The Annexes

A.11

Annex 11: quick reference guide to emergency donors

ActionAid Emergency donors Quick Reference Guide

updated Aug 2013

Donor and AA Focal Point

AusAID

Aims

Australia helps reduce the adverse impacts of conflict, natural and other disasters on vulnerable populations. The Australian Government stands ready to help countries in times of natural disasters. Assistance may take the form of relief supplies, medical teams, law and order personnel, transport and communication.

AusAID website


Casey McCowan | Casey.McCowan@actionaid.org | AA Australia


Geographic

PNG and the Pacific, Indonesia and East Asia, South Asia and Central Asia is the main focus. Africa is also a smaller focus of AusAID’s program and to a lesser extent the Middle East). AusAID have some small programs in Latin America and the Caribbean but not a focus.


Total amount of overall pot

$4,836 million, with $4,087 million being administered by AusAID and $325 million being allocated to humanitarian emergencies and refugees. Out of this $210 M goes to emergency response, $20 M goes to IFRC and the remainder goes to the UN (Budget 2011/12).


Management and Access

Access to emergency funds is largely through accredited NGOs i.e. ActionAid Australia (AAA). AusAID will give preference to those agencies under the Humanitarian Partnership Agreement of which AAA is not a member.


Sectors

Integration of humanitarian action and development, disaster preparedness, food aid, refugees, rehabilitation and reconstruction, mine action.


Application procedure

AusAID channels its funding through accredited Australian NGOs of which AAA are one. AusAID also provides humanitarian aid through UN agencies and the Red Cross.


Constraints, Dependencies and Reporting

AusAID funding is not untied. Countries can rarely apply for funding directly.

It is best to contact ActionAid Australia if there are upcoming funding opportunities. Funding to NGOs is made on a case by case basis. The reporting requirements involve interim narrative and financial reports (quarterly) and final reports (up to one month after the end of the project activities have finished).



Donor and AA Focal Point

AGIRE

Aims

Funding for Relief and Recovery work


Daniele Lodola | Daniele.Lodola@actionaid.org | +3902074200246 | AA Italy


Geographic

Global


Total amount of overall pot

Depends on what is raised


Management and Access

Managed by HVP, AA Italy is member of AGIRE. Key contacts: Daniele Lodola, Giulio Litta


Sectors

Immediate response sectors (see below) + longer term recovery activities (can include management/ overheads, capacity building, DRR, protection, livelihoods, etc). (can be spent up to 2 years post emergency)


Application procedure

A consultation with the member agencies (directors), including a teleconference, decides on whether or not to launch an AGIRE appeal.

In case an appeal is launched, the NGOs operating in the affected areas must submit a Concept Note based on the ECHO formats, including the needs encountered and the organization experience in that area. Agire will then decide on the allocation of the grant. Full Proposals and budgets (always based on ECHO procedures) need to be submitted 15 days after the communication on the funds allocated to the NGO.


Constraints, Dependencies and Reporting

Often there are several updates on the grant following the fundraising activity and the detailed budget must be updated within 2 weeks. A final external audit by an audit firm appointed by AGIRE is required



Donor and AA Focal Point

DEC

Aims

Funding for Relief and Recovery work


David Twydell (UK) | David.Twydell@actionaid.org | +44 (0)203 122 0685 | +44 (0) 7789 930 013 | Emergencies Funding Manager (DEC & DFID)


Geographic

Global


Total amount of overall pot

Depends on what is raised


Management and Access

Managed by PFT, AAUK is member of DEC, Key contact: David Twydell


Sectors

Immediate response sectors (see below) + longer term recovery activities (can include management/ overheads, capacity building, DRR, protection, livelihoods, etc). (can be spent up to 2 years post emergency) The DEC are less keen on funding policy work and will not record any beneficiary numbers associated with a policy activity unless there has been an actual change of policy or legislation.


Application procedure

A consultation of 1 week with the member agencies, including a teleconference, decides on whether or not to launch a DEC Appeal.

No application is needed, but proposals and budgets for the first 6 months need to be submitted 1 month after a DEC Appeal is launched.


