HUMANITARIAN RESPONSE PROCEDURE

Tool Title: Humanitarian Strategic Response Planning

Linked to: Response Management Procedure

Version: 2.3

Approved Date: August 31, 2016

Approved by: Matt Croucher/Aleksandar Turoman

Author: Tanya Strongman/Colleen Malone, edited by Jasmine Whitbread

Review Date: August 31, 2017

ContentsWhat is a Humanitarian Response Strategy?............................................2Why is it important to develop one?..........................................................2

Developing a Response Strategy.....................................................................3Who, what and when?...............................................................................3Documents to guide the process...............................................................4

Communicating the Response Strategy...........................................................6Share internally.........................................................................................6Share externally........................................................................................7

Regional Response Strategies.........................................................................7Overview of the Response Strategic Process...................................................8Annex 1: Template Overview.........................................................................10Annex 2: Humanitarian Response Strategy Template...................................11

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Introduction

What is a Humanitarian Response Strategy?A Humanitarian Response Strategy is a coherent set of program activities (including all elements of our theory of change) designed to achieve a specified goal or set of objectives. The response strategy establishes the parameters of Save the Children’s entire operation in a given humanitarian context, and ensures that Save the Children’s humanitarian programs are 'strategic' and based on the specific context being faced. The strategy should be based on an analysis of Save the Children’s ‘value added' in terms of our contribution to addressing the humanitarian needs. It should also provide a clear analytical basis for deciding what to do and what not to do.

Why is it important to develop one?A Humanitarian Response Strategy is important because it:

Provides focus and direction to a response:

ensures that our plans are sufficiently ambitious in order to meet our humanitarian goal and essential standards; but also

outlines what we will NOT do, recognizing that often we will not be able to do everything that is required to address all humanitarian needs in a particular place. Choices need to be made to ensure that our efforts are concentrated and targeted to be as effective as possible, and that they complement the efforts of the national government and other relief organizations.

Ensures collective ownership:

The process of developing a response strategy ensures collective ownership among the key stakeholders across the organisation (i.e. response team, CO, RO, the centre, members, partners etc.) and commitment from all those responsible for delivering a successful response.

Ensures that a response is coherent, effective and accountable:

Helps contextualize and adapt our response to the specific conditions of the emergency. Every context is unique, and responses must be designed to meet the needs and challenges posed by the particular emergency situation;

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prevents ad hoc and reactive responses that are not based on sound analysis, thus helping to avoid a poorly coordinated program; and

Helps think through the implications of the emergency response to Save the Children’s already existing projects and programs in the country, and how to adjust them accordingly. 

Provides a basis for Save the Children to review the effectiveness of our response periodically and at closure against intended goals and outcomes

Supports decision making and program/proposal design:

Provides a framework for a structured and transparent decision-making process, which is vital in the fast-moving and confused environment of an emergency.

Aids effective scale up and overall response management:

Outlines the overall framework for Save the Children’s response, allowing operational plans to be developed that are adequate to support the desired scale and scope of response. The strategy helps drive the appropriate scale-up of all other functions/departments. For example, it allows logistics, human resources and other support functions to plan for a scale-up commensurate with the goals outlined in the strategy.

Supports communication and fundraising:

Helps communicate Save the Children’s intentions and activities to a wide range of stakeholders, both internal and external. In particular, it defines our role within a humanitarian response to fill critical gaps, while at the same time informing other key stakeholders where we believe our capacity lies; and

Provides a framework for fundraising and proposals, to ensure that funds raised can support priority activities and needs, and helps avoid funding being accepted for inappropriate activities.

Developing a Response Strategy

Who, what and when?The development of a response strategy is a process that evolves over time. Save the Children has divided the process into three distinct stages.

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Stage Issued Category 1

Category 2

Category 3

Category 4

Strategic Statement

Within the first 48 hours

Mandatory Mandatory Default Optional

Preliminary Response Plan

Within the first 2 weeks

Mandatory Mandatory Default No

Response Strategy

Within the first 4-6 weeks

Mandatory Mandatory Default* No*

*For category 3 & 4 responses a response outline rather than a full response strategy may be sufficient.

