Transcript Strengthening the Role of the United Nations System in

JIU Review on Strengthening the
Role of the United Nations System in
Humanitarian Assistance
for Disaster Reduction and Response
Lessons Learned from the Response to the Indian Ocean
Tsunami and Support for the Hyogo Framework of Action 20052015
Preliminary Findings and Conclusions
By Tadanori Inomata, Inspector,
Joint Inspection Unit of the United Nations System
1
I. Introduction

About Joint Inspection Unit
Only Independent System-wide Oversight Body for
Strengthening Oversight Function of the UN system Organizations
Current work:
- Development of system-wide management criteria and accountability
principles
- Application of result-based management in agency management in ILO,
WIPO and PKOs
- System-wide coordination Issues

Purpose of presentation
- Provide settings for exchange of views and
information with members of IATF; and
- Test Hypothesis, Preliminary Findings &
Conclusions
2
The Purpose of the report

Strengthening the role of the United
Nations system to coordinate and support
international cooperation for disaster
reduction and response through:
- Improved measures of integrated
programme and resource management
and coordination; and
- Streamlining and standardizing
operational, administrative and financial
practices related to disaster reduction and
response.
3
Organization of work





Questionnaires: OCHA,ISDR; UN system Org.; and
Humanitarian NGOs, ADB
Field missions: Tsunami affected areas ( Thailand,
Indonesia and India) June; and Central America (CR
and Panama) Sept.
Interviews with Representatives of Agencies; Heads
of OCHA, ISDR, ESCAP, ASEAN, WB, DPKO, UNDP,
UNICEF, IFRC, WFP, NGOs;
Bilateral donors and aid agencies:, CIDA JICA, SIDA,
UKDFID and USAID.
Consideration of the Report by ECOSOC and UNGA
2006
4
Ｄｉｓａｓｔｅｒ
Disaster “means a serious disruption of the functioning
of society, posing a significant, widespread threat to
human life, health, property or the environment,
whether caused by accident, nature or human activity,
and whether developing suddenly or as the result of
complex, long-term processes”
 Disasters on rise
Exponential growth in IDPs in civil wars and natural and
epidemic hazards

[Note] Definition provided for in paragraph 6 of Article 1 of the Tampere Convention
on the Provision of Telecommunication Resources for Disaster Mitigation and
Relief Operations, adopted at Tampere, Finland, on 18 June 1998 (The text of the
Convention is published by the International Telecommunications Union).
5
Disasters on rise
Exponential growth in Internally Displaced Persons (IDPs) in
civil wars and natural and epidemic hazards
Armed Conflicts
1946 to 2003: 229 in 147 countries, only seven were inter-sate
1989 to 2003: 116 in 78 countries
Annual number of civil wars:
7 in 1952 to 49 in 1991, 22 in 2003

IDPs
1.2mn in 1982 to 25mn by human right abuse (against 13.4mn
refugees)
52% in Africa, 80% women & children
plus 25mn by natural disasters in 2004

Natural Disasters
20 major disasters in 1950s with $38bn damage to 82 with $535bn
in 1990s
Affected persons grew from 70mn in ’70s to 213mn ’90s; 90% were
in Asia.

6
Size of Total Resources of the United
Nations system



The United Nations system devoted little more than US$3 billion in 2003 to
the operational activities in the humanitarian sector, representing 30.3 per
cent, the highest share in the total resources available for development
which stood at US$ 9.97 billion. Its share grew from 23.6% in 1993, showing
an annual growth by 15.3 per cent compared to the compound average of
7.4 per cent growth in the other developmental areas and was being
accelerating over the last five years (1999-2003)[1].
The un-ear-marked resources contributed to the United Nations system
represented minor part recently declining to 15 per cent of the world total
resources used for humanitarian assistance in 2003, compared to over $ 5
billion bilateral humanitarian assistance. In most Consolidated Appeals,
some funding goes outside the appeal. In the case of the Tsunami, the
contributions received outside the Appeal were six times the total requested
in the appeal.
Three major trust funds under OCHA’s management total to $130 mn in
2004.
[1] Report of the Secretary-General, Comprehensive Statistical Data on
Operational Activities for Development for 2003, A/60/74-E/2005/57, 6 May
2005, Paragraphs 48-58.
7
Total Resources of the UN system
US$ 15.9 billion in 2003
Development Assistance including
Disaster Risk Reduction
(includes prevention/recovery/ reconstruction)
US$ 10.2bn
UNRB,
Specialized Agencies
Emergency
Humanitarian Assistance
Peace-keeping
US$ 3.4bn
US$ 3.0bn
US$2.7bn*
Funds & Programmes
US$ 6.8bn
Emergency Response
(Humanitarian/peace-keeping operations)
US$ 5.7bn
* Includes the costs of the international criminal justice
tribunals for Rwanda and the former Yugoslavia
8
UN system’s role in DRR
Comparative advantage of the UN system vis-à-vis
bilateral assistance is:
 Global instrument of international goods:
provides humanitarian assistance in a nonexcludable and non-rivalrous way on time, to all
victims, without discrimination, and regardless of
gender, race and nationality; and
 Implementation of Guiding Principles: humanity,
neutrality, impartiality and independence in GA
RES 46/182 of 19 December 1991
9
Scheme of the JIU Review
In view of the experience from the Indian
Ocean Tsunami response, identify
constraints on the implementation of
humanitarian principles: legal, cultural,
logistical and financial through the review
of:
 Principles in humanitarian assistance for
DRR and
 Management framework : resource
management and governance
10
II.1 Principles and Process on Trial:
Lessons Learned from Tsunami Efforts
Effectiveness

