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ASSESSMENT AGAINST THE CORE HUMANITARIAN STANDARD USER GUIDANCEFOR AID ORGANISATIONS
QUALITY. ACCOUNTABILITY. PEOPLE MANAGEMENT
Published by: CHS AllianceEdition: 2019Version 2.0 - this version replaces previous versions. ISBN: 978-2-9701305-1-2
CHS AllianceMaison Internationale de l’Environnement 2Chemin de Balexert 7 (first floor, room 1-08)CH – 1219 Châtelaine Geneva, Switzerland+41 (0)22 788 16 41info@chsalliance.orgwww.chsalliance.org
© All rights reserved. The copyright for this material lies with the CHS Alliance. It may be reproduced for educational purposes, including training, research and programme activities, provided that the CHS Alliance is acknowledged and details of such use are provided to the Alliance prior to use. For elements of this document to be quoted in other publications, translated, or adapted for use, prior written permission must be obtained from the copyright owner by emailing info@chsalliance.org.
User guidance for aid organisations l 1
CONTENTS1. OVERVIEW 2 1.1 The guidance and its audience 2 1.2 The Core Humanitarian Standard on Quality and Accountability 2 1.3 A standard for both humanitarian and development work 3 1.4 The CHS verification framework and scheme 3 1.5 The CHS assessment 3 What’s an assessment against the CHS? 3 WhatisthetimelineofaCHSAssessment? 3 Whyconductinganassessment? 3 1.6 The CHS Index scores 5 1.7 The CHS Alliance’s support to its members 5
2. PROCESS & TIMELINE FOR COMPLETING A CHS ASSESSMENT 6 Phase 1 – Headquarters level - Starting the Assessment and completing consultations at HQ level 7 Step0:Preparatoryworks 7 Step1:Documentaryreview 8 Step2:StaffconsultationatHeadquarterslevel 8 Phase 2 - Field level - Consultations of staff, partners and beneficiaries 10 Step3:Conductinterviewswithrelevantstaffatfieldlevel 10 Step4:Conductinterviewswithpartners 11 Step5:Conductinterviewswithbeneficiaries 11 Phase3–Headquarterslevel-Drafting&scoringthereport,validatingtheassessment 12 Step6:Draftandscorethesummaryreport 12 Step7:Submission,validation&nextsteps–improvementplanning 15
ANNEX 1 – THE INDEX SCORES 16ANNEX 2 - SOURCES OF EVIDENCE 17ANNEX 3 - STAFF QUESTIONNAIRE 24ANNEX 4 – TIPS TO PLAN AND CONDUCT INTERVIEWS 42ANNEX 5 – FAQS FOR THOSE TAKING PART IN INTERVIEWS 43ANNEX 6 – FEEDBACK FROM COMMUNITIES 45
2 l CHS Assessment
1. OVERVIEW
1.1 THE GUIDANCE AND ITS AUDIENCEThisguidancepresentsmethodology,toolsandadviceforaidorganisationsconductinganassessmentagainsttheCoreHumanitarianStandardonQualityandAccountability(CHS).Itincludestemplatesforcollectinginformationanddocumentevidence.ItisprimarilydesignedfortheCHSassessmentteam(seedescriptionofresponsibilitiesbelow)andanyotherpersonorentitycoordinatingtheeffortsofanorganisationthroughanassessment.
1.2 THE CORE HUMANITARIAN STANDARD ON QUALITY AND ACCOUNTABILITY (CHS)
TheCHSisasetofninecommitmentstocommunitiesandpeopleaffectedbycrisis,statingwhattheycanexpectfromorganisationsandindividualsdeliveringhumanitarianassistance.ItwaslaunchedinDecember2014andisjointlyownedbySphere,GroupeURDandtheCHSAlliance.Theninecommitmentscanbeusedbyorganisationsandindividualsinvolvedinhumanitarianresponsetoimprovethequalityandeffectivenessoftheassistancetheyprovide.TheCHSalsofacilitatesgreateraccountabilitytothosecommunitiesandindividualsaffectedbycrisis–knowingwhathumanitarianorganisationshavecommittedtoenablespeopletoholdthemtoaccount1.
Asacorestandard,theCHSdescribestheessentialelementsofprincipled,accountableandhigh-qualityhumanitarianaction.Humanitarianorganisationsmayuseitasavoluntarycodetoaligntheirowninternalproceduresanditcanalsobeusedasthebasisforverifyingperformance.
Cor
e H
uman
itaria
n Standard • Core Humanitarian Standard • Core H
umanitarian Standard • Core Humanita
rian
Stan
dard
•
1Humanitarian response is appropriate and relevant.
