2012 CAP Mid-Year Review

Reference guide of key concepts and practical details for CRD desk officers

May 2012

This reference guide aims to cover the most salient points for the MYR process for CRD. Please see theCAP 2012 Guidelines[1] for additional definitions, policy, background and details.)

*** Producing CAPs and their Mid-Year Reviews is a matter of process managementand information management, as well as substance. ***

Process

  • As in previous years, the final field draft due dates are in two groups – June 18 and 25– because we and IASC HQs cannot handle all MYRs at once.

Keep the dates for the OCHA HQ review of Mon 25 June (Batch 1) or Mon 2 July (Batch 2) clear; we strongly recommend you do not accept any missions or request any leave. If your section chief tries to give you an assignment over those days, remind them that you are committed to the CAP MYR. (See page 5 for a detailed list of which countries are in which groups, and pages 6 & 7 for a detailed overview of the steps and associated dates in the MYR process.)

  • Call your OCHA field CAP focal point now, and ask how it’s going; where are they vis-à-vis the target dates; any substantive issues; have they read the guidelines, and do they see any problems with any section.[2]
  • Review the agency focal points for your country(ies) and if you know of any changes, please inform us immediately. We will try to cross-check information as much as possible on our side, too.
  • Review early drafts of the MYR and give feedback to the field, so that you can shape it before the final stages. Check each section against the CAP Guidelines and against the MYR reference guide. It is crucial that your input, particularly regarding strategy and any sensitive political issues, be incorporated before the field draft is cleared with the HC.
  • Keep an eye on OPS( as this is your major information management tool. You will be able to monitor the running totals of the CAP including the proposed revisions, and see in which sectors and agencies the big increases are. Make sure the text supports any major changes.
  • As soon as the CAP Section focal point sends the final field draft out to IASC HQs for review, you may, if you wish, begin your own editing of the MYRs. Be advised, however, that you will not have the master document. This remains with CAP Section in order for us to start our review and other work on the document (style check, advance formatting, financial analysis, etc).

When it is time for the CRD review, your CAP Section focal point will email you the master version. Please use that version – and only that version – to make your own final changes and to import any changes communicated to you by the IASC HQs.

  • As of the various deadlines (field to IASC HQs; IASC HQs to OCHA HQ) OPS will be progressively closed for review until after the MYRs. CAP Section will keep a record of the projects as they stand at the various stages so that we can easily detect where agency HQs are changing the projects. You may also choose to do this by downloading the preset tables from the ‘Project Summary Tables’ tab on OPS at each stage in the review.
  • Comparing the old and new PDF summary tables, you can see quickly where changes have occurred, and which organisations have made them.
  • To see the details of their changes, use Word’s “compare documents” function to identify where changes have been made.
  • Major budget changes inserted by HQs (50% or $1 million, whichever is greater) should come with evidence of HC and cluster lead approval; so should new projects. If no HC approval for changes is provided to you, you should alert the CAP Section, the appealing agency in question, and the OCHA field office.[3]Minor text changes are no problem (in fact we encourage agency HQs to clean up the texts of their own projects).
  • As of COB June 22(Batch 1)/ 29(Batch 2) or after five working days of review if your document is late, the reviewing period for IASC HQs is closed. You are not obliged to consider any comments submitted after deadline. (Remind the agencies the day before their deadline to ensure that they plan to send their comments on time. To do that, simply forward the message CAP Section will have sent to the IASC reviewers.) You can now proceed with considering their amendments and incorporating them as you judge appropriate.
  • When you finish inserting, please double-check that all comments were indeed inserted (or, if disregarded, that you have a solid reason). We recommend that you create a folder in your Lotus Notes called “Comments received,” and then a sub-folder of that folder called “Already incorporated.” When you first receive an e-mail from an agency HQ with their amended document attached, move it into the “Comments received” folder, so that it doesnot get lost in your in-box. At the deadline, you can then work through the sets of comments systematically. When finished with each agency’s comments, move their e-mail into the folder “already incorporated.” That way, you know you have done it.

EACH YEAR, SOME OMMISSIONS INEVITABLY OCCUR AND AN IASC PARTNER IS IRRITATED. YOU CAN AVOID THIS BY BEING ORGANIZED AND SYSTEMATIC. Please also always acknowledge receipt of comments, and revert back to the IASC HQ with any queries you may have.

