Intro to HAP

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Transcript Intro to HAP

HAP 2007 Humanitarian
Accountability and Quality
Management Standard
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Outline
• Defining the problem
• Humanitarian Accountability Partnership International
• Humanitarian Accountability
• Humanitarian Quality Management
• The HAP 2007 Standard in Humanitarian
Accountability and Quality Management
• HAP Certification
• HAP and the Quality and Accountability
Initiatives
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Defining the Problem
The Imbalance of Power in
Humanitarian Action
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Discussion / brainstorming ideas
• Who are the key stakeholders in humanitarian
action?
• What types of power do they each have?
• How might these types of power impact upon
other stakeholders?
or
• In what ways do humanitarian organisations
derive power and how might it be expressed?
• How might the power of humanitarian
organisations impact upon beneficiaries and
local communities?
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Power
• Imbalance between humanitarian actors and the
recipients of their services
• Defining values of giving, compassion and
benevolence can impede open discussion of power
and potential for abuse
• Given above plus lack of effective regulatory
mechanisms have contributed to negative
outcomes, so that despite the desire to help…
Humanitarian Accountability Partnership - International
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International humanitarian action
is vulnerable to:
• Waste and inefficiency
• Corruption and fraud
• Being used for the political agendas of others
• Staff misconduct such as sexual exploitation
• Priorities driven by for e.g. competition for market share
and the power of donors rather than by measured
assessment of need
• Inappropriate decisions, for example agencies taking on
jobs that they are not qualified to do
Humanitarian Accountability Partnership - International
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Humanitarian organisations are unique in that
the consumers of their services:
• Have little or no influence upon their operations,
• Rarely have means by which to appeal or complain
• Are rarely reported to
• Are not represented in
– NGO governance arrangements
– Donor resource allocation procedures
– UN coordination mechanisms
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Disaster survivors are often:
• Given no choice in who helps them
• Treated as though they are all the same
• Subjected to "veterinarian" style relief interventions
that undermine their dignity
• Forced to remain for long periods of time in
detrimental circumstances
• Not reported to by relief agencies
Humanitarian Accountability Partnership - International
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In 1995, the Joint Evaluation of the International
Response to the Genocide in Rwanda found:
• Need to improve accountability by monitoring
performance of humanitarian action
• Need for sector-wide learning
• No standards in quality/ quantity of services
• Negligence by some agencies led to increase in suffering
and death
• Agencies increasing but are unregulated
• Staff abuse of beneficiaries rights and dignity
• No regard given to local capacities, e.g. staff
• Lack of consideration for culture and context
• Low level of inter-agency coordination
• Protection, safety and security concerns
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A Rights-based Argument
Clear international legal foundation was established through
the Sphere Project, for e.g.,
–
–
–
–
–
The Universal Declaration of Human Rights,
International Refugee Law,
International Humanitarian Law,
The Convention on the Rights of the Child,
The Convention on the Elimination of all forms of Discrimination Against
Women,
• For the right to humanitarian protection and assistance;
• A right to a say in the manner in which this is provided,
and;
• The right to be heard in all stages of the appraisal,
implementation and evaluation cycle
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Humanitarian Accountability
Partnership
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The Forerunners to HAP International
From the Rwanda evaluation, a number of the
accountability initiatives were born including:
• Humanitarian Ombudsman Project 1999-2001
– a research project designed to examine the applicability
of ombudsman systems within the humanitarian
domain, which led to…
• The Humanitarian Accountability Project (HAP)
2001-2003
– Established to identify, test and recommend a variety of
accountability approaches and mechanisms
– 3 main field trials carried out from in Sierra Leone,
Afghanistan, and Cambodia
Humanitarian Accountability Partnership - International
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Recommendations of the
Humanitarian Accountability Project
• Accountability mechanisms need to be integrated into
existing programmes and operations
• Incentive for monitoring and reporting
• Creation of a strong self-regulatory association of agencies
committed to monitoring and reporting on the application
of relevant “mission-critical” standards to strengthen
accountability to beneficiaries
Humanitarian Accountability Partnership International
(HAP) set up in 2003
Humanitarian Accountability Partnership - International
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Humanitarian Accountability Partnership
HAP is a partnership of member agencies that share
a commitment to making humanitarian action
accountable to disaster survivors
HAP Members:
– Seek to comply with and promote the HAP Principles
of Accountability
– Are committed to taking account of the views, needs
and capacities of disaster survivors so that the quality
and effectiveness of their humanitarian work is
improved
Humanitarian Accountability Partnership - International
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HAP Vision and Mission
Vision
• A humanitarian system championing the rights and
the dignity of disaster survivors
Mission
• To make humanitarian action accountable to its
intended beneficiaries through self-regulation,
compliance verification and quality assurance
certification
Humanitarian Accountability Partnership - International
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Our Proposition
(1)
Aside from the fact that accountability makes sense
and is the right thing to do….