5Complaints
are welcomed and addressed.
2Humanitarian response is
effective and timely.
3Humanitarian
response strengthens local
capacities and avoids negative
effects.
8Staff are
supported to dotheir job effectively,
and are treated fairly and equitably.
9Resources
are managed and used responsibly for their intended
purpose.
4Humanitarian
response is based on communication, participation and
feedback.
7Humanitarian
actors continuously
learn and improve. 6
Humanitarian response is
coordinated and complementary.
Communities and people
affected by crisis
Humanity • Impartiality
• N
eutrality • Independe
nce
•
1 YoucanfindmoreinformationontheCoreHumanitarianStandardandrelatedresourcesatwww.corehumanitarianstandard.org
User guidance for aid organisations l 3
1.3 A STANDARD FOR BOTH HUMANITARIAN AND DEVELOPMENT WORK
TheCHSwasdevelopedprimarilybyhumanitarianactorsandthisisreflectedintheterminology.However,theconceptsandverificationtoolsareequallyvalidinadevelopmentcontext–relevance,timeliness,accountability,coordinationorlearningandimprovementarenotrestrictedto humanitarianwork.
AmajorityofCHSAlliancemembersworkwithadualmandatecoveringhumanitariananddevelopment,andthoseusingtheverificationtoolshaveconfirmedthisrelevanceinbothfields.
1.4 THE CHS VERIFICATION FRAMEWORK AND SCHEME VerificationagainsttheCHSisoneofthefirststepsthatorganisationsshouldtakewhencommitting toworkinlinewiththeninecommitments,andtheCHSAlliancehasdevelopedtwokeydocuments tohelp:
• The verification framework2providesindicatorsforthekeyactionsandorganisationalresponsibilitiesundereachCHScommitment.These62indicatorshavebeenderivedfromthe36keyactionsand26organisationalresponsibilitiesacrossthenineCHScommitments.
• The verification scheme3ensuresthatverificationisconductedinafairandconsistentmanner byallparticipatingorganisations.Theschemeoffersfourstand-aloneoptions:
self-assessment peerreview independentverification certification.
Allfourstand-aloneoptionsusethesameindicatorsfromtheverificationframework. Theyalsousethesamesourcesofevidencetoevaluatetheorganisation’sperformance:reviewingdocumentation,consultingstaff(atbothheadquartersandfieldlevel)andinterviewingbeneficiaries.
TheCHSAlliancemanagesself-assessmentandpeerreview.Theindependentverificationandcertification,beingexternalaudits,aremanagedbyanindependentandaccreditedorganisation4.
1.5 THE CHS ASSESSMENT What is an assessment against the CHS?Weusetheterm‘assessment’torefertothe‘self-assessment’whichisentirelyconductedbyaninternalteamorfacilitatedbyaconsultant,orthe‘peerreview’,conductedbyateamfrompeerorganisations.
ACHSassessmentmeasureshowwellanorganisationappliestheninecommitmentsoftheCHSinitspolicies,systemsandpractices.Theassessmenthelpsorganisationstoidentifygoodpracticesandareasforimprovement.
What is the life cycle of an assessment?ACHSassessmentisafour-yearcycleofcontinuouslearningandimprovement(seeFigure1).
https://www.chsalliance.org/files/files/CHS%20Verification%20Framework%2016%20March%202016_with%20copyrights.pdf.https://www.chsalliance.org/files/files/Outline-CHS-Verification-Scheme-V7.pdf
Formoreinformationontheorganizationscurrentlyofferingthisservice,pleaserefertotheverificationpageoftheCHSAlliancewebsite.
4 l CHS Assessment
•Year0:conductaninitialassessmentandbuildanimprovementplan
•Year1:startimplementingtheimprovementsandreportonprogress
•Year2:continuewiththeimprovementplan,whilereviewingittoensureittakesaccountofmajorchangesintheorganisationortheenvironmentinwhichitisworking,andreportonprogress
•Year3:continuesimplementingtherevisedplanandreportonprogress
•Year4:conductanewassessmentandbuildanotherimprovementplan.
Why conduct an assessment?TherearemanybenefitsforanorganisationthatconductsaCHSassessment,including:
•Engagementandimprovement–findingsfromanassessmentprovidethebasisforplanningimprovementsinpolicy,systemsandpracticesandtheassessmentprocessitselfcandeliverthebuy-inrequiredforthechangesthatareneeded.