  • Ensure the master draft you return to the CAP Section contains your edits, as well as the edits from the reviewing agencies, in track changes! It is important for us to be able to see/compare what was done.
  • Do, however, ensure there is nothing in the document that shouldnot be there (in particular, comments that are not for the outside world to see!). Do not leave comments pending for CAP Section to clean up, like “I’m not certain about this number of IDPs” – we are not the country experts.
  • Above all, do not overlook the OCHA project!CRD is responsible for updating all OCHA projects in CAPs via OPS, as per the approved cost plan. This is a primary responsibility of CRD desk officers, but you may request assistance from DRS if so needed. If final approvals of OCHA cost plan revisions are still pending as of the period when you will be reviewing the MYR and associated projects, you should discuss with DRSwhat to put on OPS and into the MYRs (presumably one of either the status quo or the proposed [but unapproved] revisions).

Substance

  • Focus areas for this year’s MYRs: monitoring and reporting on specific outputs achieved so far; strengthening prioritization (top-priority ranking should be reserved for less than 50% of total appeal); inclusion of funding presently outside the appeal. (If a lot of humanitarian funding is going outside the appeal, overall or in certain sectors, there is a problem.)
  • Sharpen the writing and delete unnecessary words. For example, say ‘providing X’ instead of ‘the provision of X.’ Make the prose sharp, precise and interesting – it helps UN credibility. Get help from a native English (or French) speaker if necessary. Every paragraph should have a direction and a point.
  • Harmonize language; contact agencies if necessary to have them amend their part if unclear.
  • Harmonize figures (e.g. IDPs, refugees) to make sure the document is internally consistent. Pay particular attention to the detailed beneficiary tables in each cluster response plan: the figures are wrong more often than you would like to believe…

FTS

  • USE FTS!Click through all the FTS tables for your crisis; get to know the figures, their meaning, and the story they tell; add to the field draft’s analysis of funding and under-funding if needed.
  • Make sure your MYR discusses the 4 key statistics on FTS:
  1. Requirements and funding per cluster or sector.
  2. Requirements and funding per priority level.
  3. Amount of funding inside the CAP vs. Outside.
  4. Funding at mid-2012 compared to mid-point of previous years, inside the CAP and overall.
  • See if already-funded non-CAP projects should be counted retroactively. See what sectors have a lot of non-CAP funding – that might indicate a problem with the cluster. See what donors seem to be reducing their envelopes (compare to table in last year’s MYR document), and explore why.

You are the only one at OCHA HQ who has a good grasp of the situation in country. You are the only one who knows about political issues and sensitivities, and who can avoid diplomatic blunders. While we can help, you remain responsible for the accuracy and good quality of the document.

Your CAP is the major publication of the year for your crisis. The MYR is the second-most important. Donors read every word. Support for humanitarian action in your crisis depends (in part) on making this a top-quality document.

WHO DOES WHAT IN CAP SECTION?

Thematic focal points in CAP Section
On overall matters / Robert Smith /
On policy matters / Ysabel Fougery /
On flash appeals and sudden onset situations / Luke McCallin /
On monitoring and other information management / John Martin Fallgren /
On needs assessment and the dashboard / Miriam Lange /
On training and launch events / Marie-Sophie Reck /
On FTS matters / Julie Thompson /
On CERF and pooled fund issues / Mateusz Buczek /
On updating financial (FTS) data / Rebecca Maluto &
Debbie Mojica /

Other IT issues, OPS Helpdesk / Luciano Natale /
On formatting / Livia Cheng /
On printing and distribution / Cedric Ferrari /
Appeal / Focal point
Batch1– key dates for CRD
Final field draft due Mon 18 June
IASC HQ review ends Fri 22 June
OCHA CRD review ends Mon 25 June / Afghanistan / Marie-Sophie Reck
CAR / Mateusz Buczek
Djibouti / Luke McCallin
DRC / Ysabel Fougery
oPt / Julie Thompson
South Sudan / Rob Smith
Sudan / John Martin Fallgren
Yemen / Luke McCallin
Batch2– key dates for CRD
Final field draft due Mon 25 June
IASC HQ review ends Fri 29 June
OCHA CRD review ends Mon 2 July / Chad / John Martin Fallgren
Haiti / Marie-Sophie Reck
Iraq RRP / Miriam Lange
Kenya / Miriam Lange
Liberia / Miriam Lange
Niger / Ysabel Fougery
Philippines / Ysabel Fougery
Somali / Julie Thompson
Sri Lanka / Ysabel Fougery
Zimbabwe / Luke McCallin

* Note: the appeals for Burkina Faso, Mali, and Mauritania do not form part of the 2012 MYR as they will have just published their 2012 appeals in late May.