• Impact and cost effectiveness will be enhanced by:
– Adoption of quality management practices
– Including participation and consultation with
beneficiaries
• QA will help to:
– Curb abuse of power towards beneficiaries
– Reduce vulnerability to legal action
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Our Proposition
(2)
• A certification scheme will:
– Promote programme quality as a significant factor in
“success”
– Recognise good practice and provide assurance to
disaster survivors and other stakeholders
• HAP certification will:
– Be attractive to donors
– Strengthen the comparative advantage of certified
agencies
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HAP Members
1. ACFID
2. ACTED
3. CAFOD
4. CARE International
5. Christian Aid
6. Concern
7. Dan Church Aid
8. Danish Refugee Council
9. MAP
10. Medair
11. MERCY Malaysia
12. Norwegian Refugee
Council
13. OFADEC
14. Oxfam GB
15. Save UK
16. Tearfund UK
17. WCRWC
18. World Vision
International
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HAP Services & Activities
• Accountability workplan support (members)
• Field support (Pakistan and Darfur plus selected "new
emergencies")
• Field compliance monitoring
• Capacity building and advisory services
• Research
• Building Safer Organisations
• Complaints handling
• HAP Standard 2007 and review
• Baseline analyses
• Certification
• Accreditation (NGO networks – from 2008)
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Humanitarian Accountability
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Accountability
The means by which power is used responsibly
– Power brings responsibility, and with responsibility
comes accountability
– Accountability is about the right to a say and the duty to
respond
Humanitarian Accountability Partnership - International
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Recent Factors calling for improved
accountability
1. Increased media presence during emergencies.
2. Increased public awareness and scrutiny.
3. Agencies are no longer able to use their charitable ethos and good
will as a defence for poor quality work.
4. Allegations of misconduct within the sector.
5. Pressure from donors to show improved practices.
6. Government regulating the sector.
7. Pressure from watchdogs and other rating agencies
8. Humanitarians have recognised the need to improve quality and
increase responsibility.
Humanitarian Accountability Partnership - International
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3 Dimensions of HAP’s Definition of
Accountability
• Processes through which individuals, organizations and
states make decisions that affect others
• Mechanisms through which individuals, organizations and
states seek to explain their decisions and actions
• Processes through which individuals, organisations and
states raise concerns about, and seek redress or
compensation for, the consequences of the decisions and
actions of others
Humanitarian Accountability Partnership - International
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Humanitarian Accountability
Humanitarian accountability involves taking
account of, giving an account to and being
held to account by to disaster survivors
– Managers and staff in relief programmes properly
consider and prioritize the needs, concerns and views
of disaster survivors in all their policies and activities
– Always practicable and should never be delayed until
conditions improve
– Means by which the power of aid agencies is qualified
and legitimized
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The “Accountability Deficit”
The gap between promises made by aid agencies to
deliver accountable and effective disaster relief
and persistent evidence to the contrary
– A growing perception that most relief aid isn't
accountable to affected populations
– The Tsunami Evaluation Coalition found agencies
failed to consult and involve local communities and
authorities in managing programmes
– Recommendations for quality control, regulation,
accreditation and certification
Humanitarian Accountability Partnership - International
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Humanitarian Accountability
Report 2006
“While there are many examples of good practice,
and some evidence of improvement, overall,
humanitarian organisations continue to offer
inadequate accountability to disaster survivors,
resulting in poor quality services.”