Constraints, Dependencies and Reporting

AA UK allocation is currently 5.5%.

Relief Phase 1 needs to be complete within 6 months.

Recovery Phase 2 can last up to 18 months. Reporting quarterly for Phase 1, 6 monthly during Phase 2, with internal quarterly reports. Case study for Phase 1 and/or media description of 1 project required



Donor and AA Focal Point

DFID

Aims

Disbursement of funding for emergency response across a range of sectors.


David Twydell (UK) | David.Twydell@actionaid.org | +44 (0)203 122 0685 | +44 (0) 7789 930 013 | Emergencies Funding Manager (DEC & DFID)


Geographic

Global


Total amount of overall pot

No fixed amount


Management and Access

Rapid Response Fund is a new fund launched by DFID in February 2012.

Coordination by AAUK Programme Funding Team

Key contact: David Twydell

DFID emergency response funds also available through DFID in-country, often via disbursement through UN agencies

Access requires preexisting relationship with DFID country office and engagement in coordination mechanisms (cluster system)


Sectors

Range of different response sectors depending on nature of emergency and coverage by other donors


Application procedure

This is a brand new fund so the process is still being defined but once the fund has been launched for an emergency there is a brief proposal form submitted in the UK within 24 hours

DFID country-office AACP’s should ensure:

  • Pre-existing relationships with DFID / UN agencies

  • AA preparedness plans (in place and niche /info shared with DfID)

DFID currently channel funds to (I)NGO’s either through the UN system or as direct grants.

No systematic application process. Immediate contact/meetings & follow up required directly with DFID.

Participation in cluster system/in-country networks essential


Constraints, Dependencies and Reporting

The report has to be submitted within 24 hours and the grant will last no longer than 6 weeks which will require the emergency response to be operational immediately. There are no formal reporting requirements during the 6 weeks although we will have to forward internal updates including sitreps to DFID. An end of grant report will be submitted at week 8.

DFID in-country often unclear as to range of information (particularly financial) required through applications

Pre-existing relationship with DFID essential to clarify requirements. Funding can still depend on being part of the ‘club’

Engagement with UN system essential to access DFID funded UN managed subgranted income

Please see copy of HERR for review of DFID’s humanitarian funding.



Donor and AA Focal Point

DPRF

Aims

Immediate release funds for initiating an emergency response (can be accessed in 24 hours)


Sonya Ruparel | sonya.ruparel@actionaid.org | +44 (0) 203 122 0653 | +44 (0) 7753 738 146 | +44 (0)774 890 1566 | IHART Team Business Manager


Geographic

Global


Total amount of overall pot

Fluctuates


Management and Access

Managed by IHART. Key contact: Sonya Ruparel


Sectors

Immediate response – not for management/ overheads


Application procedure

CP applies through the Situation Report

Constraints, Dependencies and Reporting

Reporting internally one month after activities are completed, case studies and photos required



Donor and AA Focal Point

ECHO

Aims

To provide emergency assistance and relief to the victims of natural disasters or armed conflict outside the European Union. ECHO is the European Commission funding mechanism for emergency funding. For more info on ECHO please see the Funding Programmes hive site within the ‘Donor Intelligence’ section.


Patricia Cassidy | patricia.cassidy@actionaid.org | Tel: +44 (0) 203 122 0574 | Mob: +44 (0) 7903 168710 | Programme Funding Manager – ECHO (UK)


Geographic

Global – but ECHO prioritises some countries over others depending on scales of disaster so funding not available everywhere. The list of countries it prioritises change yearly but will support any country outside EU if a major disaster hits


Total amount of overall pot

Around €800m per anum, with each country provided varying provisional budgets at start of year. These can change depending on scale of disasters that actually happen


Management and Access

Managed by AAUK in London. Key contact: Patricia Cassidy


Sectors

Food Assistance, Short term food security, Livelihood Support, WASH, Health, Nutrition, Shelter, NFIs, Disaster Risk Reduction/ Disaster Preparedness, Protection, Coordination, Capacity Building.