For financial tracking tables, visit
For online project management, visit
For policy, deadlines, guidelines, etc, visit:
(For archive of appeals and other material prior to 2011, visit

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HQ DATES OF CAP 2012 MID-YEAR REVIEWS
Batch 1: Afghanistan, Central African Republic, Cote d'Ivoire, Djibouti, DR Congo, OPT, South Sudan, Sudan, Yemen
02-Jun / 07-Jun / Global cluster coordinators can support field cluster coordinators by reviewing their draft revised cluster response plans and monitoring information. They can also support them by helping review the cluster's projects on OPS: the field cluster coordinator has to approve or reject all proposed project revisions by June 7, plus review all cluster projects and trim those that are no longer necessary or feasible. (Exact field dates for this stage may vary slightly country to country.)
02-Jun / 06-Jun / Agency HQ CAP reviewers should support their field colleagues by helping review the agency's projects, so that any necessary budget revisions are done correctly on OPS while the process is still in the field. (Last-minute project changes during HQ final review, after HC review, may not go through to publication if the agency does not secure HC consent in time; therefore it is much better practice for HQs to review projects together with field colleagues at this stage.) Project revisions on OPS are due by June 6. (Exact field dates for this stage may vary slightly country to country.)
08-Jun / 12-Jun / At this stage the compiled MYR document is circulated in the field to the HCT, cluster coordinators, and all other participants. Agency HQ CAP reviewers and global cluster coordinators can support their field colleagues by obtaining the draft from the field, giving it an initial review, and channelling feedback through your field colleagues. This will make the document better sooner, and save time during final HQ review. (Exact field dates for this stage may vary slightly country to country.)
13-Jun / 16-Jun / In this period, organizations in the field modify their projects on OPS if necessary following HC review. Agency HQ CAP reviewers should monitor this on OPS, so as to raise any issues on the projects now, thus avoiding late changes without the HC's consent during final HQ review. (Exact field dates for this stage may vary slightly country to country.)
Mon / 18-Jun / Deadline for agencies (field and/or HQs) to send latest CAP funding information to FTS for inclusion in MYR analyses plus CERF under-funded analyses.
OOB Mon / 18-Jun / Final field draft arrives at OCHA’s CAP Section. Projects on OPS are closed to further editing in the field. OCHA CAP Section circulates draft document to agency HQs for review, whereupon agency HQs can also start to review their projects on OPS.
Mon-Fri / 18-Jun / 22-Jun / Agency HQs have five working days to return comments on the documents and edit their projects on OPS. (During this period, CAP Section gets head start on style-check, formatting etc. on master docs; CRD desk also starts editing the master doc.)
COB Fri / 22-Jun / Deadline for comments from HQs on draft document; projects on OPS are closed to further revision until after MYR launch.
Mon / 25-Jun / OCHA-HQ Desk Officer responsible for MYR incorporates and reconciles HQs' comments.
Tues / 26-Jun / 04-Jul / CAP Section style-checks, proof-reads, and formats MYRs, and prepares the figures on OPS/FTS.
Wed / 04-Jul / 13-Jul / MYR documents finished and sent to print (on rolling basis, with first going on July 4 and last going by July 13), and distributed electronically to donors via e-mail and websites, with hard copies following (to field offices, NY and GVA PMs, and donor capitals).
Thurs / 19-Jul / Launch of MYR in NY en marge of ECOSOC Humanitarian Segment.
C H A P E A U
Tues-Fri / 03-Jul / 06-Jul / CAP Section circulates draft of châpeau to CAP SWG for review (due in 4 days).
COB Fri / 06-Jul / Deadline for SWG review of châpeau.
Mon-Mon / 09-Jul / 16-Jul / CAP Section finishes châpeau, and publishes electronically.
Thurs / 19-Jul / Launch of the MYR in NY en marge of ECOSOC.
HQ DATES OF CAP 2012 MID-YEAR REVIEWS
Batch 2: Chad, Haiti, Kenya, Liberia, Philippines, Somalia, Niger, Zimbabwe