Humanitarian Accountability Partnership - International
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HAP Accountability Principles
1. Commitment to humanitarian standards and rights of
disaster survivors
2. Setting standards and building capacity to deliver
3. Communication, including transparency and
consultation with intended beneficiaries
4. Participation (of intended beneficiaries) in
programmes
5. Monitoring and reporting on compliance
6. Addressing complaints (from beneficiaries)
7. Implementing Partners (encouraged to comply)
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Think of a time when you had a problem with
your telephone carrier or utilities provider.
What did you take into account when deciding
whether to make a complaint?
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These "good practices of accountability" amount to a
"humanitarian quality management system" that
places the disaster survivor at the centre of the
design, implementation and learning systems for
humanitarian service delivery
• Correlate with ISO 9000 Quality Management Standard and
the Global Accountability Project's "four dimensions of
accountability" (transparency, participation, evaluation and
complaints-handling)
• Foundation of the HAP 2007 Standard in Humanitarian
Accountability and Quality Management
Humanitarian Accountability Partnership - International
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Humanitarian Quality
Management
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
A Quality Management System
• A set of coordinated activities undertaken to
continually improve the effectiveness and
efficiency of an organisation in meeting the
expectations of its customers
• Comprises a documented quality policy, quality
objectives, quality manual, and other documents
needed to ensure effective integration and
implementation
Humanitarian Accountability Partnership - International
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A Humanitarian Quality
Management System
• A set of activities and processes that enable
continual improvement in an agency’s
performance in meeting the essential needs, and
respecting the dignity, of disaster survivors
– Promoting the optimal application of proven quality
management practices across the humanitarian system,
– Protecting disaster survivors,
– Enhancing their life-chances and dignity, and
– Securing the reputation of the system.
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Your values as humanitarian workers
What principles guide your personal work and
the work of your organisation?
Humanitarian Accountability Partnership - International
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Principles
Action
Beliefs &
Values
Action
Principles
Humanitarian Accountability Partnership - International
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Basic Elements of a QA System
Standard setting:
– Defining the quality of a product, service or process (so
that it is measurable)
Certification:
– An award granted by a certification body to an
organisation on the basis of a product, service or
process standard being met
Accreditation:
– Recognition by a standard setting body that a
certification body is competent
Humanitarian Accountability Partnership - International
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The HAP 2007 Standard
In Humanitarian Accountability and
Quality Management
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
The HAP 2007 Standard
The HAP 2007 Standard in Humanitarian
Accountability and Quality Management offers a
means to help relief agencies measure, validate and
improve their humanitarian activities
– A basic minimum requirement for agencies engaged in
humanitarian action
– An objective measure against which agencies can be
assessed
– The result of 7 years of research, consultation, and field
tests
– Designed to be simple, affordable and effective
– Aim to become a widely recognised, authoritative brand
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Standard Development Process
Action Research
Afghanistan
Sierra Leone
Cambodia
Inter-agency Consultation Meetings
London
Copenhagen
Geneva
Standards Development Consultation
Geneva
London
Dhaka
Nairobi
Field Tests
Senegal
Hundreds of
agency staff
Sri Lanka
Somalia
Others
90 Agencies
Disaster
Survivors
Donors
Other Interested
Parties
Humanitarian Accountability Partnership - International
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The HAP 2007 Standard includes:
• HAP Accountability Principles
• Covenant
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–
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Qualifying Norms
Hierarchy of Principles for Humanitarian Action
Declaration of Interests
6 Humanitarian Quality Management Benchmarks
Working with Partners
• Benchmark requirements and means of verification
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HAP 2007 Standard
(1)
Defines quality management requirements to
help senior and programme managers put
humanitarian principles into practice
• Requires senior managers to establish:
– A humanitarian quality management system
(benchmark 1), and
– A process for continual improvement
(benchmark 6)
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HAP 2007 Standard
(2)
• Requires programme managers to implement the
quality management system by:
– Making available relevant information (benchmark 2)
– Ensuring meaningful participation by beneficiaries in
programme decisions (benchmark 3)
– Determining competencies required for staff
(benchmark 4); and
– Establishing complaints-handling procedures
(benchmark 5)
Humanitarian Accountability Partnership - International
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…Reflects 5 Simple
Quality Management Practices
• Transparency in mandate, objectives, beneficiary and
entitlement criteria and implementation reporting
• Consultation with disaster survivors right from the
beginning to gain their informed consent
• Feedback/complaints & redress-handling system
• Competence of staff
• Learning for continuous improvement
Humanitarian Accountability Partnership - International
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Benchmark 1:
The agency shall establish a humanitarian quality
management system
“Senior management needs to be prepared to empower an
accountability function right up to Program/ National
Director level if it is to be truly able to address beneficiary
concerns”
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Benchmark 2:
The agency shall make the following information
publicly available to intended beneficiaries, disasteraffected communities, agency staff and other specified
stakeholders: (a) organizational background; (b)
humanitarian accountability framework; (c)
humanitarian plan; (d) progress reports; and (e)
complaints handling procedures
“Community information provision laid the foundation for community
participation in project activities. The accountability team ensured
communities were informed throughout the project management cycle.