Application procedure

Formal proposals have to be submitted by AAUK (contract signee with ECHO) on the ‘eSingle Form’ through the ECHO Coordinator in IPD.

Contracts value varies significantly, no formal max or min amounts but lowest AA contract around €100,000 and highest around €1.5. For 3 month projects after a major disaster proposals to be submitted within 72 hours of disaster. Other contracts issued usually 6-18 months depending on the funding call, with informal deadlines imposed by ECHO. ECHO has field offices in most locations it works in and field office is best way of learning of funding opportunities.


Constraints, Dependencies and Reporting

Unlikely to secure funding without local ECHO office agreeing in principle the nature of the project. Therefore important to establish relationship with local ECHO office before pursuing funding. Countries cannot apply for funding directly, only AAUK allowed by EC rules to sign contracts with ECHO. ECHO is not mandated to provide development aid but can provide DRR/ DP funding. However these projects must have measurable results by the end of the project period. 2 formal reports required, an interim during implementation and a final 3 months after project completion



Donor and AA Focal Point

Sida

Aims

Rapid, flexible and high quality funding for emergency responses.


Johan Bergqvist | johan.bergqvist@actionaid.org | Mob: +46 (0) 73 380 80 74 | Head of Programmes, Campaign and Communication, AA Sweden


Geographic

Global


Total amount of overall pot

Fluctuates


Management and Access

When Sida opens up to new partners, proposals will be submitted through AA Sweden and contracts will be managed by AA Sweden and IHART


Sectors

Disaster preparedness and risk reduction, immediate relief, reconstruction.


Application procedure

Sida’s humanitarian partners submit proposals to Sida’s humanitarian team in Stockholm.

Major partners have 3-year humanitarian funding agreements. These agreements are offered on an ad hoc basis, based on proven competence and track record, operational capacity, capacity for M&E and added value.


Constraints, Dependencies and Reporting

Sida is not in a position to take on new humanitarian partners at present, due to a lack of internal capacity, and AA can therefore not access funds. However, application guidelines and partners are currently under review so this may change.



Donor and AA Focal Point

Appeal funding (public appeals)

Aims

Flexible funding for emergency response.


Sonya Ruparel | sonya.ruparel@actionaid.org | +44 (0) 203 122 0653 | +44 (0) 7753 738 146 | IHART Team Business Manager


Geographic

Global


Total amount of overall pot

Depends on what is raised


Management and Access

Managed by IHART. Key contact: Sonya Ruparel


Sectors

All – including long term – appeal funds can be spent up to 3 years post emergency.


Application procedure

No application, but proposals and budgets require approval from Oversight Committee (for red alert emergencies) or International Programme Manager in IHART – Paras Tamang.


Constraints, Dependencies and Reporting

In future appeal fund expenditure will need to be reported to show how different public appeal money is spent (e.g. how UK appeal funds spent). Is the most flexible money and should be spent after, or to co-fund, restricted money.

Internal quarterly reporting against expenditure; monthly narrative reports and production of case studies and photos.



Donor and AA Focal Point

UN – Central Emergency Response Fund (CERF)

OCHA manages the fund and distributes to relevant UN agencies based on priority projects identified by the UN Emergency Relief Coordinator (ERC).

Aims

Allows the Emergency Relief Coordinator (ERC) to ensure coverage of life-saving programmes when funds are not available from other sources

  • Used to allocate funds to UN operational agencies to address critical humanitarian needs based on priorities established under the leadership of the Humanitarian/Resident Coordinator in the field

Primarily used as cash flow for UN agencies while they wait for pledges to be transferred.


Donna Muwonge | Donna.Muwonge@actionaid.org | +44 2031220657 | Senior Donor Coordinator, IPD.


Geographic

Global


Total amount of overall pot

Grant facility – Up to US $450m,

2 ‘windows’:

  • Rapid response

  • Under-funded – for which one third of funds is earmarked

Loan facility – up to $50m


Management and Access

Funds can only be accessed in country through participation in clusters. To access funding ActionAid’s project must have been part of the UN Agency (the various cluster leads) led project submitted to CERF.


