(Mt) – response to professor: management ethical and legal considerations

The Sphere Project Humanitarian Charter and Minimum Standards in Disaster Response Published by: The Sphere Project Copyright © The Sphere Project 2004 PO Box 372, 17 chemin des Crêts CH-1211 Geneva 19, Switzerland Tel: +41 22 730 4501 Fax: +41 22 730 4905 Email: info@sphereproject.org Web: http://www.sphereproject.org The Sphere Project The Sphere Project is a programme of the Steering Committee for Humanitarian Response (SCHR) and InterAction with VOICE and ICVA. The project was launched in 1997 to develop a set of universal minimum standards in core areas of humanitarian assistance. The aim of the project is to improve the quality of assistance provided to people affected by disasters, and to enhance the accountability of the humanitarian system in disaster response. The Humanitarian Charter and Minimum Standards in Disaster Response are the product of the collective experience of many people and agencies. They should not therefore be seen as representing the views of any one agency. First trial edition 1998 First final edition 2000 This edition 2004 ISBN 92-9139-097-6 A catalogue record for this publication is available from The British Library and the US Library of Congress. All rights reserved. This material is copyright but may be reproduced by any method without fee for educational purposes but not for resale. Formal permission is required for all such uses but normally will be granted immediately. For copying in other circumstances or for re-use in other publications, or for translation or adaptation, prior written permission must be obtained from the copyright owner, and a fee may be payable. Distributed for the Sphere Project worldwide by Oxfam GB. Available from: Oxfam Publishing, 274 Banbury Road, Oxford OX2 7DZ, UK Tel: +44 1865 311 311 Fax: +44 1865 312 600 Email: publish@oxfam.org.uk Web: www.oxfam.org.uk/publications and from its agents and representatives throughout the world. Oxfam GB is a registered charity, no 202918, and is a member of Oxfam International. Designed by: DS Print and Redesign, London. Printed by: Musumeci, Aosta, Italy. Contents What is Sphere? ………………………………………………………………5 The Humanitarian Charter ……………………………………………..15 Chapter 1: Minimum Standards Common to All Sectors ……..21 Chapter 2: Minimum Standards in Water, Sanitation and Hygiene Promotion…………………………………..51 Chapter 3: Minimum Standards in Food Security, Nutrition and Food Aid………………………………….103 Chapter 4: Minimum Standards in Shelter, Settlement and Non-Food Items ……………………………………..203 Chapter 5: Minimum Standards in Health Services…………..249 Annexes 1. Legal Instruments Underpinning the Sphere Handbook…..313 2. The Code of Conduct for the International Red Cross and Red Crescent Movement and Non-Governmental Organisations (NGOs) in Disaster Relief………………………..315 3. Acknowledgements………………………………………………………325 4. Acronyms ……………………………………………………………………328 Index …………………………………………………………………………….331 Sphere Project information ………………………………………………340 Feedback form ……………………………………………………………….344 3 Humanitarian Charter and Minimum Standards Overall Handbook Structure What is Sphere? (an introduction) The Humanitarian Charter Standards Common to All Sectors Water Supply, Sanitation and Hygiene Promotion Each chapter includes: Food Security, Nutrition and Food Aid • Minimum standards • Key indicators Shelter, Settlement and Non-Food Items Health Services The Code of Conduct Annexes Index 4 • Guidance notes Sphere is based on two core beliefs: first, that all possible steps should be taken to alleviate human suffering arising out of calamity and conflict, and second, that those affected by disaster have a right to life with dignity and therefore a right to assistance. Sphere is three things: a handbook, a broad process of collaboration and an expression of commitment to quality and accountability. The initiative was launched in 1997 by a group of humanitarian NGOs and the Red Cross and Red Crescent movement, who framed a Humanitarian Charter and identified Minimum Standards to be attained in disaster assistance, in each of five key sectors (water supply and sanitation, nutrition, food aid, shelter and health services). This process led to the publication of the first Sphere handbook in 2000. Taken together, the Humanitarian Charter and the Minimum Standards contribute to an operational framework for accountability in disaster assistance efforts. The cornerstone of the handbook is the Humanitarian Charter, which is based on the principles and provisions of international humanitarian law, international human rights law, refugee law and the Code of Conduct for the International Red Cross and Red Crescent Movement and NonGovernmental Organisations (NGOs) in Disaster Relief. The Charter describes the core principles that govern humanitarian action and reasserts the right of populations affected by disaster, whether natural or man-made (including armed conflict), to protection and assistance. It also reasserts the right of disaster-affected populations to life with dignity. The Charter points out the legal responsibilities of states and warring parties to guarantee the right to protection and assistance. When the relevant authorities are unable and/or unwilling to fulfil their responsibilities, they are obliged to allow humanitarian organisations to provide humanitarian assistance and protection. 5 What is Sphere? What is Sphere? Humanitarian Charter and Minimum Standards The Minimum Standards and the key indicators have been developed using broad networks of practitioners in each of the sectors. Most of the standards, and the indicators that accompany them, are not new, but consolidate and adapt existing knowledge and practice. Taken as a whole, they represent a remarkable consensus across a broad spectrum, and reflect a continuing determination to ensure that human rights and humanitarian principles are realised in practice. To date, over 400 organisations in 80 countries, all around the world, have contributed to the development of the Minimum Standards and key indicators. This new (2004) edition of the handbook has been significantly revised, taking into account recent technical developments and feedback from agencies using Sphere in the field. In particular, a sixth sector, food security, has been added and integrated with those of nutrition and food aid. Another new chapter details a number of process standards common to all sectors. These include participation, assessment, response, targeting, monitoring, evaluation, and staff competencies and management. In addition, seven cross-cutting issues (children, older people, disabled people, gender, protection, HIV/AIDS and the environment) with relevance to all sectors have been taken into account. When to use this book The Sphere handbook is designed for use in disaster response, and may also be useful in disaster preparedness and humanitarian advocacy. It is applicable in a range of situations where relief is required, including natural disasters as well as armed conflict. It is designed to be used in both slow- and rapid-onset situations, in both rural and urban environments, in developing and developed countries, anywhere in the world. The emphasis throughout is on meeting the urgent survival needs of people affected by disaster, while asserting their basic human right to life with dignity. Despite this focus, the information contained in the handbook is not prescriptive. It can be applied flexibly to other situations, such as disaster preparedness and the transition out of disaster relief. It is not designed for use in response to technological disasters, such as those involving transport, industrial, chemical, biological or nuclear 6 calamity. However, while not addressing these types of disaster specifically, it is relevant to situations where population movements or other consequences triggered by such an event create a need for humanitarian assistance. Timeframe The timeframe in which the handbook is used depends largely on the context. It may take days, weeks or even months before agencies are able to achieve the Minimum Standards and indicators specified in a particular sector. In some situations, the Minimum Standards may be achieved without the need for external intervention. A timeframe for implementation needs to be agreed in any given situation. Where relevant, guidance notes suggest realistic timescales for the implementation of the standards and indicators. There are different approaches among humanitarian agencies as to how to carry out relief activities, based on differences in identities, mandates and capabilities. These differences point to the concept of complementarity, which means that humanitarian agencies use different modes of action or techniques in fulfilling their responsibility to provide assistance. In all contexts, disaster response should support and/or complement existing government services in terms of structure, design and long-term sustainability. How to use this book There are already many field manuals that offer practical guidance to humanitarian workers. This book is not a ‘how to’ manual. Instead, it offers a set of Minimum Standards and key indicators that inform different aspects of humanitarian action, from initial assessment through to coordination and advocacy. The standards are general statements that define the minimum level to be attained in a given context; the indicators act as ‘signals’ that determine whether or not a standard has been attained; while the guidance notes provide additional information. Each of the four technical chapters – water supply, sanitation and hygiene promotion; food security, nutrition and food aid; shelter, 7 What is Sphere? What is Sphere? Humanitarian Charter and Minimum Standards settlement and non-food items; and health services – has its own set of standards and indicators. The initial chapter on common standards sets out guidelines for programme design and implementation, which are applicable to all sectors. This chapter should be read first, before turning to the relevant technical chapter. The guidance notes in each chapter relate to specific points that should be considered when applying the standards in different situations. They offer advice on priority issues and on tackling practical difficulties, and may also describe dilemmas, controversies or gaps in current knowledge. Guidance notes always relate to a specific key indicator, and the link is signalled in the text. Key indicators should always be read in conjunction with the relevant guidance note. Each chapter also contains a brief introduction setting out the major issues relevant to that sector and appendices containing select lists of references detailing further sources of technical information, assessment checklists and, where relevant, formulas, tables and examples of report forms. It is important to remember that all the chapters are interconnected, and that frequently standards described in one sector need to be addressed in conjunction with standards described in others. The difference between standards and indicators The standards are based on the principle that populations affected by disaster have the right to life with dignity. They are qualitative in nature, and are meant to be universal and applicable in any operating environment. The key indicators, as measures to the standards, can be qualitative or quantitative in nature. They function as tools to measure the impact of processes used and programmes implemented. Without them, the standards would be little more than statements of good intent, difficult to put into practice. The standards for the different sectors do not stand alone: they are interdependent. However, there is inevitably a tension between the formulation of universal standards and the ability to apply them in practice. Every context is different. In some instances, local factors may make the realisation of all standards and indicators unattainable. When this is the case, the gap between the standards and indicators 8 listed in the handbook and the ones reached in actual practice must be described, and the reasons for it and what needs to be