•Internalawarenessofcommitments–assessmentinterviewswithstaffatbothheadquartersandfieldlevelwillbuildawarenessofyourcommitmentstoaccountability,qualityandpeoplemanagement.
•Externalrecognitionandvisibility–everyorganisationcompletingaCHSassessmentwillbegivenpublicrecognitionoftheeffortstheyhavemadetowardsimplementingthestandard.
Figure1:Acontinuouslearningandimprovementcycle
YEAR 0 OR 4Entire process of CHS
assessment and improvement plan
YEAR 1Annual reporting
against improvement plan
YEAR 3Annual reporting
against improvement plan
Quality and accountability improvement
cycle
YEAR 2Revision of the
improvement plan as necessary
User guidance for aid organisations l 5
1.6 THE CHS INDEX SCORESEachorganisationcompletingoneoftheverificationoptionswillalsoassessitsperformanceonkeycross-cuttingissues.TheCHSAlliancehasusedindicatorsfromtheninecommitmentstodevelopindexesthatreflecthowwelltheorganisationperformsacrossthreeoftheseareas:1.protectionagainstsexualexploitation,abuseorharassment(PSEAH)2.localisation3.genderanddiversity.
YoucanfindthedetailedlistofindicatorsinAnnex1.
1.7 THE CHS ALLIANCE’S SUPPORT TO ITS MEMBERS AllCHSAlliancememberscommitto‘haveadocumentedorganisationalcommitmenttoqualityandaccountability’,andtheCHSAlliancesecretariatstronglyencouragesitsmemberstofulfilthiscommitmentbyevaluatingperformanceagainsttheCHS.Thesecretariatoffersarangeofsupportforthevariousverificationoptions,including:
•trainingsessions,webinars,helpdesk,bilateralmeetingsandvisitstosupportself-assessmentandpeerreview
•‘sanitychecking’submittedreports,includingin-depthreviewstoensurethatmethodologyisappropriateandthatthescoreshavebeenconsistentlyallocatedinlinewithnarrativeanswersandthescoringgrid
•researchingandclarifyingCHSindicatorswherefurtherguidanceisneeded
•dashboardsandaccesstoCHSverificationdataontheTableauplatformwhenassessmentsorthird-partyverificationsarecomplete–allowingAlliancememberstobenchmarktheirperformance
•advocacyatthesectorlevelforcollectivesolutionsandinitiativesaddressingweaknessesidentifiedthroughtheaggregatedresults.
TheCHSAlliancerequiresmemberstoprovidetheirCHSassessmentorthird-partyreportsforanalysisandtheidentificationofsolutionstocollectiveproblems.Thesecretariatkeepsallreportsconfidential.
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2. PROCESS AND TIMELINE FOR COMPLETING A CHS ASSESSMENT
Theserecommendationsarebasedongoodpractice.Itisuptoeachorganisationtocustomise theprocessbasedonitsowncircumstances,whileensuringthatataminimumit:
• coversallareasoftheCHS
•seeksinputfromstaff,communitiesandpeopleaffectedbycrisis,aswellaspartnersintheprocess
•providesevidencetobackupconclusionsandscores.
ConductingaCHSself-assessment:
Here’satemplatetimelinethatorganisationscanusewhenpreparingfortheirassessment.Itisbased onfeedbackfromusers,coversthevariousstagesofanassessmentandestimateshowmanydaysyoucanexpecttospendoneachstep.
0.Preparatory
works
Phase1–HQlevel Phase2–fieldlevel
6months
Phase3–HQlevel
3months
2.Staff
consultation–HQlevel
5.Beneficiaryconsultation
1.Documentary
review
4.Partners
consultation
3.Staff
consultation–fieldlevel
6.Report
draftingandscoring
7. Validation andnextsteps–
improvementplanning
Steps/weeks 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21#averagedaysofwork(estimate)
NNGO INGO<10countries
INGO>10countries
Phase1-Headquarterslevle-StartingtheAssessmentandcompletingconsultationsatHQlevel
0.Preparatoryworks 3 3 3
1.Documentaryreview 3 6 9
2.Staffconsultation-HQlevel 2 4 6
Phase2-Fieldlevel-consultationsofstaff,partnersandbeneficiariesbycountryvisited(forINGOsonly,tobemultipliedby2iftheorganisationworsin10countriesormore
travel arrangements and preparation of the meetings 5 10
3.Staffconsultation 2 4
4.Partnersconsultation 1 2 4
5.Beneficiaryconsultation 1 2 4
Phase3-HQlevel-drafting&scoringthereport,validatingtheassessment
6.Reportdrafting&scoring 3 6 9
7.Validation&nextsteps 2 3 4
Total 15 33 53
User guidance for aid organisations l 7
Belowisadetaileddescriptionofeachstep,includingthemethodologyandtoolstobeused.Thesize ofyourorganisationwillhaveasignificantimpactontheparameters.