09-Jun / 14-Jun / Global cluster coordinators can support field cluster coordinators by reviewing their draft revised cluster response plans and monitoring information. They can also support them by helping review the cluster's projects on OPS: the field cluster coordinator has to approve or reject all proposed project revisions by June 7, plus review all cluster projects and trim those that are no longer necessary or feasible. (Exact field dates for this stage may vary slightly country to country.)
09-Jun / 13-Jun / Agency HQ CAP reviewers should support their field colleagues by helping review the agency's projects, so that any necessary budget revisions are done correctly on OPS while the process is still in the field. (Last-minute project changes during HQ final review, after HC review, may not go through to publication if the agency does not secure HC consent in time; therefore it is much better practice for HQs to review projects together with field colleagues at this stage.) Project revisions on OPS are due by June 6. (Exact field dates for this stage may vary slightly country to country.)
15-Jun / 19-Jun / At this stage the compiled MYR document is circulated in the field to the HCT, cluster coordinators, and all other participants. Agency HQ CAP reviewers and global cluster coordinators can support their field colleagues by obtaining the draft from the field, giving it an initial review, and channelling feedback through your field colleagues. This will make the document better sooner, and save time during final HQ review. (Exact field dates for this stage may vary slightly country to country.)
09-Jun / 14-Jun / Global cluster coordinators can support field cluster coordinators by reviewing their draft revised cluster response plans and monitoring information. They can also support them by helping review the cluster's projects on OPS: the field cluster coordinator has to approve or reject all proposed project revisions by June 7, plus review all cluster projects and trim those that are no longer necessary or feasible. (Exact field dates for this stage may vary slightly country to country.)
Mon / 18-Jun / Deadline for agencies (field and/or HQs) to send latest CAP funding information to FTS for inclusion in MYR analyses plus CERF under-funded analyses.
20-Jun / 23-Jun / In this period, organizations in the field modify their projects on OPS if necessary following HC review. Agency HQ CAP reviewers should monitor this on OPS, so as to raise any issues on the projects now, thus avoiding late changes without the HC's consent during final HQ review. (Exact field dates for this stage may vary slightly country to country.)
OOB Mon / 25-Jun / Final field draft arrives at OCHA’s CAP Section. Projects on OPS are closed to further editing in the field. OCHA CAP Section circulates draft document to agency HQs for review, whereupon agency HQs can also start to review their projects on OPS.
Mon-Fri / 25-Jun / 29-Jun / Agency HQs have five working days to return comments on the documents and edit their projects on OPS. (During this period, CAP Section gets head start on style-check, formatting etc. on master docs; CRD desk also starts editing the master doc.)
COB Fri / 29-Jun / Deadline for comments from HQs on draft document; projects on OPS are closed to further revision until after MYR launch.
Mon / 02-Jul / OCHA-HQ Desk Officer responsible for MYR incorporates and reconciles HQs' comments.
Tues / 03-Jul / 11-Jul / CAP Section style-checks, proof-reads, and formats MYRs, and prepares the figures on OPS/FTS.
Wed / 11-Jul / 20-Jul / MYR documents finished and sent to print (on rolling basis, with first going on July 11 and last going by July 20), and distributed electronically to donors via e-mail and websites, with hard copies following (to field offices, NY and GVA PMs, and donor capitals).
Thurs / 19-Jul / Launch of MYR in NY en marge of ECOSOC Humanitarian Segment.
C H A P E A U
Tues-Fri / 03-Jul / 06-Jul / CAP Section circulates draft of châpeau to CAP SWG for review (due in 4 days).
COB Fri / 06-Jul / Deadline for SWG review of châpeau.
Mon-Mon / 09-Jul / 16-Jul / CAP Section finishes châpeau, and publishes electronically.
Thurs / 19-Jul / Launch of the MYR in NY en marge of ECOSOC.

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