changed must be explained. Recognising vulnerabilities and capacities of disaster-affected populations In order to maximise the coping strategies of those affected by disasters, it is important to acknowledge the differing vulnerabilities, needs and capacities of affected groups. Specific factors, such as gender, age, disability and HIV/AIDS status, affect vulnerability and shape people’s ability to cope and survive in a disaster context. In particular, women, children, older people and people living with HIV/AIDS (PLWH/A) may suffer specific disadvantages in coping with a disaster and may face physical, cultural and social barriers in accessing the services and support to which they are entitled. Frequently ethnic origin, religious or political affiliation, or displacement may put certain people at risk who otherwise would not be considered vulnerable. Failure to recognise the differing needs of vulnerable groups and the barriers they face in gaining equal access to appropriate services and support can result in them being further marginalised, or even denied vital assistance. Providing information to disaster-affected populations about their right to assistance and the means of accessing this assistance is essential. The provision of such information to vulnerable groups is particularly important as they may be less able to cope and recover than others when faced with the erosion or loss of their assets, and may need more support. For these reasons, it is essential to recognise specific vulnerable groups, to understand how they are affected in different disaster contexts, and to formulate a response accordingly. Special care must be taken to protect and provide for all affected groups in a nondiscriminatory manner and according to their specific needs. However, disaster-affected populations must not be seen as helpless victims, and this includes members of vulnerable groups. They possess, and acquire, skills and capacities and have structures to cope with and respond to a disaster situation that need to be recognised and supported. Individuals, families and communities can be remarkably 9 What is Sphere? What is Sphere? Humanitarian Charter and Minimum Standards resourceful and resilient in the face of disaster, and initial assessments should take account of the capacities and skills as much as of the needs and deficiencies of the affected population. Irrespective of whether a disaster is of sudden onset or develops gradually, individuals and communities will be actively coping and recovering from its effects, according to their own priorities. The key vulnerable groups are women, children, older people, disabled people, PLWH/A and ethnic minorities. This is not an exhaustive list of vulnerable groups, but it includes those most frequently identified. Throughout the handbook, when the term ‘vulnerable groups’ is used, it refers to all these groups. There may be circumstances in which one particular group of vulnerable people is more at risk than another, but at any time of threat to one group, it is likely that others will also be at risk. In general, the handbook avoids specifying between different vulnerable groups. When any one group is at risk, users are strongly urged to think clearly of all the groups mentioned in this list. Cross-cutting issues In revising the handbook, care has been taken to address a number of important issues that have relevance to all sectors. These relate to 1) children, 2) older people, 3) disabled people, 4) gender, 5) protection, 6) HIV/AIDS and 7) the environment. They have been incorporated into the relevant sections of each chapter, rather then being dealt with in parallel. These particular issues were chosen on account of their relation to vulnerability, and because they were the ones most frequently raised in feedback from users of Sphere in the field. The handbook cannot address all cross-cutting issues comprehensively, but it recognises their importance. Children Special measures must be taken to ensure the protection from harm of all children and their equitable access to basic services. As children often form the larger part of an affected population, it is crucial that their views and experiences are not only elicited during emergency assessments and planning but that they also influence humanitarian service delivery and its monitoring and evaluation. Although vulnerability in certain specificities (e.g. malnutrition, 10 exploitation, abduction and recruitment into fighting forces, sexual violence and lack of opportunity to participate in decision-making) can also apply to the wider population, the most harmful impact is felt by children and young people. According to the Convention on the Rights of the Child, a child is considered to be an individual below the age of 18. Depending on cultural and social contexts, however, a child may be defined differently amongst some population groups. It is essential that a thorough analysis of how a client community defines children be undertaken, to ensure that no child or young person is excluded from humanitarian services. Older people Older women and men are those aged over 60, according to the United Nations. However, cultural and social factors mean that this definition varies from one context to another. Older people make up a large proportion of the most vulnerable in disaster-affected populations, but they also have key contributions to make in survival and rehabilitation. Isolation is the most significant factor creating vulnerability for older people in disaster situations. Along with the disruption to livelihood strategies and family and community support structures, isolation exacerbates existing vulnerabilities derived from chronic health and mobility problems and potential mental deficiencies. However, experience shows that older people are more likely to be aid givers than receivers. If supported, they can play important roles as carers, resource managers and income generators, while using their knowledge and experience of community coping strategies to help preserve the community’s cultural and social identities and encourage conflict resolution. Disabled people In any disaster, disabled people – who can be defined as those who have physical, sensory or emotional impairments or learning difficulties that make it more difficult for them to use standard disaster support services – are particularly vulnerable. To survive a period of dislocation and displacement, they need standard facilities to be as accessible for their needs as possible. They also need an enabling social support network, which is usually provided by the family. Gender The equal rights of women and men are explicit in the human 11 What is Sphere? What is Sphere? Humanitarian Charter and Minimum Standards rights documents that form the basis of the Humanitarian Charter. Women and men, and girls and boys, have the same entitlement to humanitarian assistance; to respect for their human dignity; to acknowledgement of their equal human capacities, including the capacity to make choices; to the same opportunities to act on those choices; and to the same level of power to shape the outcome of their actions. Humanitarian responses are more effective when they are based on an understanding of the different needs, vulnerabilities, interests, capacities and coping strategies of men and women and the differing impacts of disaster upon them. The understanding of these differences, as well as of inequalities in women’s and men’s roles and workloads, access to and control of resources, decision-making power and opportunities for skills development, is achieved through gender analysis. Gender cuts across all the other cross-cutting issues. Humanitarian aims of proportionality and impartiality mean that attention must be paid to achieving fairness between women and men and ensuring equality of outcome. Protection Assistance and protection are the two indivisible pillars of humanitarian action. Humanitarian agencies are frequently faced with situations where human acts or obstruction threaten the fundamental well-being or security of whole communities or sections of a population, such as to constitute violations of the population’s rights as recognised by international law. This may take the form of direct threats to people’s well-being, or to their means of survival, or to their safety. In the context of armed conflict, the paramount humanitarian concern is to protect people against such threats. The form of relief assistance and the way in which it is provided can have a significant impact (positive or negative) on the affected population’s security. This handbook does not provide detailed descriptions of protection strategies or mechanisms, or of how agencies should implement their responsibility. However, where possible, it refers to protection aspects or rights issues – such as the prevention of sexual abuse and exploitation, or the need to ensure adequate registration of the population – as agencies must take these into account when they are involved in providing assistance. 12 HIV/AIDS The coping mechanisms and resilience of communities are reduced when there is a high prevalence of HIV/AIDS and consequently the threshold for external stressors to cause a disaster may be lowered, while the amount of time a community needs to recover may be prolonged. People living with HIV/AIDS (PLWH/A) often suffer from discrimination, and therefore confidentiality must be strictly adhered to and protection made available when needed. This debilitating disease not only affects individuals but also their families and communities, as young people in their most productive years, especially women, are disproportionately affected – physically, psychologically and financially. As the pandemic matures and more people die, the demographic characteristics of communities change to leave a disproportionate number of children, including orphans, and older people. These vulnerable groups require special attention and relief programmes may need to be modified accordingly. Environment The environment is understood as the physical, chemical and biological surroundings in which disaster-affected and local communities live and develop their livelihoods. It provides the natural resources that sustain individuals, and determines the quality of the surroundings in which they live. It needs protection if these essential functions are to be maintained. The Minimum Standards address the need to prevent over-exploitation, pollution and degradation of environmental conditions. Their proposed minimal preventive actions aim to secure the life-supporting functions of the environment, and seek to introduce mechanisms that foster the adaptability of natural systems for self-recovery. Scope and limitations of the Sphere handbook Agencies’ ability to achieve the Minimum Standards will depend on a range of factors, some of which are within their control while others, such as political and security factors, may lie outside their control. Of particular importance are the extent to which agencies have access to the affected population, whether they have the consent and cooperation of the authorities in charge, and whether they can operate in conditions of reasonable security. Equally critical is the availability of sufficient financial, human and material resources. 