Werecommendthatyoureadthemethodologyalongsidethereporttemplate,asitreferstotoolsandsectionsinthetemplate.
PHASE 1 – HEADQUARTERS LEVEL – STARTING THE ASSESSMENT AND COMPLETING CONSULTATIONS AT HQ LEVEL
Thisphaseaimsatlaunchingtheassessmentandbuildinganinitialunderstandingofthestrengths andweaknessesoftheorganisationinlightoftheCHS–youwillconfirmandadjusttheseduringthefieldconsultations.Afterthesepreliminaries,theassessmentbeginswithcollectinginformationattheheadquarterslevel,lookingatdocumentsandtheguidancealreadyinplace,aswellasstaffknowledgeandopinions.
Step0:Preparation
Why? ToplanfortheCHSassessmentappropriately,youwillneedtounderstanditsscope,thepeoplewhoneedtobeinvolved,thedocumentsyouwillhavetogatherandhowresultswillbeused.Togetpeopleonboard,youwillneedtobeabletoexplainnotonlytheprocessbutalsothebenefitstheorganisationanditsstaffcanderive–seeSection1.3.
Ensuringseniorleaderssupporttheprocesswillbekeytoitssuccess.Highlightingthestrategicimportanceoftheprocesswillensurethatdifferentdepartmentscommitstaff,timeandresources. Thisisnotonlyrelevanttooperations,butalsotoHRandfinancefunctions.Itwillalsoensurebuy-in fortheresultswhenit’stimetodevelopanimprovementplan.
How?OnceseniormanagementhasendorsedthedecisiontoconductaCHSassessment,theorganisationshouldidentifyandnominate:
• An assessment team-leader: thispersonwillhavetheultimatemanagementresponsibilityforconductingtheassessment.TheCHSAlliancerecommendsthispersonistheAlliancefocalpoint5 orthepersonwiththemostsenior(operational)roleintermsofmanagingqualityandaccountabilitywithinyourorganisation.Theyshouldbecomefamiliarwiththetoolsandprocess–readingthisguidance,contactingtheCHSAlliancepolicyteam,registeringforawebinarortakingtheonlinecourseonself-assessment.Wealsorecommendappointingaself-assessmentchampionfromtheseniormanagementteam,toprovidehigh-levelsupporttotheteamleaderandtheprocess.
• An assessment team: thissmallgroupwillplanandcoordinatetheassessmentprocess,composedofpeopleselectedfortheirinterestintheprocessandtheircapacitytogainthesupportandengagementofstaffacrossdifferentpartsoftheorganisation–includingthedifferentdepartments,e.g.finance,logistic,programmes.Groupresponsibilitiesaredetailedbelow. Youwillneedtodeveloparobustworkplan,takingintoaccountotherprioritieswithinyourorganisation,consultingwithcolleaguesontiming,andprovidingthemwithsufficientnotice whenorganisinginterviewsorrequestingdocuments.Makesurethatyou:
• decideonthespecificactivitiestobeundertakenandwhotoinvolve–basedonthesteps inthisguidance
5 EachCHSAlliancememberorganisationhasafocalpointtoliaisewiththeCHSAlliance.
8 l CHS Assessment
•validateaworkplanfortheentireprocess–steps,timeframesandresponsibilities
• encourageparticipationfromdifferentpartsoftheorganisation
• communicateinitialplansandprogressreportstostaff6
• setmilestonestoensuretheprocessstaysontrack.
Makesurethatanypartnersyouworkthrougharealsoconsultedinthedevelopmentoftheparts oftheworkplanthatconcernthem.
Step1:Documentaryreview
Why? Yourexistingpolicies,guidanceandsystemsarethefirstsourcesofinformationwhenlookingatyourorganisation’scompliancewiththeCHS.
How?
InthisstepyouarerequiredtomapthemostrelevantguidanceyouhaveinplacefortheimplementationofeachofthenineCHScommitments.Thisencompassesnotonlyguidanceandpoliciesbutalsoprojectreports,minutesofmeetings,potentialindependentevaluation,aswellasanyotherdocumentsthatcanprovideevidence.
Ifyouworkthroughpartners,youshouldpayparticularattentiontoallpartnership-relateddocumentsthatcaninfluencebothpolicyandpractice–e.g.partnerassessmentformats,proposals,reporting. Ifyourpartnersarethoseimplementingprogrammes,thentheirreportsshouldalsobeamajorsourceofevidencetoinformcompliancewiththekeyactionsoftheCHS.