Sectors

Any life-saving sector eligible (see “Life Saving Criteria) provided deemed a priority by the UN ERC for that particular emergency. Funding will be streamed through relevant Cluster lead agency (e.g WASH = Unicef). May contribute to the needs identified in the CAP/Flash appeal.


Application procedure

PARTICIPATE IN CLUSTERS

On agreement funding is then transferred to the relevant UN agency. If NGO project approved contracts will be set up with relevant UN agency.


Constraints, Dependencies and Reporting

Timeliness:
Quick to disburse to UN agencies – can be very slow to get to NGOs. May need to chase contracts.

Transparency:
NGOs do not always know if funds are from CERF or other source. Please try to find out and state this in your Crimson/ OPAL project as backdonor

Decision-making process for fund allocation for “underfunded emergency” window is not transparent (What criteria used?).

Input dependencies e.g. prior engagement with UN etc.



Donor and AA Focal Point

UN – Common Humanitarian Fund (CHF)

UNDP is the administrative agent who are responsible for contracting NGOs (overall management by country HC and OCHA advisory group)

Aims

To provide early and predictable funding to most critical needs as identified in the CAP for projects which previously have been under-funded.


Donna Muwonge | Donna.Muwonge@actionaid.org | +44 2031220657 | Senior Donor Coordinator, IPD.


Geographic

Sudan

CAR

Somalia (replaced HRF – June 2010)


Total amount of overall pot

Country specific – generally large ($100m+)


Management and Access

Access to these funds is possible only through participation in the clusters. ActionAid projects must be part of the Consolidated Appeals Process (CAP) to be eligible for funding.


Sectors

Any provided in line with the CAP (aka the HAP in DRC or the SWP in Sudan).


Application procedure

PARTICIPATE IN CLUSTERS

Needs can be advocated and projects then submitted through the cluster lead. Proposals then go to a ‘POOLED FUND BOARD’ (includes country HC, donors, UN agencies and NGOs)

Contracts will then be set up with UNDP.



Donor and AA Focal Point

UN OCHA

Emergency Response Fund (ERF) (aka HRFs & HERFs)

Aims

Rapid and flexible funding for gaps in humanitarian needs – often for areas not covered by the CAP


Donna Muwonge | Donna.Muwonge@actionaid.org | +44 2031220657 | Senior Donor Coordinator, IPD.


Geographic

Currently in: Afghanistan, Columbia, DRC, Ethiopia (HRF), Haiti, Indonesia, Iraq, Kenya, Myanmar, Nepal, OPT, Pakistan (tbc), Sudan, Uganda, Zimbabwe.


Total amount of overall pot

Amounts per country vary (between $1m-$6m) but generally small, hence providing small grants. See individual country docs for more info.


Management and Access

Access to these funds is through OCHA in-country. It helps to be part of the clusters however, this is not an essential criteria for ERF.


Sectors

Any humanitarian need requiring rapid funding.


Application procedure

Projects submitted to OCHA. Cluster leads and advisory board are used to advise HC in selection. Contracts are with OCHA.


Constraints, Dependencies and Reporting

Mixed experience. Generally positive

May have limitation to the number of contracts allowed at anyone time

Check contracts carefully.



Donor and AA Focal Point

High Value Restricted Income

Aims

Varies depending on donors as donors include high net worth individuals, trusts, foundations and companies. Trust applications usually get sent out to a pool of trusts with crtieria related to giving to emergencies/relief/ humanitarian response, so funding may have more conditions. Funding from companies and high net worth individuals tends to be more flexible.


Geographic

Global


Total amount of overall pot

Depends on what is raised


Management and Access

Managed by individual affiliate high value teams (e.g. in UK, US, Italy etc.)


Sectors

Trusts may have specific criteria, but otherwise money can generally be used flexibly. With red alert emergecencies, appeals are generally used. Can be used to fund immediate and longer-term activities (can include management/overheads, capacity building, DRR, protection, livelihoods, etc.)