13 What is Sphere? What is Sphere? Humanitarian Charter and Minimum Standards While the Humanitarian Charter is a general statement of humanitarian principles, this handbook alone cannot constitute a complete evaluation guide or set of criteria for humanitarian action. First, the Minimum Standards do not cover all the possible forms of appropriate humanitarian assistance. Second, there will inevitably be situations where it may be difficult, if not impossible, to meet all of the standards. There are many factors – including lack of access or insecurity, insufficient resources, the involvement of other actors and noncompliance with international law – that contribute to creating extremely difficult conditions in which to carry out humanitarian work. For example, agencies may find that the resources at their disposal are insufficient to meet the needs of the affected population; prioritisation of needs and response and advocacy for the removal of the obstacles that hinder adequate assistance and protection may then be necessary. In situations where the vulnerability of local populations to disaster is high or where there is widespread poverty or prolonged conflict, it can be the case that the Minimum Standards exceed normal everyday living conditions. Since this can give rise to resentment, local conditions must be taken into account, and programmes should always be designed with equality of the affected and surrounding populations in mind. It is recognised that in many cases not all of the indicators and standards will be met – however, users of this book should strive to meet them as well as they can. In the initial phase of a response, for example, providing basic facilities for all the affected population may be more important than reaching the Minimum Standards and indicators for only a proportion of the population. This handbook cannot cover every question or resolve every dilemma. What it can do is serve as a starting point, using standards and indicators based on consensus derived from years of experience and good practice; guidance notes designed to offer practical direction; and the Humanitarian Charter, which suggests a legal framework and a basis for advocacy. The Humanitarian Charter and Minimum Standards will not solve all of the problems of humanitarian response, nor can they prevent all human suffering. What they offer is a tool for humanitarian agencies to enhance the effectiveness and quality of their assistance, and thus to make a significant difference to the lives of people affected by disaster. 14 The Humanitarian Charter The Humanitarian Charter Humanitarian agencies committed to this Charter and to the Minimum Standards will aim to achieve defined levels of service for people affected by calamity or armed conflict, and to promote the observance of fundamental humanitarian principles. The Humanitarian Charter expresses agencies’ commitment to these principles and to achieving the Minimum Standards. This commitment is based on agencies’ appreciation of their own ethical obligations, and reflects the rights and duties enshrined in international law in respect of which states and other parties have established obligations. The Charter is concerned with the most basic requirements for sustaining the lives and dignity of those affected by calamity or conflict. The Minimum Standards which follow aim to quantify these requirements with regard to people’s need for water, sanitation, nutrition, food, shelter and health care. Taken together, the Humanitarian Charter and the Minimum Standards contribute to an operational framework for accountability in humanitarian assistance efforts. 1 Principles We reaffirm our belief in the humanitarian imperative and its primacy. By this we mean the belief that all possible steps should be taken to prevent or alleviate human suffering arising out of conflict or calamity, and that civilians so affected have a right to protection and assistance. It is on the basis of this belief, reflected in international humanitarian law and based on the principle of humanity, that we offer our services as humanitarian agencies. We will act in accordance with the principles of humanity and impartiality, and with the other principles set out in 16 The Humanitarian Charter the Code of Conduct for the International Red Cross and Red Crescent Movement and Non-Governmental Organisations (NGOs) in Disaster Relief (1994). This Code of Conduct appears in full on page 315. 1.1 The right to life with dignity This right is reflected in the legal measures concerning the right to life, to an adequate standard of living and to freedom from cruel, inhuman or degrading treatment or punishment. We understand an individual’s right to life to entail the right to have steps taken to preserve life where it is threatened, and a corresponding duty on others to take such steps. Implicit in this is the duty not to withhold or frustrate the provision of life-saving assistance. In addition, international humanitarian law makes specific provision for assistance to civilian populations during conflict, obliging states and other parties to agree to the provision of humanitarian and impartial assistance when the civilian population lacks essential supplies.1 1.2 The distinction between combatants and non-combatants This is the distinction which underpins the 1949 Geneva Conventions and their Additional Protocols of 1977. This fundamental principle has been increasingly eroded, as reflected in the enormously increased proportion of civilian casualties during the second half of the twentieth century. That internal conflict is often referred to as ‘civil war’ must not blind us to the need to distinguish between those actively engaged in hostilities, and civilians and others (including the sick, wounded and prisoners) who play no direct part. Non-combatants are protected under international humanitarian law and are entitled to immunity from attack.2 1.3 The principle of non-refoulement This is the principle that no refugee shall be sent (back) to a country in which his or her life or freedom would be threatened on account of race, religion, nationality, membership of a particular social group or political opinion; or where there are substantial grounds for believing that s/he would be in danger of being subjected to torture.3 17 Charter The Humanitarian Charter affirms the fundamental importance of the following principles: Humanitarian Charter and Minimum Standards 2 Roles and Responsibilities 2.1 We recognise that it is firstly through their own efforts that the basic needs of people affected by calamity or armed conflict are met, and we acknowledge the primary role and responsibility of the state to provide assistance when people’s capacity to cope has been exceeded. 2.2 International law recognises that those affected are entitled to protection and assistance. It defines legal obligations on states or warring parties to provide such assistance or to allow it to be provided, as well as to prevent and refrain from behaviour that violates fundamental human rights. These rights and obligations are contained in the body of international human rights law, international humanitarian law and refugee law (see sources listed below). 2.3 As humanitarian agencies, we define our role in relation to these primary roles and responsibilities. Our role in providing humanitarian assistance reflects the reality that those with primary responsibility are not always able or willing to perform this role themselves. This is sometimes a matter of capacity. Sometimes it constitutes a wilful disregard of fundamental legal and ethical obligations, the result of which is much avoidable human suffering. 2.4 The frequent failure of warring parties to respect the humanitarian purpose of interventions has shown that the attempt to provide assistance in situations of conflict may potentially render civilians more vulnerable to attack, or may on occasion bring unintended advantage to one or more of the warring parties. We are committed to minimising any such adverse effects of our interventions in so far as this is consistent with the obligations outlined above. It is the obligation of warring parties to respect the humanitarian nature of such interventions. 2.5 In relation to the principles set out above and more generally, we recognise and support the protection and assistance mandates of the International Committee of the Red Cross and of the United Nations High Commissioner for Refugees under international law. 18 The Humanitarian Charter The Minimum Standards which follow are based on agencies’ experience of providing humanitarian assistance. Though the achievement of the standards depends on a range of factors, many of which may be beyond our control, we commit ourselves to attempt consistently to achieve them and we expect to be held to account accordingly. We invite other humanitarian actors, including states themselves, to adopt these standards as accepted norms. By adhering to the standards set out in chapters 1-5 we commit ourselves to make every effort to ensure that people affected by disasters have access to at least the minimum requirements (water, sanitation, food, nutrition, shelter and health care) to satisfy their basic right to life with dignity. To this end we will continue to advocate that governments and other parties meet their obligations under international human rights law, international humanitarian law and refugee law. We expect to be held accountable to this commitment and undertake to develop systems for accountability within our respective agencies, consortia and federations. We acknowledge that our fundamental accountability must be to those we seek to assist. Notes 1. Articles 3 and 5 of the Universal Declaration of Human Rights 1948; Articles 6 and 7 of the International Covenant on Civil and Political Rights 1966; common Article 3 of the four Geneva Conventions of 1949; Articles 23, 55 and 59 of the Fourth Geneva Convention; Articles 69 to 71 of Additional Protocol I of 1977; Article 18 of Additional Protocol II of 1977 as well as other relevant rules of international humanitarian law; Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment 1984; Articles 10, 11 and 12 of the International Covenant on Economic, Social, and Cultural Rights 1966; Articles 6, 37 and 24 of the Convention on the Rights of the Child 1989; and elsewhere in international law. 2. The distinction between combatants and non-combatants is the basic principle underlying international humanitarian law. See in particular common Article 3 of the four Geneva Conventions of 1949 and Article 48 of Additional Protocol I of 1977. See also Article 38 of the Convention on the Rights of the Child 1989. 3. Article 33 of the Convention on the Status of Refugees 1951; Article 3 of the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment 1984; Article 22 of the Convention on the Rights of the Child 1989. 19 Charter 3 Minimum Standards Humanitarian Charter and Minimum Standards Sources The following instruments inform this Charter: Universal Declaration of Human Rights 1948. International Covenant on Civil and Political Rights 1966. International Covenant on Economic, Social and Cultural Rights 1966. International Convention on the Elimination of All Forms of Racial Discrimination 1969. The four Geneva Conventions of 1949 and their two Additional Protocols of 1977. Convention relating to the Status of Refugees 1951 and the Protocol relating to the Status of Refugees 1967. Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment 1984. Convention on the Prevention and Punishment of the Crime of Genocide 1948. Convention on the Rights of the Child 1989. Convention on the Elimination of All Forms of Discrimination Against Women 1979. Convention relating to the Status of Stateless Persons 1960. Guiding Principles on Internal Displacement 1998. 20 Chapter 1: Minimum Standards Common to All Sectors How to use this chapter This chapter details eight core ‘process and people’ standards that are relevant to each of the technical sectors. The standards are: 1) participation, 2) initial assessment, 3) response, 4) targeting, 5) monitoring, 6) evaluation, 7) aid worker competencies and responsibilities and 8) supervision, management and support of personnel. Each contains the following: ● the minimum standards: these are qualitative in nature and specify the minimum levels to be attained; ● key indicators: these are ‘signals’ that show whether the standard has been attained. They provide a way of measuring and communicating the impact, or result, of programmes as well as the process or methods used. The indicators may be qualitative or quantitative; ● guidance notes: these include specific points to consider when applying the standards and indicators in different situations, guidance on tackling practical difficulties, and advice on priority issues. They may also include critical issues relating to the standards or indicators, and describe dilemmas, controversies or gaps in current knowledge. The chapter is followed by a select list of references, which point to sources of information on both general and specific technical issues relating to the standards. 