Who?
Theassessmentteamleaderandtheassessmentteammembersreviewtheguidancefromtheirowndepartment/areaofexpertise.
What tools?
Annex2ofthecurrentguidanceprovidesexamplesofevidencesourcesyoucanusetodemonstratethedegreetowhichyourorganisationismeetingcommitments.Thesesuggestedsourcesareindicativeonlyandnotmeanttobeexhaustive.
Thefindingsshouldbereportedinsection2–documentationreview–inthereport.
Step2:Staffconsultationatheadquarterslevel
Why? Qualityultimatelyreliesonpeople.Competentstaffcanfixapoorly-writtenprojectproposalbutagreatproposalcanonlysucceedifyouhavebothskilledandmotivatedstaff.Similarly,whileyoucanhavegreatpoliciesandprocesses,unlessstaffareawareofthem,understandwhytheyareimportantandaresupportedtoimplementthem,practicewillnotalignwithpolicy.Itisthereforecrucialtoinvolveyourstaffasakeystakeholderintheassessmentexercise,andtakingaccountoftheirdiversitywillensure youcanaccountfordifferencesofopinionandpracticebasedonseniority,geographicallocation, genderorotherfactors.
6Makesurethisispartoftheworkplan.
User guidance for aid organisations l 9
How? Meetingsshouldbeconductedseparatelywitheachdepartmentoftheorganisation,focused ontherelevantcommitmentsandindicators,assuggestedbelow.Thisfocusensuresthatmore emphasisisbeingputontheareasofexpertiseoftheinterviewees,inordertosavetimeforeveryone.
Yourobjectiveshouldbetoreachasamplethatisrepresentativebutmanageableintermsofresourcesneeded.
StaffarenotaskedtoprovideyouwithascoreforthecorrespondingCHSindicatorsduringinterviews,butratherprovideinformationandevidencethatwill,togetherwithotherformsofevidence,allowyoutosettleonascoreafterwards.ThestaffquestionnaireinAnnex3willhelpyoumanagethis.Theguidingquestionsaretostimulatethinkingabouthowspecificrequirementscanbemetbuttheyarenottheretoprovidesub-indicators.
Who? Althoughthiscanbedelegatedasnecessary,theassessmentteammembersshouldconductinterviewsandfocusgroupdiscussionsthemselvesasfaraspossible.
What tools? Annex3providesatemplatetoconductanddocumentstaffinterviews.Youdon’tneedtosubmit ittotheCHSAllianceaspartoftheself-assessment.
Annex4offerstipsforplanningandconductinginterviews.
Annex5providesanswerstoquestionsthatmaycomeupduringdiscussions.
Organisational department CHS commitments and indicators to focus on during the interviews
Programmes
Commitments 1 to 7 – all indicators. Primarily key actions but also organisational responsibilities, to assess existing knowledge of current policies and systems Commitment 8 – 8.1, 8.2, 8.3
Policy
Commitment 1 – 1.4, 1.5, 1.6 Commitment 2 – 2.6, 2.7 Commitment 3 – 3.7, 3.8 Commitment 4 – 4.5, 4.6, 4.7 Commitment 5 – 5.4, 5.5, 5.6, 5.7 Commitment 6 – 6.5, 6.6 Commitment 7 – 7.6
Monitoring, evaluation and learning Commitment 2 – 2.4, 2.5, 3.6 Commitment 7 – all indicators
Communication Commitment 4 – 4.2, 4.7
People Management/Human Resources Commitment 5 – 5.5 Commitment 8 – all indicators
Finance and administration Commitment 9 – all indicators
10 l CHS Assessment
PHASE 2 – FIELD LEVEL – CONSULTING STAFF, PARTNERS AND BENEFICIARIES
Whiletheexistenceofrelevantpolicies,proceduresandguidelinescanbedealtwithatheadofficelevelfieldlevelconsultationsareimportantbecausesomeformofsamplingneedstocheckwhetherstaffareawareofandcanaccessthesepolicies7,andtheextenttowhichtheyareimplemented.Consultingbeneficiariesalsohelpswithunderstandingimplementation.
Steps3,4and5takeplaceinthecountriesselectedforthesampling.Dependingontheorganisation, theteamleaderoftheassessmentmaygotothefield.Alternatively,focalpointscanbeappointedincountryoffices,inwhichcasetheyshouldbegivensufficienttimetofamiliarisethemselveswiththe CHSandtheguidancefortheinterviews.