The Strategic Statement is the first public document produced by the Country Office after categorization. It summarizes the context, and establishes preliminary response plans, initial resource requirements and any other factors that will affect the ability of the Save the Children to meet humanitarian needs effectively. In Category 1 and 2 responses, the Strategic Statement is approved and communicated by the HD, to align the entire organization around the response strategy as soon as possible in the initial stages of the emergency. In a slow-onset disaster, a Strategic Statement consolidates and sharpens earlier decisions and communications.

The Preliminary Response Plan expands the information provided in the Strategic Statement and sets out an initial planning framework for response operations and support for donor decision-making. It defines the response’s objectives in more detail and sets the direction of the Response Strategy.

Finally, the Response Strategy is a comprehensive plan of action for dealing with the crisis, supported by evidence. It defines priorities, gaps and accountabilities and includes a detailed budget. It is developed through a collective and consultative process. The Response Strategy should inform decision-making at CO, RO and centre levels, as well as by members. It is required that this document will be revisited and revised (normally after 6 months) during the response based on the changing situation, and the increasing availability of information and analysis. The

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response strategy is also used during the RTR and evaluation of humanitarian action to evaluate the response.

Each stage in the process should be led by the in-country Response Team Leader (RTL) or equivalent. The broader Country Office team, including the assessment team, key operational, support services and relevant technical staff, including technical backstops, provide inputs. Each strategy document is approved in the management line: CD to RD for Category 3 and 4, up to IP Director for Category 2 and 1, and in the case of Category 1 it needs final endorsement by the Humanitarian Strategy Group (HSG). Seek support from your assigned operation backstop and, for larger scale responses, also from your assigned technical backstops. For the Response Strategy, the relevant Global Initiatives should be engaged for input and review.

Documents to guide the processWhen developing the strategy there are a number of key documents that should be used to guide the process. All documents referenced below can be found on the Quality Framework site on OneNet (see Humanitarian Preparedness and Response section).

Save the Children’s Approach to Humanitarian ResponseThe response strategy must be aligned with the guiding principles outlined in this document. This includes Save the Children’s own approach as well as the common humanitarian principles to which we are committed. When developing the response strategy, consider how these principles need to be applied in the specific context of the crisis. It will not always be feasible to address every principle, but consideration should be given to how Save the Children’s response could and should apply as many principles as possible.

Essential StandardsAny Save the Children humanitarian response must meet all relevant essential standards. Of particular relevance to the strategic process is Essential Standard 34:

Essential Standard 34: Quality Response For all categorized humanitarian crises a quality response is delivered:

- by implementing programs in time to save lives

- targeting 20% of the total affected population and 25% of affected children

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- addressing all sectors with assessed gaps

- designing programs to meet humanitarian sector technical standards

- developing plans for transition to longer term programming where appropriate.

Response Management Procedure

The strategic planning project is governed by the response management procedure. Refer to the procedure for more information on where and how strategic planning fits into the overall management of the response.

Humanitarian Categorization Document

Categorization is the process by which Save the Children defines the humanitarian impact of a particular crisis and determines the overall level of organizational response that we need to launch to meet Essential Standard 34, Quality Response. The purpose of this procedure is to outline the process of categorization for rapid onset, slow onset and chronic crises, who is involved and how a decision is made. It is important to note that categorization is just one step in Save the Children’s overall humanitarian response management system and as such should not be considered in isolation.

Humanitarian Technical Sector Resources

Within two weeks of categorization, sector program plans and the overall sector implementation plan must be complete, with targets broken down by location and by month. The overall sector implementation plan is a critical resource when developing the preliminary response plan and the response strategy.