22 Contents Introduction …………………………………………………………………. 24 1. Participation …………… ……………………………………………..28 2. Initial Assessment………………………………………………………..29 3. Response …………………………………………………………………….33 5. Monitoring………………………………………………………………….37 6. Evaluation…………………………………………………………………..39 7. Aid Worker Competencies and Responsibilities……………….40 8. Supervision, Management and Support of Personnel………41 Appendix 1: References …………………………………………………..43 23 Common Standards 4. Targeting…………………………………………………………………….35 Standard 1 Standard 2 Standard 3 Standard 4 Standard 5 Standard 6 Standard 7 Standard 8 Participation Initial assessment Response Targeting Monitoring Evaluation Aid worker competencies and responsibilities Supervision, management and support of personnel Appendix 1 References Humanitarian Charter and Minimum Standards Common Standards Introduction These common standards relate to each of the chapters in this handbook and are integral to all of them. By implementing the standards described here, agencies will support the realisation of the standards outlined in the technical chapters. Everyone has the right to life with dignity and respect for their human rights. Humanitarian agencies have the responsibility to provide assistance in a manner that is consistent with human rights, including the right to participation, non-discrimination and information, as reflected in the body of international human rights, humanitarian and refugee law. In the Humanitarian Charter and the Code of Conduct for the International Red Cross and Red Crescent Movement and NonGovernmental Organisations (NGOs) in Disaster Relief, humanitarian agencies undertake to make themselves accountable to those they seek to assist. The common standards outline the responsibilities of organisations and individuals when providing protection and assistance. The importance of the standards common to all sectors Programmes that meet the needs of disaster-affected populations must be based on a clear understanding of the context. Initial assessments will analyse the nature of the disaster and its effect on a population. The affected people’s capacities and available resources should be identified at the same time as assessing their needs and vulnerabilities and any gaps in essential services. No single sector can be considered in isolation from the others, or in isolation from economics, religious and traditional beliefs, social practices, political and security factors, coping mechanisms or anticipated future developments. Analysis of the causes and effects of the disaster is critical. If the problem is not correctly identified and understood then it will be difficult, if not impossible, to respond appropriately. 25 Common Standards Links to international legal instruments Humanitarian Charter and Minimum Standards Response depends on a number of factors, including an organisation’s capacity, area(s) of expertise, budget constraints, familiarity with the region or situation and security risks for staff. The response standards detailed here are designed to clarify ‘who does what when’. Once an appropriate response has been determined, targeting mechanisms should be established that enable agencies to provide assistance impartially and without discrimination, according to need. Monitoring systems should be established early in the process to continuously measure progress against objectives and to check on the continuing relevance of the programme within an evolving context. An evaluation, which may be carried out during or at the end of the response, determines the overall effectiveness of the programme and identifies lessons that may improve similar programmes in future. The quality of humanitarian assistance will depend on the skills, abilities, knowledge and commitment of staff and volunteers working in difficult and sometimes insecure conditions. Sound management and supervision are key elements of an assistance programme and, along with capacity building, can help to ensure that minimum standards of humanitarian assistance are respected. Given the importance of gender and other cross-cutting issues, diversity in human resources should be taken into account when building a team. The participation of disaster-affected people – including the vulnerable groups outlined below – in the assessment, development, implementation and monitoring of responses should be maximised to ensure the appropriateness and quality of any disaster response. Systematic sharing of knowledge and information among all those involved in the response is fundamental to achieving a common understanding of problems and effective coordination among agencies. Links to other chapters It is critical that this chapter be read first, before turning to the relevant technical sector. 26 Minimum Standards Common to All Sectors Vulnerabilities and capacities of disaster-affected populations Throughout the handbook, the term ‘vulnerable groups’ refers to all these groups. When any one group is at risk, it is likely that others will also be threatened. Therefore, whenever vulnerable groups are mentioned, users are strongly urged to consider all those listed here. Special care must be taken to protect and provide for all affected groups in a non-discriminatory manner and according to their specific needs. However, it should also be remembered that disaster-affected populations possess, and acquire, skills and capacities of their own to cope, and that these should be recognised and supported. 27 Common Standards The groups most frequently at risk in disasters are women, children, older people, disabled people and people living with HIV/AIDS (PLWH/A). In certain contexts, people may also become vulnerable by reason of ethnic origin, religious or political affiliation, or displacement. This is not an exhaustive list, but it includes those most frequently identified. Specific vulnerabilities influence people’s ability to cope and survive in a disaster, and those most at risk should be identified in each context. Humanitarian Charter and Minimum Standards The Minimum Standards Common standard 1: participation The disaster-affected population actively participates in the assessment, design, implementation, monitoring and evaluation of the assistance programme. Key indicators (to be read in conjunction with the guidance notes) ● Women and men of all ages from the disaster-affected and wider local populations, including vulnerable groups, receive information about the assistance programme, and are given the opportunity to comment to the assistance agency during all stages of the project cycle (see guidance note 1). ● Written assistance programme objectives and plans should reflect the needs, concerns and values of disaster-affected people, particularly those belonging to vulnerable groups, and contribute to their protection (see guidance notes 1-2). ● Programming is designed to maximise the use of local skills and capacities (see guidance notes 3-4). Guidance notes 1. Representation of all groups: the participation of disaster-affected people in decision-making throughout the project cycle (assessment, design, implementation, monitoring and evaluation) helps to ensure that programmes are equitable and effective. Special effort should be made to ensure the participation of a balanced representation of people within the assistance programme, including vulnerable and marginalised groups. Participation should ensure that programmes are based on the willing cooperation of disaster-affected people and that they respect local culture, where this does not undermine the rights of individuals. Assistance programmes should reflect the interdependency of individuals, households and communities and ensure that protection elements are not overlooked. 28 Minimum Standards Common to All Sectors 2. Communication and transparency: the sharing of information and knowledge among all those involved is fundamental to achieving a better understanding of the problem and to providing coordinated assistance. The results of assessments should be actively communicated to all concerned organisations and individuals. Mechanisms should be established to allow people to comment on the programme e.g. by means of public meetings or via community-based organisations. For individuals who are homebound or disabled, specific outreach programmes may be required. sense of dignity and hope in times of crisis, and people should be encouraged to participate in programmes in different ways. Programmes should be designed to build upon local capacity and to avoid undermining people’s own coping strategies. 4. Long-term sustainability: long-term benefits are usually realised during the course of strengthening local capacities to deal with disasters. A disaster response programme should support and/or complement existing services and local institutions in terms of structure and design and be sustainable after the external assistance stops. Local and national governmental organisations have fundamental responsibilities for populations and must be consulted in the longer-term design of programmes when feasible. Common standard 2: initial assessment Assessments provide an understanding of the disaster situation and a clear analysis of threats to life, dignity, health and livelihoods to determine, in consultation with the relevant authorities, whether an external response is required and, if so, the nature of the response. Key indicators (to be read in conjunction with the guidance notes) ● Information is gathered using standardised procedures and made available to allow for transparent decision-making (see guidance notes 1-6). 29 Common Standards 3. Local capacity: participation in the programme should reinforce people’s Humanitarian Charter and Minimum Standards ● The assessment considers all technical sectors (water and sanitation, nutrition, food, shelter, health), and the physical, social, economic, political and security environment (see guidance note 7). ● Through consultation, the assessment takes into account the responses of the local and national authorities and other actors and agencies (see guidance note 7). ● Local capacities and strategies to cope with the disaster, both those of the affected population and the surrounding population, are identified (see guidance note 8). ● Whenever feasible, data are disaggregated by sex and by age (see guidance note 9). ● The assessment is underpinned by the rights of those affected by disasters, as defined by international law. ● The assessment takes into account the responsibility of relevant authorities to protect and assist the population on the territory over which they have control, and also takes into account national law, standards and guidelines applicable where the affected population is found, as they conform with international law. ● The assessment includes an analysis of the operating environment, including factors affecting the personal safety and security of the affected population and of humanitarian staff (see guidance note 10). ● Estimates of population numbers are cross-checked and validated with as many sources as possible, and the basis for the estimate made known. ● Assessment findings are made available to other sectors, national and local authorities and representatives of the affected population. Recommendations are made on the need for external assistance, and on appropriate responses that should be linked with exit or transition strategies (see guidance note 11). Assessment checklists for individual sectors can be found in the appendices at the end of each technical chapter. 30 Minimum Standards Common to All Sectors Guidance notes assistance that may be needed and also identify the areas on which a more detailed assessment should focus. An initial assessment is not an end in itself, but should be seen as a first step in a continuous process of reviewing and updating as part of the monitoring process, particularly when the situation is evolving rapidly, or when there are critical developments such as large population movements or an outbreak of disease. Frequently it may not be possible to adequately address or consult all sectors or groups within the population. When this is the case, it should be clearly stated which groups have been omitted, and efforts should be made to return to them at the first opportunity. 