Samplingmeansyouwillonlyvisitalimitednumberofcountriesandprojectsites,butusethefindings ofthosevisitstodrawconclusionsfortheentireorganisation.Forthisreason,itishighlyrecommendedthatyourselectionconsiderstherepresentativenessoftheoperationsyoumayvisit.Forthefirstassessment,weadviseyoutoselectareasorprogrammesthatarethemostrepresentative,rather thanthemostchallengingorsuccessful.
CHSAlliancerequirementsfortheminimumnumberofcountriesandprojectsites:
Number of countries where the organisation operates
Minimum number of country programmes to visit for
the self-assessment
Number of programme sites to visit within each country
1 N/A 2
1-9 1 2
10 or more 2 2
Step3:Conductinterviewswithrelevantstaffatfieldlevel
Why?
AswithStep2,yourobjectiveistogatherinformationfromthestaffinthefield,assesstheextent towhichtheyareimplementingthekeyactions,andwhethertheyarefamiliarwiththeorganisation’spolicies,proceduresandguidelinesidentifiedthroughtheprevioussteps.
How?Asbefore,wehighlyrecommendedyoufocusonthemostrelevantcommitmentsforthedepartmentsyou’remeetingwith(seemappingguideabove).
Manyorganisationsdonotimplementprogrammesdirectlybutworktogetherwithpartnerstodeliver. Ifthisisasignificantmeansthroughwhichyourorganisationimplementsprogrammes,thequalitywilldependtoalargeextentonthedegreetowhichyourpartnersalsoadoptthecommitmentsoftheCHSintheirqualityframework8.Therefore,werecommendthatseniorpartnerstafftakeanactiverolein thestaffconsultation,toassesstheirlevelofunderstandingandimplementationofthekeyactions.
7Forexample,aretherelevantdocumentsavailableinlanguagesspokenbystaffinvariouscountryprogrammes? 8Manyorganisationsinthehumanitariansectorstrivetobuildequalpartnerships.ThismeansthatassessinghowyourpartnerworkswiththeCHS isamutualresponsibility,notjustthatofthepartnerprovidingfunds.
User guidance for aid organisations l 11
Who?Theassessmentteamleader(ordesignatedrepresentativeinthefield),twoorthreerepresentatives ofeachdepartment(atleastonesenior),andthesamenumberfrompartnerorganisations.
What tools?Annex3providesatemplatetoconductanddocumentstaffinterviews.Youdon’tneedtosubmit ittotheCHSAllianceaspartoftheself-assessment.
Annex4offerstipsforplanningandconductinginterviews.
Annex5providesanswerstoquestionsthatmaycomeupduringdiscussions.
Step4:Conductinterviewswithpartners
Why?Ifyouworkthroughpartnersthisstepaimstoidentifystrengthsandweaknessesinthetype ofrelationshipyourorganisationbuildswithitsthem.Thisshouldhelpyoubetteranalysetheextent towhichyourpartnersareenabledtounderstandandfullyimplementtheCHS.
How?Byconductinginterviewswitharepresentativerangeofpartners–youshouldinterviewatleasttwopartnerspercountry,oruntilyoufeelcomfortableresultsarerepresentativeofyourpartnersingeneral.
Who?Theassessmentteamleader(ordesignatedrepresentativeinthefield),twoorthreerepresentatives (atleastonesenior)fromthepartnerorganisations.
What tools?PleasefillinSection3ofthereporttemplate–‘informationonpartnerships’.
Step5:Conductinterviewswithbeneficiaries
Why?PuttingpeopleatthecentreofhumanitarianresponseistheideabehindtheCHS.Therefore, itisessentialthatthevoiceofpeopleandcommunitiesaffectedbycrisisisakeyelementofthe self-assessment.Theirvoiceneedstobebalancedwiththatofstaff,partnersanddocumented processes,soyoucantriangulatedatatoensureyourconclusionsarereliable.
Ultimately,however,thoseaffectedbycrisisarethestakeholdersbestplacedtosaywhetheraresponseisappropriate,effectiveandtimelyandthisiswhyweaskorganisationstogatherandconsiderfeedbackfromcommunitiesandpeopleaspartoftheirassessment.Thiswillallowscoringtobeinformedbyfeedbackfromeveryoneinvolvedandaffected.Thescoresyougetunder‘communitiesandpeople’ foreachoneoftheCHScommitments(seeSection4)willbevisibleinthescoringsummaryanddashboardsyoureceivefromtheCHSAlliance,helpingraiseyourawarenessofanydiscrepancies thatneedaddressing.