Refer to technical sector resources such as:

Assessment toolkit Field Guide to Humanitarian Mapping Frequently Asked Questions on International Humanitarian, Human Rights

and Refugee Law in the context of armed conflict HIV mainstreaming guidelines (IASC) How to guide to conflict sensitivity Integration guidance toolkit Practitioner Guidelines on the Integration of DRR and CCA into Sector-Based

Programs Program flow chart Psychological First Aid Training Manual (SC Denmark)

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Quality Checklist for Proposal Review Sector standard tools: Child Protection, Education, FSL, Health, Nutrition,

Shelter, WASH Sector program planning template (put this first) Emergency Standards for Child safeguarding in emergency guidance note Safe programming guidelines Would be good to have: Supply chain management plan template. Education cluster lead guideline. Security management plan. MEAL docs/guidelines Advocacy plan/guideline Media/communications guidelines & plan Sector logframes.

Emergency Preparedness Plan and Country Strategic Plan

Consult the EPP for draft inputs, particularly for the Strategic Statement, and adapt to the actual situation. Consult the Country Strategic Plan to ensure links to the Country Office’s existing long-range strategic plan.

Communicating the Response StrategyShare internallyAt each stage of the strategy development process, once signed off the allocated operations backstop will facilitate the document’s broader distribution to SCI distribution lists such as Humanitarian Bulletin, HSG, Global Themes etc. (refer to distribution lists). All Cat 1 & Cat 2 strategic statement must be communicated by the HD to the CEOs and SLT. Communicating the strategy to internal stakeholders helps to ensure that Save the Children’s resources are mobilized in a coordinated way to support priorities defined by the Country Office/Response Team.

Share externallyThe Country Office/Response Team should also share the strategy with key external stakeholders, including donors, the host government, partners and peer NGOs. Communicating the strategy to external stakeholders helps to ensure that Save the Children informs other actors of where we believe our capacities lie, the humanitarian needs we will address and what gaps in the overall response we can fill. This promotes better interagency coordination of activities, helps donors know what activities require support and helps negotiate our role with host authorities.

If sensitive issues are included in the strategy analysis, a different version may sometimes need to be prepared for external audiences. The Country Director or

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Response Team Leader should determine to which external stakeholders the strategy will be sent.

Regional Response StrategiesIn the event of a regional response, a regional response strategy should be created that provides the overarching approach to the response. it is not necessary to complete a regional Strategic Statement or Preliminary Response Plan. For each section of the Response Strategy, a regional perspective should be taken, i.e. not simply compiling the individual country plans. Some discretion will be needed to determine what to include and what to omit from the template, and additional sections may be required according to the context. The regional response strategy should be completed around the same time as the individual country strategies (i.e. within 4-6 weeks following categorization), and reviewed and updated as necessary. See the Syria Regional Response Strategy for an example.

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Overview of the Response Strategic ProcessTimeline

Document Purpose Lead

Involved Reviewed by Sign Off Authority

Within 48 hours

Strategic Statement

Suggested timeframe - 90 days

Recommended length – 2-5 pages (plus annexes)

Provides initial indication of the scope and scale of the humanitarian crisis

Establishes preliminary objectives / guidance for what we want to do and what we want to say (drawing on initial situational analysis)

Outlines initial proposed intervention and resources required (financial, HR and supplies)

RTL CO HRT (technical, operations and support service functions)

CO SMT HSG, IP

Dir + CEO for Cat 1 & 2.

CD Operations

backstop

CD apart from Cat 1+ 2 = HD

Within first 2 weeks

Preliminary Response Plan

Suggested timeframe - 6-12 months

Recommended length – 5-10 pages (plus annexes)

Provides more detailed information on areas covered by the Strategic Statement

Includes preliminary programme response

Communicates preliminary coordination and funding requirements

Provides preliminary information on programs and costs, enabling donors to take early decisions

Ties initial program planning to the overall objectives outlined in the

EMG or REMG

Operations backstop

Technical backstops

EMG or REMG

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Strategic Statement and problem analysis, creating a framework for sound coordination

Within weeks 4-6

Stage #3 Response Strategy

Suggested timeframe - 1-3 years

Recommended length - 10-15 pages (plus annexes)

Sets priorities and confirms the overall objectives of the humanitarian response

Articulates and provides a detailed overview of the needs of the affected populations and the parameters of the response