Success : No significant secondary loss of life and large-scale epidemics averted, but
assistance was supply driven and disjointed at the recovery stage; and
Unprecedented scale of positive response to the Flash Appeal due to global impact of the
disaster (many victims were foreigners and tourists).

Inadequate application of the humanitarian principles and the related guidelines at the field due
to the difficulties as regards:
(a) Low level of understanding by the affected countries of the framework and procedures of the
United Nations Humanitarian system;
(b) Lack of unequivocal legal and institutional framework for national disaster preparedness and
management plans in the affected countries and lack of international early warning system;
(c) Inadequate application of minimum standards of assistance to IDPs and absence of need for
access to humanitarian information;
(d) Uneven understanding and implementation of community-based approach to recovery and
disaster preparedness;

Large scale impact of the Tsunami disaster caused difficulties to ensure smooth transition from
response to recovery through reconstruction requiring more punctual function to be discharged
by the RC/HC; and

Lack of central coordinating authority among international relief workers in affected countries:
reliance on military assets for air transport and delay in recovery planning.
11
II.2 Review of principles and Regulatory
Framework

Except for the Tampere Convention on the Provision of Telecommunication
Resources for Disaster Mitigation and Relief Operations (1998), there has been no
single universal convention concluded on disaster reduction and response. The
present state of international disaster law is a patchwork of over 130 diverse
instruments between European nations. A body of international disaster law is
needed.






The GA is yet to formally approve the Guiding Principles on IDP protection and
some thirty IASC operating guidelines and procedures of emergency response.
They are not embodied in national frameworks in developing countries
Need to ensure universal dimensions of humanitarian assistance (TTVI).
Lack of internationally agreed frameworks for logistical cooperation among the UN
system and Member States in particular military air operations and early warning.
Poverty reduction guidelines of DAC donor countries disqualify the most vulnerable
in the poverty pocket in middle income countries such as Costa Rica and Panama.
At the transition stage, the RC/HCs should be subjected to compliance procedures
for establishing a country assistance framework for recovery and reconstruction.
⇩⇩⇩⇩⇩
Require intergovernmental negotiations
ECOSOC should start a process to streamline the principles, rules and guidelines
in disaster management with assistance of a proposed inter-governmental expert
body, i.e. an ECOSOC functional commission on humanitarian assistance for RDD
with a view to developing an international regulatory framework.
12
III. Governance and Resource
Management (1)
Need for integrated efforts to deal with entire disaster management process:
prevention, preparedness, response, recovery, reconstruction and
development

Coordinate agencies’ actions at each stage

Information sharing

Manage resources integrally

Result based management be introduced.

Set up a governance framework with an inter-governmental body under
ECOSOC for objective setting and strategic planning and management:
(1) Functional commission on humanitarian assistance for DRR to approve
biennium system-wide work programme, as well as the operational support
budget of the UN programme (see (2) below) and the administrative budget
to strengthen common support services, overcome high turn-over in staffing,
and provide core functions of OCHA/ISDR;
(2) Financial system consisting of CAP, CERF, trust funds under OCHA’s
management merged into a GA-established fund of a UN programme for
humanitarian assistance for DRR; and
(3) System-wide field structure to support national, regional and international
platforms.