2. Checklists: these are a useful way of ensuring that key areas have been examined, and examples of checklists are provided in appendices to each of the technical chapters of this handbook. Additional information can be found in Appendix 1: References on page 43. 3. Timeliness: an initial assessment should be carried out as soon as possible after the disaster occurs, while addressing any life-threatening or other critical needs. The report should normally be generated within days and its format and content should allow planners and analysts to easily identify priorities and provide sufficient information to rapidly design an appropriate programme. A more in-depth assessment will be needed later to identify gaps in assistance and to provide baseline information. 4. Assessment team: a gender-balanced team, composed of generalists and relevant technical specialists and with clear terms of reference, which seeks to actively involve the population in a culturally acceptable manner, will improve the quality of an assessment. Local knowledge and previous experience of disasters in the country or region are critical. 5. Collecting information: team members should be clear on the objectives and methodology of the assessment and on their own roles before field work begins, and a mix of quantitative and qualitative methods appropriate to the context should normally be used. Some individuals or groups may not be able to speak openly, and special arrangements may be considered to collect sensitive information. Information must be treated with the utmost 31 Common Standards 1. Initial assessments provide the basis for delivering any immediate Humanitarian Charter and Minimum Standards care and confidentiality must be ensured. Following the individual’s consent, consideration may be given to passing on this information to appropriate actors or institutions. Staff operating in conflict situations need to be aware that information collected may be sensitive, could be misused and could compromise the agency’s own ability to operate. 6. Sources of information: information for the assessment report can be compiled from primary sources, including direct observation and discussions with key individuals, such as agency staff, local authorities, community leaders (of both sexes), elders, children, health staff, teachers, traders and other relevant actors, and from secondary sources, such as existing literature and reports (both published and unpublished), relevant historical material and pre-emergency data. National or regional disasterpreparedness plans also provide an important source of information. Comparing secondary information with direct observation and judgement is crucial in order to minimise potential biases. The methods used for collecting information and the limitations of the resulting data must be clearly communicated to portray a realistic picture of the situation. The assessment report should clearly indicate specific concerns and recommendations expressed by all groups, notably those who are particularly vulnerable. 7. Sectoral assessments: a multi-sectoral assessment may not always be possible in the initial phase of a disaster and may delay action to meet critical needs in specific sectors. When individual sectoral assessments are carried out, extra attention should be paid to linkages with other sectors and to broader contextual and protection issues, in consultation with other actors and agencies. 8. Relationship with host population: the provision of facilities and support for displaced populations can cause resentment amongst the host community, especially where existing resources are limited and have to be shared with new arrivals. In order to minimise tensions, host populations should be consulted and, where appropriate, the development of infrastructure and services for displaced populations should lead also to a sustainable improvement in the livelihoods of the host population. 9. Disaggregation of data is important for various reasons. It enables users of an assessment to check the accuracy of results and allows comparison with earlier studies on the same area. In addition to age, gender, vulnerability, etc., it is useful to include average family size and number of households as 32 Minimum Standards Common to All Sectors key disaggregated information, as this will help in planning a more appropriate response. In the early stages of a disaster, it may be difficult to disaggregate data by age and gender. However, mortality and morbidity for children under five years old should be documented from the outset, as this section of the population is usually at special risk. As time and conditions allow, more detailed disaggregation should be sought, to detect further differences according to age, sex and vulnerability. take account of underlying structural, political, security, economic, demographic and environmental issues. Likewise, any changes in living conditions and community structures of both host and displaced populations in relation to the pre-disaster phase should be considered. 11. Recovery: analysis and planning for -disaster recovery period should be part of the initial assessment, as external aid can slow recovery if not provided in a way that supports the local population’s own survival mechanisms. Common standard 3: response A humanitarian response is required in situations where the relevant authorities are unable and/or unwilling to respond to the protection and assistance needs of the population on the territory over which they have control, and when assessment and analysis indicate that these needs are unmet. Key indicators (to be read in conjunction with the guidance notes) ● Where people’s lives are at risk as a result of disaster, programmes prioritise life-saving needs (see guidance note 1). ● Programmes and projects are designed to support and protect the affected population and to promote their livelihoods, so that they meet or exceed the Sphere Minimum Standards, as illustrated by the key indicators (see guidance note 2). ● There is effective coordination and exchange of information among those affected by or involved in the disaster response. Humanitarian 33 Common Standards 10. Underlying context: the assessment and subsequent analysis should Humanitarian Charter and Minimum Standards agencies undertake activities on the basis of need, where their expertise and capacity can have the greatest impact within the overall assistance programme (see guidance note 3). ● Organisations, programmes and projects that either cannot address identified needs or are unable to attain the Minimum Standards make any gaps known so that others may assist (see guidance notes 4-5). ● In conflict situations, the assistance programme takes into account the possible impact of the response on the dynamics of the situation (see guidance note 6). Guidance notes 1. Responding to actual need: humanitarian response must be organised to meet assessed needs. Care should be taken that superfluous items that could interfere with the delivery of essential items are not included in the delivery channels. 2. Meeting the Minimum Standards: response programmes and projects should be designed to close the gap between existing living conditions and the Sphere Minimum Standards. It is nevertheless important to make a distinction between the emergency needs and the chronic needs of an affected population. In many cases, humanitarian needs and the resources that would be required to bring a community, area, region or even country up to the Minimum Standards are far greater than the resources available. An agency cannot expect to bring this about singlehandedly and communities, their neighbours, host governments, donors and other local and international organisations all have an important role to play. Coordination among those responding to a disaster situation is essential to address critical gaps. 3. Capacity and expertise: in situations where an organisation is highly specialised, or mandated to respond to particular needs (or groups), it should aim to provide the greatest humanitarian impact possible using its own resources and skills base. Even within the specific limits of an agency’s expertise or mandate, however, it is likely that the overall humanitarian need will outstrip its organisational resources. Where the agency finds itself with excess capacity, it should make that capacity known to the wider humanitarian response community and contribute when and where necessary. 34 Minimum Standards Common to All Sectors 4. Making gaps known: while humanitarian agencies prefer to demonstrate programme successes and positive evaluations of ongoing initiatives to help fund future programmes, they must nevertheless be prepared to promptly acknowledge gaps in their capacity to meet basic needs. make them known to the wider community as quickly as possible, to enable those agencies with the most appropriate resources and capacity to respond. Wherever possible, recognised terminology, standards and procedures should be used to help others mobilise their responses more quickly and more effectively. The use of standard survey formats and associated guidelines, agreed among the host government and agencies at country level, can help significantly in this regard. 6. Maximising positive impact and limiting harm: conflict and competition for scarce resources often lead to increased insecurity, misuse or misappropriation of aid, inequitable distribution or diversion of aid. Understanding the nature and source of conflict helps to ensure that aid is distributed in an impartial way and reduces or avoids negative impact. In conflict-affected settings, an analysis of the actors, mechanisms, issues and context of the conflict should be carried out prior to programme planning. Common standard 4: targeting Humanitarian assistance or services are provided equitably and impartially, based on the vulnerability and needs of individuals or groups affected by disaster. Key indicators (to be read in conjunction with the guidance notes) ● Targeting criteria must be based on a thorough analysis of vulnerability (see guidance note 1). ● Targeting mechanisms are agreed among the affected population (including representatives of vulnerable groups) and other appropriate actors. Targeting criteria are clearly defined and widely disseminated (see guidance notes 2-3). 35 Common Standards 5. Sharing information: organisations identifying critical needs should Humanitarian Charter and Minimum Standards ● Targeting mechanisms and criteria should not undermine the dignity and security of individuals, or increase their vulnerability to exploitation (see guidance notes 2-3). ● Distribution systems are monitored to ensure that targeting criteria are respected and that timely corrective action is taken when necessary (see guidance notes 4-5). Guidance notes 1. The purpose of targeting is to meet the needs of the most vulnerable, while providing aid efficiently and in a way that minimises dependency. 2. Targeting mechanisms are the ways in which assistance is made available impartially and without discrimination, according to need. Options include community-based targeting, administrative targeting, self-targeting, and combinations of these methods. Agency workers should be aware that self-targeting can sometimes exclude certain vulnerable groups. To ensure that the disaster-affected population is consulted and is in agreement with the targeting decisions, a representative group of women and men, boys and girls and people from vulnerable groups should be included in the consultation process. In conflict situations, it is essential to understand the nature and source of the conflict and how this might influence administrative and community decisions about targeting assistance. 