Early Recovery Approach

Technical Note

July 2011

Purpose

This Technical Note provides information to UNICEF staff on the purpose, principles, and key entry points to applying an early recovery approach in humanitarian situations. It complements inter-agency guidance on early recovery[1],is a component ofUNICEF’s core humanitarian policy, the Core Commitments for Children in Humanitarian Action (CCCs)[2], and is consistent with the current revision of UNICEF’s programme and policy manual (PPPM).[3] While the Technical Note is primarily intended for field staff, it can also assist headquarters colleagues who support the mainstreaming and operationalization of the early recovery approach at the country level and/or in guidance products.

Summary of the Issue

The impetus for the early recovery approach stems from a frequently-observed gap between humanitarian response and development programming in the wake of a crisis as well as a recognition that transitions from a humanitarian response mode to a developmental approach are often too slow and have not traditionally received sufficient support, funding and attention. An early recovery approach, applied during response to humanitarian situations, is key tobuilding resilience and helping countries and communities return to a path of sustainable development and achieving the MDGs.

Definition

Early recovery is an approach applies development principles of sustainability and local ownership in humanitarian action.[4]Early recovery is not a phase. Applied during response, it is a core component of humanitarian action. It aims to shape the manner in which humanitarian response is conducted, such as the questions asked in a need assessment and the modalities for delivering assistance to:

  • ensure that humanitarian response operations become assets for longer term recovery;
  • support recovery initiatives by affected communities; and
  • stabilize local and national capacities as quickly as possible to encourage a quicker and sustainable transition to longer-term recovery.

The early recovery approach is a core component of the CCCs because, while delivering life-saving assistance to reach the benchmarks defined in the CCCs will always be UNICEF’s primary focus during an emergency, supporting national capacity and ownership as early as possible is critical to achieving better and more sustainable outcomes for children. In addition, applying an early recovery approach can help reduce dependency of affected populations on humanitarian assistance, as well as the amount of time required for them to recover.

UNICEF’s Comparative Advantage

Due to its dual humanitarian and development mandate, UNICEF is one of the few organizations with presence in a country before, during and after a crisis. UNICEF’s partnerships and programming extend outside of capital cities and target government and civil society actors at national and sub-national level. UNICEF has also been an early advocate within the UN for participation and the human-rights based approach in humanitarian action, as well as the “do no harm” principle for humanitarian assistance. UNICEF’s mandate commits it to respond to life-threatening crises, and to support communities to better prepare for, mitigate and recover from disasters and conflicts. For all these reasons, UNICEF is well placed to implement an early recovery approach in humanitarian action.

As the above suggests, the early recovery approach is not new to UNICEF. For years, UNICEF Country Offices have applied the principles and approaches that are now known in the inter-agency humanitarian discourse as “early recovery”. What is new and relevant for UNICEF is the fact that over the past years the humanitarian community has recognized early recovery as a systematic approach to be applied during response to humanitarian situations.

The early recovery approach is codified in the recently revised CCCs, which highlight specific programmeactions should be applied immediately and in parallel with response in order to achieve the CCC benchmarks. This applies to sudden onset as well as chronic emergency situations. Theearly recovery approach is not intended to introduce new activities but is mainstreamed through sector specific CCCs. It also suggests a need tomake more explicit the links between early recovery initiatives across sectors, making clear from the outset, for example, how humanitarian action will transition from directly providing “School in a Box” to an affected population, to more gradually sustainable interventions that build local capacity and resilience, such as teacher training, development of disaster-resistant school designs and standards, and national curriculum development.

Principles and Contexts

Humanitarian and Development Principles

Applying an early recovery approach in humanitarian action is synonymous with applying the recognized principles of sound development practice. These include Human Rights-Based Approach, national ownership, capacity development, and gender sensitivity. They are consistent with UNICEF’s Programme Strategy Map and were listed in the UNICEF Post-Crisis Transition strategy (2006)[5].

Most of the guiding principles for humanitarian action are the same as those that guide development programming. However, at times certain principles may be in tension with one another. One important issue is that the humanitarian principles of impartiality and neutrality can at times be in tension with the primacy of national ownership which guides development assistance. This tension can be harder to reconcile in situations of armed conflicts. In these situations, all of UNICEF’s programmes (humanitarian and development) should be subjected to a rigorous risk analysis based on a conflict analysis[6] to ensure that engagement of local partners does not exacerbate already fragile conflict dynamics, reinforce vulnerabilities and inequities, or create new potential sources of violent conflict.

Early Recovery Approach in Response to Natural Disasters

Disasters can be either sudden onset, such as Cyclone Nargis that struck Myanmar in 2008, or chronic emergencies such as the drought-induced crisis in the Horn of Africa. Where disasters do not affect entire countries, some national, regional and local capacities may still be intact and available as resources for the response. In natural disaster, national governments customarily remain stable and functional, and affected populations look to the various levels of state services to quickly provide relief. In such settings UNICEF can invest in longer-term capacity development in a more systematic way by working through national and local governance structures and supporting existing technical capacities, as well as ensuring that delivery of humanitarian assistance does not undermine those capacities.