This improved participation across sectors and contributed to the
empowerment of people over the decisions that affected their lives”
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Benchmark 3:
The agency shall enable beneficiaries and their
representatives to participate in programme decisions
and seek their informed consent
“Creating a function to listen to and communicate with
communities helped to build trust, improving information
exchange and increasing understanding of core problems–
leading to better project designs”
“Through good community engagement and liaison with
stakeholders, the accountability programme was able to save
the operation over USD 5 million in construction costs by
preventing either unsuitable or unneeded construction”
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”
Benchmark 4:
The agency shall determine the competencies, attitudes
and development needs of staff required to implement
its humanitarian quality management system
“Greater analysis and consideration of community
perspectives have helped to educate our national staff on the
need to have field staff who are reflective of the communities
that they work in. Their teams now better reflect the areas
where they work and they could be more effective in meeting
the needs of the community.”
“Accountability to beneficiaries could provide a way to
measure how well staff interact with communities and this
could be useful information to use in appraisals as an
indicator of the values that staff show in their day to day
work.”
Humanitarian Accountability Partnership - International
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Benchmark 5:
The agency shall establish and implement complaintshandling procedures that are effective, accessible and
safe for intended beneficiaries, disaster-affected
communities, agency staff, humanitarian partners and
other specified bodies
“Accountability works as a community based warning system
that can help to significantly reduce organizational risk and
flag issues early”
“Having a dedicated humanitarian accountability function in
field offices through Stakeholder Representatives helped to
reduce/ deter corruption as community complaints may
uncover this”
Humanitarian Accountability Partnership - International
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Benchmark 6:
The agency shall establish a process of continual
improvement for its humanitarian accountability
framework and humanitarian quality management
system
The Senior Management Team needs to build a collaborative
organizational culture between departments where complaints
and raising of issues/ problems is viewed as a positive
opportunity to improve. This is essential if one department is
to be able to chase up difficult issues and raise problems with
other departments.
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Humanitarian Covenant
• Commits organisations to applying their
principles
• A solemn, unilateral contract of accountability
to people affected by disasters
• Tool for analysing when principles shouldn’t
be applied, requiring explanation
• Requires declaration of additional interests and
policies that have a direct bearing on
beneficiaries
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Qualifying Norms
• Commitment to provide humanitarian assistance
on an impartial basis
• Formally declared as a not-for-profit organisation
• Compliance with the requirements for financial
accountability
• A publicly available statement of the humanitarian
accountability framework
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Humanitarian Accountability
Framework
Specifies how the organisation will ensure
accountability to its stakeholders, and includes:
• Statement of the commitments made
– External standards, codes, principles and guidelines, in
addition to internal values, mandate, principles, charter
and guidelines
• Baseline analysis of compliance
– Current status of the HAF and related quality
management system
• Indicators for improvement with time frame
– An action or implementation policy, strategy or plan
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Stakeholder Analysis:
Accountability needs /
expectations
Internal / External
Quality Commitments
Red Cross Code of
Conduct
HAF Example
Implementation System
Management systems set up to
implement each commitment e.g.:
1. Management responsibilities
2. Staff (who is this relevant for)
3. System (for e.g. Policies,
Guidelines, etc.)