12 l CHS Assessment
How?Accountingfortheviewsofcommunitiesandpeopleaffectedbycrisiswilldependonthecontextandthebestwaystoreachallrelevantsubgroupsofacommunity–accountingforgender,ageandotherindicatorsofdiversity.Initially,youmayneedfocusgroupdiscussionstoensurethatdataforyoursampleofprogrammeareasisavailabletoinformaself-assessment9–youcanaskparticipantsforfeedback onthequalityandaccountabilityofyourprogrammes(seebelowforinformationontools).
Inscoringthisfeedback,weacknowledgethatsatisfactionofcommunitiesandpeopleaffectedbycrisis–inparticularwhenaccountingforgenderordiversity–cannoteasilybesummedupinafigure.Thevalueofcollectingfeedbackliesmostlyinunderstandinghowfarthoseaffectedbycrisisaresatisfied orwithspecificaspectsoftheCHS,whereandwhydifferentgroupsmayholdcontradictoryopinions,andwhattheywouldsuggestdoingdifferently.Whileyouneedscoresforeverysurvey,focusgroupdiscussionorotherformsoffeedback,thescoreyoushouldenterinsection4‘Feedbackfromcommunities’shouldbeanaverageofthosescores.
Youshouldaskforfeedbackontheprogrammesthathavebeenimplementedinacommunity,whethertheyhavebeendeliveredbyyourownorganisationoroneofyourpartners.Youshouldstillconductthesebeneficiaryconsultationsifyouworkthroughpartners,asthesequestionsremainvalidfortheassessment.TheywillhelpyoufindouthowsuccessfulyouhavebeeninexplainingtheCHScommitmentstoyourpartners,aswellasinsupportingthemindelivery.
Who?Theself-assessmentteamleader(ordesignatedrepresentativeinthefield)andrepresentatives oftheaffectedcommunities,takingintoaccountthediversityofthecommunitiesintermsofage, gender,disabilityandothercontextually-relevantcriteria.
What tools?ThereisatemplateforadedicatedquestionnairewithperformanceindicatorsinSection4‘Feedbackfromcommunities,andinAnnex6.AsthoseaffectedbycrisiswillnotbeawareofalltherequirementsoftheCHS,thequestionsinthispartoftheself-assessmentaremoresuccinctinsomeareas,e.g.CHScommitments7,8and9.Incertaincontextsthequestionsmayneedtoberephrasedandyoucanadaptthemasnecessary.
PHASE 3 – HEADQUARTERS LEVEL – DRAFTING AND SCORING THE REPORT, VALIDATING THE ASSESSMENT
Bythisstage,youhavecollectedallthenecessarymaterialtoassesstheperformanceofyourorganisationagainsttheCHS.Thisphasewillbuildaconsensusonthisperformanceforeachoftheindicatorsfromtheninecommitments,takingintoaccountthevarioussourcesofinformationyou haveconsulted.OncevalidatedbytheCHSAlliance,thesummaryreportyouproducewillformthe basisforyourfutureimprovementplan.
Step6:Draftandscorethesummaryreport
Why?Thesummaryreportpresentsyourfindingsinaformatthatcanbesharedinternallywithstaff andmanagers,usedtobuildanimprovementplan,andtrackprogressmadeinfutureyears.
9 AsyoumakeprogressintheimplementationoftheCHS,youshouldbeabletoinformsubsequentreviewsbyusingdatayouwillbecollectingthroughroutinemonitoringandevaluation
User guidance for aid organisations l 13
How?ThegoaloftheCHSassessmentistohelporganisationsimprove–itisthereforecrucialtobehonest andtransparentinscoringallindicators.Onceascorehasbeendesignatedforanindicator,usingthescoringgridbelow,theassessmentteamleadershouldincludethereasons/evidenceforthescoreintheappropriatecolumninthesummaryreport.Thismustbedoneforeveryindicator.Oncetheassessmentleaderhascompletedthereporttemplate,thecoordinatinggroupshouldreviewthetoolusingtherecordsoftheinterviews,focusgroupdiscussionsandotherformsofevidence,toreachconsensus onthescoresforeachindicator.
ItisimportanttorealisethattheCHSassessmentprocessdoesnotleadtoa‘scientific’result.However,trendsandpatternsintheoutcomesoftheassessmentcanbeinterpretedtohighlightareasofstrengthorweakness.Forexample,anorganisationmighthavegoodpracticesinitsday-to-dayworkbutpoordocumentationintheformofpoliciesandproceduresrelatedtoCHSrequirements.Thedrivingprinciplebehindthescoringisthatthescoresshouldreflectthenormal,‘systematic’workingpracticesoftheorganisation.