3. Targeting criteria are usually linked to the level or degree of vulnerability of a community, household or individual, which in turn are determined by the risks presented by the disaster and the coping capacity of the recipients. Individual dignity may be unintentionally undermined by improper targeting criteria and mechanisms and appropriate measures must be taken to avoid this. Some examples include: – administrative and community-based targeting mechanisms may ask for information about an individual’s assets. Such questions may be perceived as intrusive and can potentially undermine social structures. – households with malnourished children are often targeted for selective food assistance. This may undermine people’s dignity since it may encourage parents to keep their children thin so that they continue to receive selective rations. This can also apply when general rations are provided. 36 Minimum Standards Common to All Sectors – where assistance is targeted through local clan systems, people who fall outside such systems (e.g. displaced individuals) are likely to be excluded. – displaced women, girls and boys may be exposed to sexual coercion. 4. Access to and use of facilities and services: people’s use of facilities and goods provided are affected by many factors, such as access, security, convenience, quality and whether they are appropriate to needs and customs. Access may be particularly constrained in situations of armed conflict, and by factors such as corruption, intimidation and exploitation (including for sex). Wherever possible, factors that limit the use of facilities should be dealt with through community mobilisation or revisions to the programme. It is essential to ensure that consultation before and during programme implementation includes adequate discussion with women, children and other vulnerable groups, for whom the constraints on use are likely to be greatest. 5. Monitoring errors of exclusion and inclusion: when a targeting system fails to reach all of the vulnerable people in need following a disaster, individuals or groups can quickly develop critical needs. Provision should be made for updating and refining targeting and distribution systems to achieve more effective coverage. Common standard 5: monitoring The effectiveness of the programme in responding to problems is identified and changes in the broader context are continually monitored, with a view to improving the programme, or to phasing it out as required. Key indicators (to be read in conjunction with the guidance notes) ● The information collected for monitoring is timely and useful, it is recorded and analysed in an accurate, logical, consistent, regular and transparent manner and it informs the ongoing programme (see guidance notes 1-2). 37 Common Standards – people suffering from HIV/AIDS may be exposed to stigma. Confidentiality should be observed at all times. Humanitarian Charter and Minimum Standards ● Systems are in place to ensure regular collection of information in each of the technical sectors and to identify whether the indicators for each standard are being met. ● Women, men and children from all affected groups are regularly consulted and are involved in monitoring activities (see guidance note 3). ● Systems are in place that enable a flow of information between the programme, other sectors, the affected groups of the population, the relevant local authorities, donors and other actors as needed (see guidance note 4). Guidance notes 1. Use of monitoring information: disaster situations are volatile and dynamic. Regularly updated information is therefore vital in ensuring that programmes remain relevant and effective. Regular monitoring allows managers to determine priorities, identify emerging problems, follow trends, determine the effect of their responses, and guide revisions to their programmes. Information derived from continual monitoring of programmes can be used for reviews, evaluations and other purposes. In some circumstances a shift in strategy may be required to respond to major changes in needs or in the context. 2. Using and disseminating information: information collected should be directly relevant to the programme – in other words, it should be useful and acted upon. It should also be documented and made available proactively as needed to other sectors and agencies, and to the affected population. The means of communication used (dissemination methods, language, etc.) must be appropriate and accessible for the intended audience. 3. People involved in monitoring: people who are able to collect information from all groups in the affected population in a culturally acceptable manner should be included, especially with regard to gender and language skills. Local cultural practices may require that women or minority groups be consulted separately by individuals who are culturally acceptable. 38 Minimum Standards Common to All Sectors 4. Information sharing: monitoring and evaluation activities require close consultation and cooperation across sectors. For example, during a cholera epidemic, information should be continually shared between water and sanitation agencies and health agencies. Coordination mechanisms such as regular meetings and the use of notice boards can facilitate this exchange of information. There is a systematic and impartial examination of humanitarian action, intended to draw lessons to improve practice and policy and to enhance accountability. Key indicators (to be read in conjunction with the guidance notes) ● The programme is evaluated with reference to stated objectives and agreed minimum standards to measure its overall appropriateness, efficiency, coverage, coherence and impact on the affected population (see guidance note 1). ● Evaluations take account of the views and opinions of the affected population, as well as the host community if different. ● The collection of information for evaluation purposes is independent and impartial. ● The results of each evaluation exercise are used to improve future practice (see guidance note 2). Guidance notes 1. Establishing criteria: evaluating humanitarian assistance programmes is not an easy task since disasters are characterised by rapid changes and a high degree of uncertainty. While qualitative methods are more likely to capture the intricate nature of disaster responses, those evaluating such programmes should be prepared to use different methods and compare and weigh the results to arrive at valid conclusions. 39 Common Standards Common standard 6: evaluation Humanitarian Charter and Minimum Standards 2. Subsequent use of information: evaluations should result in written reports, which are shared to contribute to transparency and accountability, and which allow for lessons to be learned across programmes and agencies that lead to improvements in humanitarian policies and practices. Common standard 7: aid worker competencies and responsibilities Aid workers possess appropriate qualifications, attitudes and experience to plan and effectively implement appropriate programmes. Key indicators (to be read in conjunction with the guidance notes) ● Aid workers have relevant technical qualifications and knowledge of local cultures and customs, and/or previous emergency experience. Workers are also familiar with human rights and humanitarian principles. ● Staff are knowledgeable about the potential tensions and sources of conflict within the disaster-affected population itself and with host communities. They are aware of the implications of delivering humanitarian assistance, and pay particular attention to vulnerable groups (see guidance note 1). ● Staff are able to recognise abusive, discriminatory or illegal activities, and refrain from such activities (see guidance note 2). Guidance notes 1. Staff need to be aware of the extent to which crimes of violence, including rape and other forms of brutality against women, girls and boys, can increase during times of crisis. Fear of harassment and rape forces women into forming alliances with soldiers and other men in positions of authority or power. Young males are vulnerable to forced conscription into fighting forces. Staff and field partners should know how to refer women, men and children seeking redress for human rights violations, and be familiar with procedures for referring survivors of rape and sexual violence for counselling, medical or contraceptive care. 40 Minimum Standards Common to All Sectors 2. Staff must understand that responsibility for control over the Common standard 8: supervision, management and support of personnel Aid workers receive supervision and support to ensure effective implementation of the humanitarian assistance programme. Key indicators (to be read in conjunction with the guidance notes) ● Managers are accountable for their decisions and for ensuring adequate security and compliance with codes/rules of conduct as well as support for their staff (see guidance note 1). ● Technical and managerial staff are provided with the necessary training, resources and logistical support to fulfil their responsibilities (see guidance note 2). ● Staff working on programmes understand the purpose and method of the activities they are asked to carry out, and receive subsequent feedback on their performance. ● All staff have written job descriptions, with clear reporting lines, and undergo periodic written performance assessment. ● All staff are oriented regarding relevant health and safety issues for the region and environment in which they are to work (see guidance note 3). ● Staff receive appropriate security training. 41 Common Standards management and allocation of the valuable resources involved in disaster response programmes puts them and others involved in their delivery in a position of relative power over other people. Staff must be alert to the danger that this power may be corruptly or abusively exercised. Staff should be aware that women and children are frequently coerced into humiliating, degrading or exploitative behaviour. Sexual activity cannot be required in exchange for humanitarian assistance nor should aid workers be party to any such forms of exchange. Activities such as forced labour and illicit drug use and trading are also prohibited. Humanitarian Charter and Minimum Standards ● Capacity-building systems for staff are set up and these are subject to routine monitoring (see guidance notes 4-5). ● The capacity of national and local organisations is built up to promote long-term sustainability. Guidance notes 1. Managers at all levels have particular responsibilities to establish and/or maintain systems that promote the implementation of programmes, of relevant policies, and to ensure compliance with rules/codes of conduct. Some humanitarian agencies already have codes or rules that relate to staff and institutional conduct with respect to issues such as child protection or sexual exploitation and abuse. As the importance of such rules is widely recognised, many humanitarian agencies are in the process of developing codes of conduct. Managerial accountability for ensuring compliance is a crucial aspect in the success of such codes. 2. Humanitarian agencies should ensure that their staff are qualified and competent, and properly trained and prepared, before assignment to an emergency situation. When deploying emergency teams, agencies should seek to ensure that there is a balance of women and men among staff and volunteers. Ongoing support and training may be necessary to ensure that staff can fulfil their responsibilities. 3. All staff should receive appropriate briefings on security and health issues, both prior to their deployment and when they arrive on-site. They should receive vaccinations and malaria prophylaxis medications (where needed) prior to deployment. Upon arrival, they should receive information aimed at minimising security risks, and should also be briefed on food and water safety, prevention of HIV/AIDS and other endemic infectious diseases, medical care availability, medical evacuation policies and procedures, and workers’ compensation. 4. Special efforts should be made to promote diversity within the various levels of an organisation. 