4. Monitoring and evaluation/
continual improvement
Draft objectives which are
measurable – i.e. an Action Plan to
show how Caritas ensures that their
staff apply this.
Assessment of
Compliance
Outlines where you are at
present against
compliance and or
against your objectives as
noted in the
implementation column.
Organisation
Mandate
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Principles for Humanitarian Action
Agencies seeking to comply with the HAP 2007 Standard
first commit themselves to accounting for their
humanitarian work in relation to the general Principles for
Humanitarian Action
Primary
–Humanity
–Impartiality
Secondary
–Informed Consent
–Duty of Care
–Witness
Tertiary
–
–
–
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Transparency
Neutrality
Complementarity
Independence
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Why the Hierarchy
(1)
• When a HAP-certified agency is unable to achieve
full compliance with the Principles of
Accountability, an explanation is required.
• The Covenant provides guidance when facing
tough choices and refers back to basic principles
inherent in humanitarian action.
• Each principle is categorized by its relative
importance, with the primary principles being
non-negotiable
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Why the Hierarchy
(2)
• At times, the consequence of complying with one principle
may impede fulfilling another.
– For e.g. the publication of a relief distribution plan may place
intended beneficiaries and staff in danger, justifying lack of
transparency.
• The agency must be able to explain that it chooses to
operate in breach of one or more of the principles as an
unavoidable condition for being able to comply with a
higher-level principle in those circumstances.
• The agency acts in good faith and thus in accordance with
the HAP 2007 Standard
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Certification
Against the HAP 2007 Standard
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HAP Certification
The formal evaluation of an agency against the HAP
2007 Standard using an established method to
measure compliance
Advantages for individual agencies include:
• Independent validation of good practice and compliance
with HAP Principles
• Verification by stakeholders including people affected
by disaster
• Improved knowledge management, learning and
continuous improvement
• Building trust and confidence of disaster-affected
communities and donors
Humanitarian Accountability Partnership - International
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HAP Certification offers the sector…
• A more informed choice for beneficiaries and donors
• Enhanced credibility and standing of certified agencies
• Strengthening of accountability and professionalism
• A voluntary code that enables agencies to hold themselves
to account
Certification is:
• Applicable regardless of agency size, place of origin,
whether they implement directly or through partners
• Available to all agencies who meet the qualifying norms
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…And is designed to be realistic and
supportive
Humanitarian Accountability Partnership - International
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Key Steps to Certification
(1)
• Baseline analysis – trial run, including:
– Preparation of documents, including HAF and HQMS
– Self assessment against the standard at HQ and field
sites
– Documentation review
– Interview verification
– Observation
– Feedback, identify gaps,
– Develop and implement action plan
Humanitarian Accountability Partnership - International
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Key Steps to Certification
•
•
•
•
•
•
•
•
•
•
(2)
Submission of application file
Document review
Self assessments of all field sites
Head office audit
Field site audit
Interview verification with stakeholders
Observation
Auditor report
CARB
Certification – 3 year validity with interim check
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Time Line Towards Certification
If audit findings reveal and major non
compliance certification would be
delayed until these are met
Decision
2 – 4 weeks
Ensure
agency on
board
Preparation
6-8 weeks
Prepare HAF
Baseline
Analysis
Prepare HQMS
A certificate is issued for a period of
3 years, with a mandatory mid term
(18 months) monitoring audit
Improvement
Head Office: 3
days
Audit
Field Site: 3 days Within 6 months
Consultation,
Report, incl.
support and
Head Office: 3
drafts and
days
feedback: up to 1 organization
response to
month
Field Site: 3 days
baseline
recommendations
Certified
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Accreditation
Realizing HAP’s vision of an accountable
international humanitarian system at large
– through the accreditation of affiliated NGO
networks and associations with the authority to
certify their own members as being compliant
with the HAP Standard
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HAP and the Q&A Initiatives
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Group discussion
• Can you list any quality and accountability
initiatives?
• Do you use any of their work?
• Why, in your opinion, have they been set
up?