In dealing with recurrent disasters, such as droughts, cyclical floods or seasonal cyclones, the opportunities for applying the early recovery approach are numerous. Partnership with national and local actors should build greater community resilience to future disasters and reduces pre-existing socio-economic inequalities. In many cases, the specific interventions that result from applying an early recovery approach in such contexts aredescribed as disaster risk reduction[7] initiatives.

Early Recovery Approach in Armed Conflict and/or Complex Emergencies

Complex emergencies and chronic humanitarian situations make the application of anearly recovery approach more challenging because the framework provided by International Humanitarian Law protects first and foremost interventions that are of a “life-saving” nature. This can at times come into contradiction with interventions that aim to `build-back-better`or invest in community empowerment and national ownership. At times tensions also may arise between humanitarian principles and the goal of promoting national ownership. However, armed conflicts rarely engulf the entire territory of a country. So-called “pockets of peace” or “zones of stability” may appear and offer opportunities to apply anearly recovery approach, working with communities to transition beyond the mode of humanitarian assistance.Failure to apply early recovery to interventions in such areas may hold back in their progress towards stability, or at least may result in loss opportunities to consolidate peace.

Humanitarian actors are often presented with a range of challenges in applying an early recovery approach. Primary among these are concerns that arise when the government is a party to the conflict or when the legitimacy of local and national actors is called into question. By aligning too closely with a government or any other party to the conflict, UNICEF may jeopardize its ability to act in a manner that is consistent with the humanitarian principles of impartiality and neutrality.

In these particularly complex settings, the risk stated above can be mitigated by ensuring that the early recovery approach, in particular capacity development efforts,target a wide range of partners and stakeholders, including at the subnational level, and extend beyond state authorities to include community-based groups, civil society actors and the private sector. Building the capacity of local actors—teachers, health care workers, for example—who are closest to vulnerable populations may be one strategy to help avoid tensions that otherwise may arise when working with national-level government actors in conflict settings. In these cases, delivery of assistance should be subject to a rigorous conflict analysis in addition to standard risk-informed Situation Analysis in order to identify the risks associated with engaging and not engaging local or national actors[8].

UNICEF Responsibilities

Inter-Agency Responsibilities at Global Level

In 2005 the Inter-Agency Stranding Committee (IASC)[9] adopted the ‘cluster approach’, which established 11 clusters to strengthen leadership, partnership and build system-wide accountability and predictability for humanitarian action. UNDP was appointed the lead agency for the global-level Cluster Working Group on Early Recovery (CWGER). UNICEFis a formal member of the global-level CWGER, along with approximately 30 other humanitarian agencies and NGOs.

UNICEF’s accountabilities at the inter-agency global level derive principally from its role as the designated global cluster lead agency forthree clusters, WASH, Nutrition, Education (co-led with Save the Children), and two areas of responsibility, Child Protection (and Gender Based Violence [co-led with UNFPA]).

According to the current shared understanding of the Global Cluster Lead Agency Responsibilities within the IASC, UNICEF should ensure that an early recovery approach is mainstreamed withinglobal cluster strategies and plans, and bears particular accountability for this regarding the clusters and areas of responsibility for which UNICEF has global lead responsibilities. This includes:

  • Incorporation of performance indicators that take into account the early recovery approach
  • Incorporation of the early recovery approach in cluster led capacity development activities and tools, such as training materials, technical notes, handbooks.
  • Incorporation of indicators for the early recovery approach in humanitarian assessments
  • Inclusion of the early recovery approach into cluster coordinator training and other cluster specific trainings.
  • Advocacy with all cluster partners on the early recovery approach to be mainstreamed into Consolidated Appeals Processes (CAPs) and other humanitarian appeals.

As a member of the CWGER, UNICEF works closely with UNDP and other CWGER members as well as within the and the UN Development Group/Executive Committee on Humanitarian Affairs (ECHA) Working Group on Transitions to ensure that the global aid architecture, including financing mechanisms and planning tools, effectively promotes and supports an early recovery approach.

Responsibilities within UNICEF

Several UNICEF divisions[10] share responsibility for ensuring that an early recovery approach is mainstreamed throughout UNICEF’s work and receives adequate managerial and technical support and funding. EMOPS has the primary responsibility for representing UNICEF in global fora dealing with transitions and deploys, on a needs basis, technical capacityto support Regional and Country Offices in integrating the early recovery approach within response plansfrom the onset of a crisis,as well as providing technical support forUNICEF’s engagement with inter-agency recovery planningand applying early recovery in UNICEF Country Programmes where applicable (such as in chronic humanitarian situation settings).

Within Programme Division (PD), the Humanitarian and Transition Interface Section (HATIS) works with programme sections to promote an early recovery approach in sector-specific activities such as training materials, presentations, technical notes, cluster handbooks and other tools, particularly with respect to the roll out of the revised CCCs.