5. Capacity building is an explicit objective during the rehabilitation phase following a disaster. It should also be undertaken, to the extent possible, during the disaster/relief phase itself, especially when this is protracted. 42 Appendix 1 References Participation ALNAP Global Study: Participation by Affected Populations in Humanitarian Action: Practitioner Handbook (forthcoming). http://www.alnap.org http://www.hapgeneva.org Assessment and response UNHCR, Handbook for Emergencies (2000). http://www.unhcr.ch Field Operations Guidelines for Assessment and Response (FOG, 1998). USAID. http://www.info.usaid.gov/ofda Demographic Assessment Techniques in Complex Humanitarian Emergencies: Summary of a Workshop (2002). http://books.nap.edu/books/0309084970/html Humanity Development Library: http://humaninfo.org OCHA Humanitarian Information Centres: http://www.humanitarianinfo.org OCHA (1999), Orientation Handbook on Complex Emergencies. Office for the Coordination of Humanitarian Affairs. United Nations. New York. Relief Web Humanitarian Library: http://www.reliefweb.int/library Telford, J (1997), Good Practice Review 5: Counting and Identification of Beneficiary Populations in Emergency Operations: Registration and its Alternatives. Relief and Rehabilitation Network/Overseas Development Institute. London. 43 Common Standards Thanks to the Forced Migration Online programme of the Refugee Studies Centre at the University of Oxford, many of these documents have received copyright permission and are posted on a special Sphere link at: http://www.forcedmigration.org Humanitarian Charter and Minimum Standards Targeting Humanitarian Ethics in Disaster and War. IFRC, 2003. http://www.ifrc.org/publicat/wdr2003/chapter1.asp International Food Policy Research Institute Training Material, Targeting: Principles and Practice. http://www.reliefweb.int/training/ti1227.html Vincent, M, Refslund Sorensen, B. (eds.) (2001), Caught Between Borders, Response Strategies of the Internally Displaced. Norwegian Refugee Council. International Strategy for Disaster Reduction, Countering Disasters, Targeting Vulnerability. UN/ISDR, 2001. http://www.unisdr.org Monitoring and evaluation ALNAP Annual Review (2001), Humanitarian Action: Learning from Evaluation. http://www.alnap.org ALNAP Annual Review (2003), Humanitarian Action: Improving Monitoring to Enhance Accountability and Learning. http://www.alnap.org Guidance for Evaluation of Humanitarian Assistance in Complex Emergencies, (1999). Overseas Economic Cooperation for Development (OECD). Paris. http://www.oecd.org/dac Manual for the Evaluation of Humanitarian Aid. European Community Humanitarian Office Evaluation Unit, Brussels, 2002. http://europa.eu.int Personnel The People in Aid Code of Good Practice in the Management and Support of Aid Personnel 2003. People in Aid. http://peopleinaid.org 44 Minimum Standards Common to All Sectors Children Action for the Rights of the Child (ARC). Save the Children Alliance and UNHCR, 1998. Children Not Soldiers, Guidelines for Working with Child Soldiers and Children Associated with Fighting Forces. Save the Children. Inter-Agency Working Group on Unaccompanied and Separated Children, Inter-Agency Guiding Principles on Unaccompanied and Separated Children (forthcoming). Disability http://www.annenberg.nwu.edu/pubs/disada/ http://www.fema.gov/rrr/assistf.shtm http://www.redcross.org/services/disaster/beprepared/disability.pdf Environment http://www.benfieldhrc.org/disastersstudies/projects/REA Environmental assessment resources for small-scale activities: http://www.encapafrica.org www.reliefweb.int/ochaunep Gender Beck, T and Stelcner, M (1996), Guide to Gender-Sensitive Indicators. Canadian International Development Agency (CIDA). Quebec. Dugan, J, Assessing the Opportunity for Sexual Violence against Women and Children in Refugee Camps. Journal of Humanitarian Assistance, August 2000. http://www.jha.ac/articles 45 Common Standards Gosling, L and Edwards, M, Toolkits – A Practical Guide to Planning, Monitoring, Evaluation and Impact Assessment. Save the Children. Humanitarian Charter and Minimum Standards Enarson, E (2000), Gender and Natural Disasters, Working Paper, In Focus Programme on Crisis Response and Reconstruction. ILO. FAO, Gender in Emergencies Annex: manuals, guidelines, major documents: http://www.fao.org FAO/WFP (2003), Passport to Mainstreaming a Gender Perspective in Emergency Programmes. Gender and Disaster Network: http://www.anglia.ac.uk Gender and Humanitarian Assistance http://www.reliefweb.int/library/GHARkit Resource Kit: UNHCR, Guidelines on the Protection of Refugee Women. UNICEF (1999), Mainstreaming Gender in Unstable Environments. http://www.reliefweb.int/library HIV/AIDS Holmes W (2003), Protecting the Future: HIV Prevention, Care, and Support Among Displaced and War-Affected Populations. International Rescue Committee. Kumarian Press, New York. Inter-Agency Field Manual. Reproductive Health in Refugee Situations. UNHCR/WHO/UNFPA. Geneva, 1999. Inter-Agency Standing Committee (IASC) on HIV/AIDS in Emergency Settings. Guidelines for HIV/AIDS Interventions in Emergency Settings (draft). IASC, 2003: 85. Geneva. Family Health International (FHI) (2001), HIV/AIDS Prevention and Care in Resource-Constrained Settings: A Handbook for the Design and Management of Programs. Virginia. Older people HelpAge International, Older People in Disaster and Humanitarian Crises: Guidelines for Best Practice. Available in English, French, Spanish and Portuguese. http://www.helpage.org 46 Minimum Standards Common to All Sectors Madrid International Plan of Action on Ageing, Report of the Second World Assembly on Ageing, Madrid, 8-12 April 2002, A/CONF.197/9 Paragraphs 54-56. http://www.un.org UNHCR, Policy on Older Refugees (as endorsed at the 17th Meeting of the Standing Committee February/March 2000). EC/50/SC/CRP.13 United Nations Principles for Older Persons. http://www.un.org Protection Frohardt, M, Paul, D and Minear, L (1999), Protecting Human Rights: The Challenge to Humanitarian Organisations. Occasional Paper 35, Thomas J. Watson Jr. Institute for International Studies, Brown University. Growing the Sheltering Tree: Protecting Rights Through Humanitarian Action, Programmes and Practice Gathered from the Field. Inter-Agency Standing Committee, Geneva. Protecting Refugees: A Field Guide for NGOs. UNHCR. Geneva, 1999 Strengthening Protection in War: A Search for Professonal Standards. ICRC. Geneva, 2001. OCHA, Protection of Civilians in Armed Conflict. http://www.reliefweb.int/ocha_ol/civilians/ 47 Common Standards Agenda for Protection. UNHCR. Geneva, 2002. Humanitarian Charter and Minimum Standards Notes 48 Minimum Standards Common to All Sectors Common Standards Notes 49 Humanitarian Charter and Minimum Standards Notes 50 Chapter 2: Minimum Standards in Water Supply, Sanitation and Hygiene Promotion How to use this chapter This chapter is divided into six main sections: Hygiene Promotion, Water Supply, Excreta Disposal, Vector Control, Solid Waste Management and Drainage. Each contains the following: ● the minimum standards: these are qualitative in nature and specify the minimum levels to be attained in the provision of water and sanitation responses; ● key indicators: these are ‘signals’ that show whether the standard has been attained. They provide a way of measuring and communicating the impact, or result, of programmes as well as the process, or methods, used. The indicators may be qualitative or quantitative; ● guidance notes: these include specific points to consider when applying the standard and indicators in different situations, guidance on tackling practical difficulties, and advice on priority issues. They may also include critical issues relating to the standard or indicators, and describe dilemmas, controversies or gaps in current knowledge. The appendices include a select list of references, which point to sources of information on both general issues and specific technical issues relating to this chapter. 52 Contents Introduction …………………………………………………………………………………………………… 54 1. Hygiene Promotion ………………………………………………………………………………. 59 2. Water Supply …………………………………………………………………………………………….. 63 ……………………………………………………………………………………… 71 ………………………………………………………………………………………….. 76 3. Excreta Disposal 4. Vector Control 5. Solid Waste Management………………………………………………………………….. 83 Appendix 1: Water Supply and Sanitation Initial Needs Assessment Checklist ………………………………………………….. 89 Appendix 2: Minimum Water Quantities for Institutions and Other Uses ……………………………………………………………….. 93 Appendix 3: Minimum Numbers of Toilets at Public Places and Institutions in Disaster Situations ………….. 94 Appendix 4: Water- and Excreta-Related Diseases and Transmission Mechanisms ………………………………..95 Appendix 5: References………………………………………………………………………………96 53 HP/ Wat San 6. Drainage ……………………………………………………………………………………………………… 86 Humanitarian Charter and Minimum Standards Water Supply, Sanitation and Hygiene Promotion Hygiene Promotion Water Supply Excreta Disposal Vector Control Solid Waste Management Drainage Standard 1 Standard 1 Standard 1 Standard 1 Standard 1 Standard 1 Programme design and implementation Access and water quantity Access to, and numbers of, toilets Individual and family protection Solid waste collection and disposal Drainage works Standard 2 Standard 2 Standard 2 Water quality Design, construction and use of toilets Physical, environmental and chemical protection measures Standard 3 Standard 3 Water use facilities and goods Chemical control safety Appendix 1 Water and Sanitation Initial Needs Assessment Checklist Appendix 2 Planning Guidelines for Minimum Water Quantities for Institutions and Other Uses Appendix 3 Planning Guidelines for Minimum Numbers of Toilets at Public Places and Institutions Appendix 4 Water-and Excreta-Related Diseases and Transmission Mechanisms Appendix 5 References Introduction Links to international legal instruments Everyone has the right to water. This right is recognised in international legal instruments and provides for sufficient, safe, acceptable, physically accessible and affordable water for personal and domestic uses. An adequate amount of safe water is necessary to prevent death from dehydration, to reduce the risk of water-related disease and to provide for consumption, cooking, and personal and domestic hygienic requirements. The right to water is inextricably related to other human rights, including the right to health, the right to housing and the right to adequate food. As such, it is part of the guarantees essential for human survival. States and non-state actors have responsibilities in fulfilling the right to water. In times of armed conflict, for example, it is prohibited to attack, destroy, remove or render useless drinking water installations or irrigation works. The Minimum Standards in this chapter are not a full expression of the Right to Water. However, the Sphere standards reflect the core content of the Right to Water and contribute to the progressive realisation of this right globally. 