Links the objectives of the response to programs

Provides detailed funding requirements

Makes clear how each area of work will be coordinated

Provides objectives, indicators and targets for monitoring and evaluating progress

Indicates how the response will provide a path into recovery

Determines the support required to deliver the response (people, money, supplies)

As above, and reps from each relevant Global Theme

CO apart from Cat 1+2 = HD

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Annex 1: Template OverviewEach stage in the strategic planning process is designed to build on the previous one; the strategic statement has fewer sections (with less detail) than the preliminary response plan, and so on. In the first few days information will be minimal but as time goes on, the picture will become clearer and your plans will evolve accordingly. The template in Annex 2 is designed to support this evolution.

Template Section Strategic Statement

Preliminary Response Plan

Response Strategy

Summary No Yes Yes

Executive Summary No No Yes

Background and Context

Yes Yes Yes

Scenarios No No Yes

Problem Analysis No Yes Yes

Response Framework Yes Yes Yes

MEAL No No Yes

Operational Approach No Yes Yes

Coordination No Yes Yes

Logistics No Yes Yes

HR No Yes Yes

Security No Yes Yes

Child Safeguarding No Yes Yes

Finance and Funding Yes Yes Yes

Communications, Media and Advocacy

Yes Yes Yes

Risk Analysis No Yes Yes

Review No Yes Yes

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Annexes No Yes Yes

Annex 2: Humanitarian Response Strategy Template

Instructions This template is designed to be used for all 3 of the stages of the strategy

development process (Strategic Statement, Preliminary Response Plan and finally the Response Strategy). Refer to Annex 1 to learn which sections you should complete for each stage.

Please note this is compulsory Each section includes guidance on the content and level of detail required at

each stage of the process. Send the initial Strategy Statement as soon as possible (within 48 hours after

categorization) to the Humanitarian Operations Backstop or if not yet assigned to the Regional Humanitarian Director for wider circulation to SCI and the membership.

1. SummaryType of document (Strategic Statement, Preliminary Response Plan,

Response Strategy – delete as appropriate)

Response name (include the type of intervention, country/districts)

Response code (SCI RO/centre generated)

Timeframe (start and end date)

Target Funding (USD)

Target beneficiaries (referring to scale target in Essential Standard 34)1

Supporting documentation

Key Contacts (include CO, RO, Media, Security focal points)

1 Response will directly address the needs and rights of 20% of the affected population and 25% of the affected children.

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Date

2. Executive Summary This section should summarize key information: goal, target beneficiary numbers, top priority needs and proposed sectors of Save the Children response (1 page max).

3. Background and ContentProvide an overview of the situation including a map of the affected area if possible

Level of detail

Strategic Statement2

Type/nature of the crisis (sudden onset – i.e. flood, earthquake, cyclone, conflict displacement, disease outbreak or slow onset – i.e. drought, nutrition/food security)

Location Total estimate of people affected (overall and severely

affected) and number of affected children Scope/size of damage/impact Whether Save the Children is operational in the affected

area Government/local response capacity

Preliminary Response Plan

In addition to updates to the above, include:

Background to the situation and how it has evolved since the crisis occurred

If there is an ongoing conflict in the area, short background and main stakeholders

Save the Children presence in the location (number of staff, current projects and sectors)

Key operational challenges Other agencies present in the area

Response Strategy

In addition to updates to the above, identify critical issues related to the crisis or operational context that may have implications for response programs and operations: What is unique about the operating context? What particular government policies or regulations exist

that may affect the response of international NGOs? Are there particular obstacles to the involvement of

2 Much of the information for this section can be drawn from the categorization announcement, updated as necessary.

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international NGOs in the response? What are the particular sensitivities and risks that Save the

Children needs to be aware of? Are there any particular cultural considerations in the

country that will affect programming decisions?

4. Scenarios With a view to ensuring that Save the Children’s program strategy is adaptable to context changes, outline at least three potential scenarios that could develop. The scenarios should be based on ‘best case', ‘most likely' and ‘worst case' scenarios.