Humanitarian Accountability Partnership - International
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Tracking the emergence of the initiatives
SCHR 1971
• Voluntary alliance, now of 9 of the largest organisations
• Began peer review in 2003
Code of Conduct (1994): Principle 9 ‘we will hold ourselves accountable to
those we seek to assist and from those we accept resources’
People in Aid 1995
• Improving human resource management in the sector, including staff
consultation and capacity building and training
• Today has about 100 members
ALNAP - 1997
• Sector-wide active learning membership network to improve Q&A by
sharing lessons, identifying common problems and building consensus
Sphere Project - 1997
• Humanitarian Charter, guidance notes in 4 sectors
• Today 16 member board and a learning programme
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More recent initiatives
One World Trust - 2000
• Global Accountability Framework and Report
Good humanitarian donorship 2003
• Principles of accountability and assessment
Tsunami Evaluation Coalition TEC - 2005
• 46 members (UN-research-donors-NGO)
• Key message #1: ownership and accountability to
affected populations
UN Special Envoy (Clinton initiative) - 2005
• Promoting transparency and accountability
• NGO impact initiative
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HAP and the other initiatives…
The HAP 2007 Standard
– Provides a management system enabling coordinated
implementation of all relevant standards, practices,
codes, humanitarian principles, and mandates
– Is intended to be compatible and complimentary to help
implement recognized good practices
– Is concerned with improvement of the whole: relies
upon the technical guidelines, tools and methods for
improvement of specialist areas
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Initiative
/Project
Area of Focus
Complementarity
to HAP
Red Cross
Code of
Conduct
“Self-policing” code for monitoring standards of
relief delivery
 e.g.
People in
Aid
Code of Good Practice - management tool to
enhance the quality of human resources
management
Social audits verify adherence to the code
 e.g.
Sphere
Project
Technical standards and a humanitarian charter
in disaster response, to improve the quality and
accountability of performance by humanitarian
professionals

ECB2
“Good Enough Field Guide to Accountability”
Support to strengthen practice in accountability,
impact measurement, joint evaluations of
emergency responses
 e.g.
Quality Assurance method
Tools, training and consultancy services
Project management and project evaluation
 e.g.
Quality
COMPAS
Benchmark 2
Benchmark 4
e.g.
Benchmarks, 2, 3, 4
Benchmark 6
Benchmark 1, 6
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Initiative
/Project
Area of Focus
Complementarity
to HAP
Synergie
Qualité
Method of inquiry to identify risk at each stage of
the project cycle

e.g.
ALNAP
Improving humanitarian performance through
increased learning and accountability
Tools and evaluations, share lessons, identify
common problems, build consensus

e.g.
Do No
Harm
Avoid exacerbating conflict through aid
Develop systems for settling causes of conflict
 e.g.
MANGO
Strengthen financial management

e.g.

e.g.
Benchmark 6
Benchmark 6
Benchmark 3
Benchmark 1
SCHR
Standards and accountability agenda focuses on
the peer review process as well as promotion of
Sphere and other quality and accountability
initiatives
Benchmark 6
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The Other Initiatives – Areas of Focus
Red Cross / Crescent Code of
Conduct
Covenant to capture values
The Sphere Project
Generic and Technical Benchmarks for
improving quality of aid delivery
ALNAP
M&E & Impact; Research
HAP International
Accountability to beneficiaries through
compliance and Regulatory Mechanism
People In Aid
HR Management
MANGO
Financial Management
ECB2
Developing How to Guide – tools
Clinton Initiative
Research / recommendations
Group URD – Quality
Compas
Project management guide / tool
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Similarities Between the Initiatives
• All share a common goal - to improve
accountability, quality and performance in
humanitarian action
• Each takes a different route, with some overlap
• All the initiatives are governed, managed and
supported by humanitarian agencies and
individuals
• Commitment to work closely together towards
greater harmonisation and impact
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Differences…
• Each has a distinct entry point and methods for
addressing specific component(s) parts of
humanitarian quality and accountability
• Distinct mandates, constituencies and structures
• The HAP Standard
– is a compliance verification mechanism
– is concerned with quality from the perspective of
intended beneficiaries and other key stakeholders
– has been developed to address the most "mission
critical" elements
– is analogous to a simplified "ISO 9000" (quality
management) standard for humanitarian action
Humanitarian Accountability Partnership - International
“making humanitarian action accountable to beneficiaries”