian community, with the number o hats the post-holder wears being the contentiousissue. The online survey suggested that there is stillconsiderable unease about merging the HC andRC roles49; and this concern is also elaborated inSave the Children UKs recently published report onhumanitarianism.

The RC is obliged to maintain good relationswith a host government, while the HC must press

or an e ective humanitarian response based onneed, even in the ace o government disapproval,particularly around humanitarian access or oodsecurity. This presents an RC/HC with a potentialconfict o interest. In contexts where hostgovernments are attempting to exercise greatercontrol over humanitarian response,... this splitmandate impairs the ability o an HC (the mostsenior humanitarian in a country) to stand up orhumanitarian independence. 50

The issue continues to raise considerable concern incomplex and politicised humanitarian environments,due to the perceived dilution o humanitarianprinciples and the potential or de-prioritisation o the

48 See, or example, Steering Committee or Humanitarian Response(SCHR) (2010) SCHRPeer Review on Accountability to Disaster-A ected Populations: An Overview o Lessons Learnt , Geneva, Switzerland.49 The separation o RC and HC roles received the second highestnumber o responses to the question, What do you consider to bethe most important action that could be taken to strengthen UNhumanitarian leadership?.50 Save the Children UK (2010) At a Crossroads: Humanitarianism or the Next Decade , International Save the Children.


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humanitarian mandate. But there is also a growingacceptance by some that, in certain circumstances,the political role o an RC i used appropriately canstrengthen humanitarian action rather than weakenit. The decision to open up the HC appointmentprocess to greater IASC participation provides argreater opportunity or constructive engagementby humanitarian stakeholders on the issue o humanitarian leadership. This is encouraging; but earswill only begin to be assuaged i recruitment practices

are changed to ensure that those tasked withhumanitarian leadership responsibilities (irrespectiveo the number o hats worn) are recruited with therequired skill-set, and are provided with adequatesupport to deliver them success ully.

6.2 Collective commitment or coexistence? The humanitarian advocacy component o an HCs ToR emphasises the importance o ree, timely, sa eand unimpeded access by humanitarian organisationsto populations in need, and underlines theimportant role o promoting respect o internationalhumanitarian and human rights law by all parties. This is one the most complicated aspects o humanitarianleadership, and it has the capacity to polarize thehumanitarian community.

The humanitarian enterprise is itsel dividedon the extent to which core principles should berespected, particularly in the more asymmetricaland intractable crises they have to con ront. Thisdisquiet a ects the quality and coherence o theassistance and protection provided. 51

While the number o hats an HC wears may impacton his or her ability or willingness to de endhumanitarian principles robustly, the variousmembers o the humanitarian community o ten dolittle to help themselves. In some o the most complexhumanitarian environments, where there is thegreatest humanitarian need, the lack o a collectiveunderstanding o and approach to promoting andde ending principles is one o the most signi cantchallenges acing humanitarianism.

...there is concern in some quarters that,recently, the judgement o mixed-mandateagencies has put principled humanitarianism atrisk. By accepting unding rom warring part

Fit for the Future - Strengthening the Leadership Pillar of Humanitarian Reform

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