Application procedure

AAUK usually submit topline concept notes to the pool of emergency trusts as soon as possible (ideally within a day) when a red alert emergency happens and makes a judgement call on orange alerts. Applications for the SCP, by way of a 3-6 page proposal are submitted throughout the year. Major donors and companies are often interested in the human stories, as well as facts and figures.


Constraints, Dependencies and Reporting

Because this is usually one of the most flexible forms of income, money should be spent after, or to co-fund, restricted money. Usually bi-annual or annual reporting with financial reports, narrative reports and production of case studies and photos


UN Appeals – Quick reference

OCHA uses the CAPs and Flash Appeals to ask donors for support for particular crises

Appeal

Consolidated Appeals Process (CAP)

CAPS Appeals show donors what the needs are and what funding needed to meet needs


Purpose

Launched annually in response to complex emergencies

More than just an appeal – but can assist in strategic planning

Duration

12 months (exceptional 18mths)


Process

  • OCHA asks for input into the CAP

  • OCHA (the HC) will ask cluster leads and the country level

  • IASC to provide information.

  • Increasingly NGOs are also being asked to participate in this process (usually through cluster meetings).

  • OCHA will provide information on what level of detail is required, but usually just a 1 or 2 page summary of our programme in the country/ region over the time of the CAP

  • OCHA solicits donor support


Why participate?

Increasingly seeing donor interest in funding through such appeals – eg SIDA has approached us directly through seeing our projects in Philippines and Haiti flash appeals.

CERF is often used in the initial stages of a Flash to cover immediate needs. CHF funds may also be used to contribute to under-funded areas of the CAP showing that these appeals and the UN funding streams are closely linked.

By participating we are helping to ensure that the needs in the country are realistically portrayed to the donors.


Administration

Normally involves submitting a one page summary of our programme

Donors always come to us directly rather than through OCHA. We then have a responsibility to update OCHA either directly or through the UN Financial Tracking Service (FTS)

All CAPs and Flash Appeals can be found on the Financial Tracking Service (FTS). Useful to monitor donor pledges on the FTS and see where money is allocated (more on the FTS later).

We are well aware that there are some problems in adding information to CAPs and Flashes – e.g. with regard to situations where the CAP appeal itself is longer or shorter than the programme we have designed (therefore skewing figures). However we can submit a proportion of any such programme or amend to fit. Essentially this is a tool that can be of benefit to us in securing funding and in overall coordination and is therefore encouraged.


Appeal

FLASH

Flash Appeals show donors what the needs are and what funding needed to meet needs


Purpose

Launched by UN in response to sudden onset emergencies

Duration

3-6 months (exceptional 12 months – e.g Haiti)


Process

  • OCHA contacts key NGOs when new Flash appeal is being developed and helps NGOs connect with cluster coordination on the ground.

  • UN agencies and NGOs provide overview of programme and funding needs

  • Usually top-line information only – the sector you plan to work in (e.g. WASH, Food Aid, etc); location, estimated number of beneficiaries, and estimated budget.

  • OCHA solicits donor support


Why participate?

Increasingly seeing donor interest in funding through such appeals – e.g. SIDA has approached us directly through seeing our projects in Philippines and Haiti flash appeals.

CERF is often used in the initial stages of a Flash to cover immediate needs. CHF funds may also be used to contribute to under-funded areas of the CAP showing that these appeals and the UN funding streams are closely linked.

By participating we are helping to ensure that the needs in the country are realistically portrayed to the donors.


Administration

Normally involves submitting a one page summary of our programme

Donors always come to us directly rather than through OCHA. We then have a responsibility to update OCHA either directly or through the UN Financial Tracking Service (FTS)

All CAPs and Flash Appeals can be found on the Financial Tracking Service (FTS). Useful to monitor donor pledges on the FTS and see where money is allocated (more on the FTS later).

We are well aware that there are some problems in adding information to CAPs and Flashes – e.g. with regard to situations where the CAP appeal itself is longer or shorter than the programme we have designed (therefore skewing figures). However we can submit a proportion of any such programme or amend to fit. Essentially this is a tool that can be of benefit to us in securing funding and in overall coordination and is therefore encouraged.