When developing the scenarios consider the following questions: What are the likely triggers for change(s) in the situation?  What are the environmental conditions affecting the response? In the case of a

natural disaster, is there potential for another disaster event (for example, a secondary cyclone or earthquake) or for conditions to worsen (such as continued rains)?

In conflict-related crises, is there potential for the conflict to escalate? What would be the impacts of an escalating conflict on the population? What would be the impacts on relief efforts?

What are the possible political reactions in each scenario? How would these affect relief efforts?

What are the views towards international aid agencies among the general population, government authorities and political groups?

What are the likely response scenarios-what would happen if there is not enough aid committed, or alternatively too much?

5. Problem Analysis Level of detail

Preliminary Response Plan

Summarize immediate needs and/or specific longer-term needs

Describe Save the Children needs assessments: where, when and a summary of the key findings. Attach the assessment report if possible.

Outline key findings from government and other agencies’ assessments

Estimated number of people affected by location (if possible categorized by gender, age, and other fundamental characteristics of the planned target

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population) Humanitarian coverage and gaps - interventions of other

main agencies (who, what, where) Any possible issues related to access to beneficiaries

Response Strategy

Expand on/update the information provided above

6. SC Response FrameworkProvide details of the interventions Save the Children is planning (this should be a summary of the detailed sector program plans and overall sector implementation plan).

Level of detail

Strategic Statement

Provide a short description of Save the Children’s current program footprint in country and the intervention Save the Children is planning:

Number, type and location of current sectors of operation Planned response sectors Target locations Target beneficiaries, taking into account the scale target in

Essential Standard 34Preliminary Response Plan

Provide a short description of the intervention Save the Children is planning:

Overall response goal Planned response sectors Target locations, including map Target beneficiaries, taking into account the scale target in

Essential Standard 34 Outline of sector plans, including objectives, activities and

results for each sector, taking into account quality technical programming benchmarks such as cross-sector integration and international standards (Sphere, CHS)

Response Strategy

In addition to updates to the above include:

More detail on target locations and target groups

Include a more detailed map if available How flexible are the locations? Priorities and principles

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of where to go/when Beneficiary targeting principles

More detail in the sector breakdown

Under each sector, include: problem summary, objectives, results, activities (description if possible), target beneficiaries, location(s), coordination with clusters, topline $ amount needed

For each sector, describe how disaster risk reduction, child participation and child safeguarding will be integrated into planned objectives, results and activities. In settings with high (over 5%) and medium (1-5%) HIV prevalence, HIV mainstreaming plans should also be included.

Engagement with Global Themes (GTs) Key areas of concern/focus for each relevant GT in the

response Areas requiring further study and/or support from each

GT

Transition/exit/handover strategy Include possible indicators for exit/handover, monitoring

systems for measuring progress towards exit/handover conditions, and identification of capacities to be built and left behind when Save the Children’s response ends.

7. Monitoring, Evaluation, Accountability & Learning Program monitoring and evaluation is the key to ensure that Save the Children’s programs remain relevant and to understand the impact they are having. Detailed practical guidance on monitoring and evaluation, accountability and learning are provided on the MEAL OneNet page and by the Humanitarian MEAL requirements tool.

In this section include:

Summary of MEAL sector plans Description of learning processes established or planned for the response Summary of beneficiary accountability mechanisms and complaints handling

process established or planned

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Initial plans, if available, for the Real Time Review, After Action Review, Evaluation of Humanitarian Action or any other reviews as relevant

Any other general MEAL needs or issues

8. SC Operational Approach A program strategy will only have good outcomes if it is also translated into appropriate operational plans and management decisions as quickly as possible.