The Division for Policy and Planning (DPP)ensures the early recovery approach is adequately included in the revised Programme Policy and Procedure manual (PPPM) and otherprogramme guidance. The role of the Public sector Alliances and Resource Mobilization Office (PARMO) is crucial in advocating for and including early recovery approaches into fundraising strategies for Humanitarian Action that support Country Office programmes and activities, and the global support capacity.

Country Level Responsibilities

Country Offices are responsible for applying an early recovery approach in response within humanitarian action through the CCCs programme commitments.Some key entry points and steps that can be taken by the Country Office are listed below.

Early Recovery Network

When the cluster system has been activatedin a given country according to IASC guidelines, an Early Recovery Network may be established to mainstream early recovery in the response. The Network would comprise all sectors/clusters, and be headed by the Humanitarian and Resident Coordinator (RC/HC) and, often, a representative from the local or national government. The specific arrangements can be adapted to country context under the lead of the RC/HC. An Early Recovery Advisor (ERA) may be deployed by the CWGER to support the Network. He/she should report to the RC/HC and should be a common resource for all members.

The UNICEF Country Office shouldidentify early recovery focal point(s) for the sector(s) for which UNICEF has cluster lead responsibility. These focal point(s) have usually beenthe Emergency Specialist and/or the Social Policy/Planning Specialist. Cluster coordination teams may also choose one of the cluster members to represent them to the Network in addition to UNICEF’s own emergency or planning specialist.

Early Recovery Cluster

To deal with programme areas and priorities that fall out of the scope of established humanitarian clusters, such as livelihoods, governance, reintegration, the RC/HC has in certain contexts chosen to establish a stand-alone Early Recovery Cluster led by UNDP as the lead agency[11]. This cluster increasingly adopts a different name in each country where designated, reflecting those priorities identified as gaps (eg the Governance and Livelihoods Cluster, etc.).

UNICEF has noted that this practice has not worked well towards mainstreaming early recovery throughout the response and has advocated at global and country levels for this practice to be discouraged, and for focus to remain on the Network approach described above. Consequently, UNICEF should have a strong role with IASC partners in determining the necessity for a stand-aloneEarly Recovery Cluster and should advise the RC/HC on this. If one is required, UNICEF should help define its terms of reference.

At the onset of the emergency, based on the IASC Operational Guidance on designating sector/cluster leads in major new emergencies and UNICEF’s own emergency response procedures, the Country Office should consider undertaking some key actions, based on this indicative table:

Cluster Lead/Co-Lead Responsibilities
Clustersmay nominate an Early Recovery focal point to form part of the ‘Early Recovery Network’ to ensure joint planning and integrated response.
Early recovery planning should be mainstreamed into the work of all clusters.
Early recovery related indicators should be included in needs assessments and prioritized accordingly.
Early recovery coordination and programme commitments should be incorporated into sector appeals and other funding mechanisms.
Early recovery should be leveraged tosupport response exit strategies and ensure transition to national led coordination systems when possible.
Early recovery links cluster assessment and planning tools with the Post Crisis Needs Assessment priorities. / Programme Responsibilities
Ensure early recovery programme commitments as per the CCCs are included in sector plans.
Early recovery approach should be included in the performance monitoring system measuring progress against CCCs.
Develop innovative strategies for humanitarian action that enable transition to recovery (capacity development, participation, risk reduction, etc.).
Participate in Post-Crisis Needs Assessments and adjust programme strategies as relevant.
Support/ facilitate coordination of social sector inputs into national plans and recovery frameworks.
Build in early recovery approach into fundraising strategies.

Role of Regional Offices

UNICEF Regional Offices are responsible for the primary support to the Country Office prior to and during an emergency, unless a Level 3 Emergency has been declared[12]. In addition to this, regional Office responsibilities regarding the early recovery approach include:

  • Co-ordination of relevant expertise through Regional Advisers;
  • Provision of technical expertise for Post-Conflict Needs Assessment/Post-Disaster Needs Assessments (PCNA/PDNA);
  • Inclusion of early recovery in regionally-managed training.

Early Recovery in the Core Commitments for Children in Humanitarian Action

As explained above, the early recovery approach is a key component of the revised CCCs. It is closely related to risk reduction and to capacity development. Both are approaches that must underpin all of UNICEF’s programmes, whether they are predominantly in humanitarian action or in the development phase. In humanitarian action, it is important to articulate how they relate to early recovery.

Emergency RiskInformed Programming

Emergency Risk Informed Programming lays out steps in the Country Programme cycle to help ensure that UNICEF programming better addresses priority emergency risks threatening the rights of children in a given country. The most relevant aspects of Emergency Risk Informed Programmingfor the early recovery approach isthe explicit consideration of all risks in the Situation Analysis (SitAn)[13]. When a risk informed situation analysis is part of the Common Country Assessment (CCA), used as the basis for development of the United Nations Development Assistance Framework (UNDAF) and subsequently the formulation of programme outcomes in Country Programme Document (CPD), it facilitates the implementation of an early recovery approach if/when a crisis occurs. Applying the erarly recovery approach during response also supports a strong programmatic bridge into more medium and long-term development programming that aims to reduce risks and build resilience.