13
III. Governance and Resource Management (II)

Human Resource Management

1. The OCHA has 61 posts under the regular budget of US$ 197.9 million in the biennium 2004-2005.
There are 957 temporary posts funded by extrabudgetary resources including 534 positions (397 Local
level and 137 national Officers), as of the time of formulation of the budget for the General Assembly.
This included 19 extrabudgetary positions (17 Professional level and 2 GS (OL)) of the Secretariat of
the ISDR.
2. As regards the staffing of the secretariat of ISDR, as of 21 July 2005, there are 24 temporary posts
of which 4 in recruitment process, 5 general temporary assistance for core activities and 7 general
temporary assistance posts for the Tsunami Flash Appeal project.
3. In general, one year contracts were issued subject to availability of funds to the staff members on
extrabudgetary posts. The financial system based on trust funds obliges the secretariat to set aside a
mandatory operating reserve of 15 percent or exceptionally 10 percent for OCHA, of the estimated
annual planned expenditures which will be maintained during the implementation of trust fund activities
to cover shortfalls and will be utilized to meet the final expenditures under the trust fund including any
liquidating liabilities (See ST/AI/284 Annex II.A.1, P.5). Since liquidation of obligations and status of
cash position are only verified at the audit completed on 31 March, the secretariat cannot extend staff
contracts without attaching conditions subject to the availability of funds[1].
4. In the case of the ISDR staffing, beginning in 2005 this practice was revised and the secretariat has
been offering the fixed-term contract of six months or the short term contract less than six months or
consultancy with caveat that the appointment is subject to availability of funds: i.e. the appointment is
firm for the initial 2-3 months and may be terminated thereafter if the cash position of the trust fund
does not permit the continuation of the contract. As for the ISDR staff members on programme support
cost funding, one year contracts were offered This situation should be compared to 8,829 staff
members employed by WFP with contracts of more than one year in 2004, and usually 4-5year fixed
term contracts offered for UNICEF and IFCR staff.
5. The high turnover of the staff places considerable administrative burden on the recruitment sector. It
does not allow OCHA and the secretariat of ISDR to accumulate and maintain institutional memory and
professional knowledge unless the staff has to undergo a series of short term employments and
experience plight of little stable livelihoods. In this context, the occasion of training opportunities are
rare, ineffective and costly. This impacts adversely on the establishment of core and permanent
capability of the secretariat.
14
[1]OCHA, Annual Report 2004, United Nations, p.18.





III.1 Humanitarian Assistance in
Disaster Response and Reduction




Overarching Principles: Humanity, Impartiality and Neutrality
(GA/RES/46/182, ’91) be applied to continuum of transition.
Traditional Dichotomy VS Integration of two Areas lead by
IASC and ISDR have to be overcome.
Hyogo Framework for Action be consciously applied to
integrate early warning, disaster preparedness, response,
reduction and reconstruction
Field UN System Structure and Process
- Implementation of the Principles
- Feed-back to policy body; linkage between operational and
non-operational activities
15
III.2 System- wide coordination &
resource management at the field
level






Subsidiarity principle
Country Framework
National Platform
Regional Framework
Modalities of agencies’ participation in
system-wide resource commitment and
management
Coherence at recovery and reconstruction
stages
16
III.3 Good Practice in India


Formulation of recovery of livelihoods and
reconstruction of the affected areas in many
countries could not get under way due to the
unprecedented scale of disaster and the absence
of a mechanism to ensure the formulation of such
plans.
Exception was the United Nations Recovery
Framework in Support of Government of India for a
Post-Tsunami Rehabilitation and Reconstruction
Programme established by the United Nations
Country Team in India in March 2005.
17
III.4 United Nations Recovery Framework
in Support of Government of India



Build on the experience gained by the United Nations agencies from the post-cyclone
work in Orissa (1999) and the post-earthquake work in Gujarat (2001)
Reflects the values of the United Nations system including the Hyogo Framework of
Action.
Despite the formal decline by the Indian Government of external relief assistance, the
multilateral agencies including ADB and the World Bank could provide assistance
actively through their ongoing programmes and under the coordination provided by the
United Nations Disaster Management Team in India with the UNICEF acting as focal
point for local NGOs and communities in the affected areas.[1]

The experience in India demonstrates that without the use of CAP and the full fledged
and formal deployment of humanitarian assistance under the aegis of OCHA, there is a
considerable potential for the United Nations system to ensure a seamless transition
within the existing framework of UNDAF and CCA, provided that the agencies
collectively commit themselves to implement the transition.

Although a basic concept of transition is recognized in the guiding principles for
humanitarian assistance in Assembly Resolution General 46/182, such a collective
framework for the transition should be established with a compliance procedure to
implement it by an inter-governmental decision.
[1] United Nations Country Team India, Recovery Framework in Support of Government of India for a Post-Tsunami
Rehabilitation and Reconstruction Programme, New Delhi, March 2005, P.8.
18
Preliminary Findings and conclusions
Findings

Inadequate application of principles and guidelines

Need for ownership of disaster management, response and reduction centered on the
national platform

Need for a bottom-up planning and resource mobilization, and monitoring and
management

Absence of a system-wide framework for global resource management

Lack of central coordinating authority and in particular an operational mechanism
governing the transition
Conclusions

1. Streamlining and strengthening humanitarian assistance principles and guidelines at
intergovernmental levels;

2.1 Establishment of the integrated national platform: national plan of action/UN support
framework covering both response and reduction;
2.2 Use of CAP, CHAP and UNDAF/CCA process as essential support for the national plan
of action;
2.3 Assessment of measures required for international support and resource mobilization;




3.1 Global assessment of resource requirements through bottom-up and feed-back from
the field; and
3.2 Programmatic and institutional changes in the funding and management framework
at the global level.
THANK YOU
19