Level of detail

Preliminary Response Plan

Outline current management including field offices structure

Provide brief description of operational approach (i.e. direct implementation, work with key partners etc)

Response Strategy

Define management including field office structure for the response

Outline the process for scaling up operational and support systems (including logistics, human resources, award management, media and communications) to meet the strategy goals

If the response will be implemented through partners, specify partners’ names, their capacity and additional support they might require

If the response will be directly implemented, provide detail on how Save the Children will deliver the planned interventions

9. Co-ordinationLevel of detail

Preliminary Response Plan

Briefly describe existing coordination systems, including whether cluster system has been activated

If the cluster system is activated, indicate whether Save the Children is co-lead of the education cluster (and if not, who is)

In addition to the education cluster, any other clusters or coordination mechanisms in which Save the Children is taking a leadership role

Response Strategy

Any critical coordination issues (within the cluster system or other coordination mechanisms) that are impacting the response

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10. Logistics

Level of detail

Preliminary Response Plan

Update the response supply chain structure (procurement and warehouse hubs, modes of transport)

Supplies in the pipeline Any other critical logistics issues

Response Strategy

Finalized supply chain structure after the initial response, including improved infrastructure and increased access, or other factors as relevant

Any other critical logistics issues

11. HRLevel of detail

Preliminary Response Plan

Provide proposed response management structure Outline critical capacity gaps Attach current deployment tracker Attach updated Country Org Chart

Response Strategy

Projection of HR needs (particularly international staff recruitment) and summary of succession planning

Capacity building requirements and plans Summary of staff wellness plans Attach updated Country Org Chart including final response

management structure

12. Security

Level of detail

Preliminary Response Plan and

Response Strategy

Describe key security issues/environment Outline security management system in place Describe how the recommendations/mitigation measures

from the safety and security assessment are being integrated into program plans and the strategy

Any other critical security issues

13. Child Safeguarding

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Level of detail

Preliminary Response Plan

Key child safeguarding concerns/risks to be addressed or assessed further and necessary mitigation measures

Child safeguarding capacity gaps Response Strategy

Update on key child safeguarding concerns Finalized child safeguarding strategy for the response and

implementation plan, including accountabilities

14. Finance and Funding

Level of detail

Strategic Statement

Estimated current portfolio value Top level seed funding budget (updated as necessary from

categorization announcement)Preliminary Response Plan

Overview of funding strategy Briefly describe which donors are present and what is the

funding situation Based on the preliminary Master Budget, include a topline

budget for the proposed response, covering all sectors (and mainstreamed programming such as child safeguarding) as well as operational and support costs (supplies, staff, logistics, security, office support etc)

Include funding tracker i.e. confirmed, likely, speculative funding

Outline participation in CAP or Flash appealsResponse Strategy

In addition to updates to the above:

Include donor mapping Summary of proposed response budget by sector Attach final Master Budget Attach updated funding tracker

15. Communications, Media & Advocacy Level of detail

Strategic Statement

Guidance as to what we want to be saying – about impact for children and what needs to be done to secure children’s rights (and flagging any sensitivities about we do not want to be saying, to ensure impartiality etc).

Include initial advocacy statement if available

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Preliminary Response Plan

Guided by the above,

Describe overall communications and media approach, including objective(s) and staffing structure

Describe advocacy approach and key messages, and specify whether any messages are for private advocacy only; ensure child safeguarding issues are included as relevant

Any other critical communications, media or advocacy issues

Response Strategy

Update the above

16. Risk Analysis Save the Children’s programming strategy should consider key risks facing the response and ways to mitigate those risks. Include and update a matrix that identifies:

Key risks; ensure child safeguarding risks are included in this list Timeframe for risks (i.e. defined timeframe or for the life of the response) Mitigation measures Accountabilities

17. ReviewIndicate when the document will be next reviewed and updated. This step is critical and should not be over-looked, as the response strategy must reflect the evolving humanitarian situation.

Consideration should also be given to the review of the response. The planning of the OCR, RTR, sector evaluations by backstops should be included in the response plan.

AnnexesAnnexes (add as relevant)

Preliminary Response Plan

Assessment report(s) Updated Country Office Organogram (including response

management structure) Updated map of affected area Current deployment tracker

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Response Strategy

Assessment report(s) Updated Country Office Organogram (including final

response management structure) Master Budget Topline work-plan Updated map of affected area Updated funding tracker Updated deployment tracker Updated Supply Chain Plan

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