55 HP/ Wat San The Minimum Standards in Water, Sanitation and Hygiene Promotion are a practical expression of the principles and rights embodied in the Humanitarian Charter. The Humanitarian Charter is concerned with the most basic requirements for sustaining the lives and dignity of those affected by calamity or conflict, as reflected in the body of international human rights, humanitarian and refugee law. Humanitarian Charter and Minimum Standards The importance of water supply, sanitation and hygiene promotion in emergencies Water and sanitation are critical determinants for survival in the initial stages of a disaster. People affected by disasters are generally much more susceptible to illness and death from disease, which are related to a large extent to inadequate sanitation, inadequate water supplies and poor hygiene. The most significant of these diseases are diarrhoeal diseases and infectious diseases transmitted by the faeco-oral route (see Appendix 4). Other water- and sanitation-related diseases include those carried by vectors associated with solid waste and water. The main objective of water supply and sanitation programmes in disasters is to reduce the transmission of faeco-oral diseases and exposure to disease-bearing vectors through the promotion of good hygiene practices, the provision of safe drinking water and the reduction of environmental health risks and by establishing the conditions that allow people to live with good health, dignity, comfort and security. The term ‘sanitation’, throughout Sphere, refers to excreta disposal, vector control, solid waste disposal and drainage. Simply providing sufficient water and sanitation facilities will not, on its own, ensure their optimal use or impact on public health. In order to achieve the maximum benefit from a response, it is imperative to ensure that disaster-affected people have the necessary information, knowledge and understanding to prevent water- and sanitation-related disease, and to mobilise their involvement in the design and maintenance of those facilities. In most disaster situations the responsibility for collecting water falls to women and children. When using communal water and sanitation facilities, for example in refugee or displaced situations, women and adolescent girls can be vulnerable to sexual violence or exploitation. In order to minimise these risks, and to ensure a better quality of response, it is important to encourage women’s participation in water supply and sanitation programmes wherever possible. An equitable participation of women and men in planning, decision-making and local management will help to ensure that the entire affected population has safe and easy access to water supply and sanitation services, and that services are equitable and appropriate. 56 M i n i m u m S t a n d a r d s i n Wa t e r S u p p l y, S a n i t a t i o n a n d H y g i e n e P r o m o t i o n Links to other chapters For instance, where nutritional standards have not been met, the urgency to improve the standard of water and sanitation increases, as people’s vulnerability to disease will have significantly increased. The same applies to populations where HIV/AIDS prevalence is high or where there is a large proportion of older or disabled people. Priorities should be decided on the basis of sound information shared between sectors as the situation evolves. Reference to specific standards or guidance notes in other technical chapters is made where relevant. Links to the standards common to all sectors The process by which an intervention is developed and implemented is critical to its effectiveness. This chapter should be utilised in conjunction with the standards common to all sectors, which cover participation, initial assessment, response, targeting, monitoring, evaluation, aid worker competencies and responsibilities, and the supervision, management and support of personnel (see chapter 1, page 21). In particular, in any response the participation of disasteraffected people – including the vulnerable groups outlined below – should be maximised to ensure its appropriateness and quality. Vulnerabilities and capacities of disaster-affected populations The groups most frequently at risk in emergencies are women, children, older people, disabled people and people living with HIV/AIDS (PLWH/A). In certain contexts, people may also become vulnerable by reason of ethnic origin, religious or political affiliation, 57 HP/ Wat San Many of the standards in the other sector chapters are relevant to this chapter. Progress in achieving standards in one area often influences and even determines progress in other areas. For a response to be effective, close coordination and collaboration are required with other sectors. Coordination with local authorities and other responding agencies is also necessary to ensure that needs are met, that efforts are not duplicated, and that the quality of water and sanitation responses is optimised. Humanitarian Charter and Minimum Standards or displacement. This is not an exhaustive list, but it includes those most frequently identified. Specific vulnerabilities influence people’s ability to cope and survive in a disaster, and those most at risk should be identified in each context. Throughout the handbook, the term ‘vulnerable groups’ refers to all these groups. When any one group is at risk, it is likely that others will also be threatened. Therefore, whenever vulnerable groups are mentioned, users are strongly urged to consider all those listed here. Special care must be taken to protect and provide for all affected groups in a non-discriminatory manner and according to their specific needs. However, it should also be remembered that disaster-affected populations possess, and acquire, skills and capacities of their own to cope, and that these should be recognised and supported. 58 The Minimum Standards Hygiene promotion is integral to all the standards within this chapter. It is presented here as one overarching standard with related indicators. Further specific indicators are given within each standard for water supply, excreta disposal, vector control, solid waste management and drainage. 59 HP/ Wat San The aim of any water and sanitation programme is to promote good personal and environmental hygiene in order to protect health. Hygiene promotion is defined here as the mix between the population’s knowledge, practice and resources and agency knowledge and resources, which together enable risky hygiene behaviours to be avoided. The three key factors are 1) a mutual sharing of information and knowledge, 2) the mobilisation of communities and 3) the provision of essential materials and facilities. Effective hygiene promotion relies on an exchange of information between the agency and the affected community in order to identify key hygiene problems and to design, implement and monitor a programme to promote hygiene practices that will ensure the optimal use of facilities and the greatest impact on public health. Community mobilisation is especially pertinent during disasters as the emphasis must be on encouraging people to take action to protect their health and make good use of facilities and services provided, rather than on the dissemination of messages. It must be stressed that hygiene promotion should never be a substitute for good sanitation and water supplies, which are fundamental to good hygiene. Charter 1 Hygiene Promotion Humanitarian Charter and Minimum Standards Hygiene promotion standard 1: programme design and implementation All facilities and resources provided reflect the vulnerabilities, needs and preferences of the affected population. Users are involved in the management and maintenance of hygiene facilities where appropriate. Key indicators (to be read in conjunction with the guidance notes) ● Key hygiene risks of public health importance are identified (see guidance note 1). ● Programmes include an effective mechanism for representative and participatory input from all users, including in the initial design of facilities (see guidance notes 2, 3 and 5). ● All groups within the population have equitable access to the resources or facilities needed to continue or achieve the hygiene practices that are promoted (see guidance note 3). ● Hygiene promotion messages and activities address key behaviours and misconceptions and are targeted for all user groups. Representatives from these groups participate in planning, training, implementation, monitoring and evaluation (see guidance notes 1, 3 and 4 and Participation standard on page 28). ● Users take responsibility for the management and maintenance of facilities as appropriate, and different groups contribute equitably (see guidance notes 5-6). Guidance notes 1. Assessing needs: an assessment is needed to identify the key hygiene behaviours to be addressed and the likely success of promotional activity. The key risks are likely to centre on excreta disposal, the use and maintenance of toilets, the lack of hand washing with soap or an alternative, the unhygienic collection and storage of water, and unhygienic food storage and preparation. The assessment should look at resources available to the population as well as local behaviours, knowledge and 60 M i n i m u m S t a n d a r d s i n Wa t e r S u p p l y, S a n i t a t i o n a n d H y g i e n e P r o m o t i o n practices so that messages are relevant and practical. It should pay special attention to the needs of vulnerable groups. If consultation with any group is not possible, this should be clearly stated in the assessment report and addressed as quickly as possible (see Participation standard, page 28 and the assessment checklist in Appendix 1). 2. Sharing responsibility: the ultimate responsibility for hygiene practice lies with all members of the affected population. All actors responding to the disaster should work to enable hygienic practice by ensuring that both knowledge and facilities are accessible, and should be able to demonstrate that this has been achieved. As a part of this process, vulnerable groups from the affected population should participate in identifying risky practices and conditions and take responsibility to measurably reduce these risks. This can be achieved through promotional activities, training and facilitation of behavioural change, based on activities that are culturally acceptable and do not overburden the beneficiaries. programmes need to be carried out with all groups of the population by facilitators who can access, and have the skills to work with, different groups (for example, in some cultures it is not acceptable for women to speak to unknown men). Materials should be designed so that messages reach members of the population who are illiterate. Participatory materials and methods that are culturally appropriate offer useful opportunities for groups to plan and monitor their own hygiene improvements. As a rough guide, in a camp scenario there should be two hygiene promoters/community mobilisers per 1,000 members of the target population. For information on hygiene items, see Non-food items standard 2 on page 232. 4. Targeting priority hygiene risks and behaviours: the objectives of hygiene promotion and communication strategies should be clearly defined and prioritised. The understanding gained through assessing hygiene risks, tasks and responsibilities of different groups should be used to plan and prioritise assistance, so that misconceptions (for example, how HIV/AIDS is transmitted) are addressed and information flow between humanitarian actors and the affected population is appropriate and targeted. 61 HP/ Wat San 3. Reaching all sections of the population: hygiene promotion Humanitarian Charter and Minimum Standards 5. Managing facilities: where possible, it is good practice to form water and/or sanitation committees, made up of representatives from the various user groups and half of whose members are women. The functions of these committees are to manage the communal facilities such as water points, public toilets and washing areas, be involved in hygiene promotion activities and also act as a mechanism for ensuring representation and promoting sustainability. 6. Overburdening: it is important to ensure that no one group is overburdened with the responsibility for hygiene promotional activities or management of facilities and that each group has equitable influence and benefits (such as training). Not all groups, women or men have the same needs and interests and it should be recognised that the participation of women should not lead to men, or other groups within the population, not taking responsibility. 62 Water is essential for life, health and human dignity. In extreme situations, there may not be sufficient water available to meet basic needs,and in these cases supplying a survival level of safe drinking water is of critical importance. In most cases, the main health problems are caused by poor hygiene due to insufficient water and by the consumption of contaminated water. Charter 2 Water Supply All people have safe and equitable access to a sufficient quantity of water for drinking, cooking and personal and domestic hygiene. Public water points are sufficiently close to households to enable use of the minimum water requir…

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