Todocumentthedegreetowhich‘organisationalresponsibilities’arereflectedinyourorganisation’spoliciesandprocedures,youaremostlikelytofindtheevidenceinpolicies,manuals,guidelinesorprocedures.Youshouldlistkeydocumentsinthe‘documentationreview’sectioninthereport.
Todocumentthepracticeofyourorganisationwithregardto‘keyactions’,therangeofsources islikelytobebroader.Youwillbeabletorefertoreports,projectproposals,evaluationsorother formaldocumentsthatcaptureanddocumentyourpractice.Atthesametime,youwillalsobeable touseless-formalsources,suchasfeedbackfromcommunitiesandpeopleaffectedbycrisiscollectedthroughfocusgroupdiscussions,interviewsorsurveys.Bothtypesareappropriate,andtriangulatingdifferentsources(includingdifferentlocationsandthroughagenderanddiversitylens)allowsyou tocometoconclusionsmoreconfidently.
YoucanfindsuggestionsofbothformalandinformalsourcesofevidenceinAnnex2.Theseareonlyindicative,willdifferfromoneorganisationtoanother,andwillbeupdatedbasedonfeedbackfromorganisationsundertakingtheself-assessment.
Main sources for writing your findings
Indicators for key actions
• Questions to communities
• Organisations working with partners and questions to partners
• Sources of evidence
• Staff interviews
Indicators for organisational responsibilities
• List of key documents
• Community-level questions
• Organisations working with partners and questions to partners
• Sources of evidence
• Staff interviews (sections linked to organisational requirements)
14 l CHS Assessment
Evidence and scoring guidelinesWeprovidedetailedscoringguidelinestoensurethattheresultscollectedthroughself-assessmentshelpmemberorganisationstomeasuretheirprogressovertime.ItalsoenablesustodrawsolidconclusionsabouttheoverallperformanceofCHSAlliancemembershiponthedifferentaspectsofthestandard,whichhelpsustotargetoursupportandresourcesmosteffectively.
Whendecidingascore,rememberthatevidencecanbeanyreproducibleinformationthatdemonstratestheapplication(ornot)ofaCHSrequirement.Thesourcesforevidenceinaself-assessmentarewrittendocumentsthatdescribepolicies,procedures,processesandsystems,aswellasanyotherinformationthatreportsonpracticesrelatingtotherequirementsoftheCHS–meetingminutes,proposals, resultsofmonitoringandevaluation,interviewsanddirectobservation.Whileitisoftendifficult toconsiderasingletestimonyasanauthoritativesource,aseriesofcongruenttestimonieswould clearlyformevidence.
Who?Theassessmentteamleader,havingcompletedthenecessaryconsultations,willanalyseanddraftthereportbeforescoringit.Thescoringshouldbevalidatedbythemembersoftheassessmentteam,beforebeingsubmittedtoCHSAlliance.
What tools?Youshouldfillinthe‘summaryreport’sectionofthereportingtemplate.
Scoring grid
Score Description
0 Your organisation currently doesn’t not work towards applying this requirement, either formally or informally. It’s a major weakness that prevents your organisation from meeting the overall commitment.
1 Your organisation has made some efforts towards applying this requirement, but these efforts have not been systematic.
2 Your organisation is making systematic efforts towards applying this requirement, but certain key points are still not addressed.
3 Your organisation conforms to this requirement, and organisational systems ensure that it is met throughout the organisation and over time – the requirement is fulfilled..
4 Your organisation’s work goes beyond the intent of this requirement and demonstrates innovation. It is applied in an exemplary way across the organisation and organisational systems ensure high quality is maintained across the organisation and over time.
User guidance for aid organisations l 15
Step7:Submission,validationandnextsteps–planning forimprovement
Why?ThesubmissionoftheassessmentbytheorganisationanditsvalidationbytheCHSAllianceiscruciallyimportantbecause:
• it reassurestheorganisationthatthemethodologywasproperlyfollowedandthattheresults andfindingsoftheassessmentaresolidenoughtobeusedasabasisforanimprovementplan.
• itallowstheCHSAlliancetocompileresultsinconfidencethattherewasconsistencyinthewaytheyhavebeengeneratedbythedifferentmembers,especiallywhenscoringtheindicators.Thus,theCHSAlliancecananalysecollectiveresults,establishtrends,sharefindingswiththemembershipandatagloballevel,advocatingforappropriatemeasurestobetakeninresponsetoanyweaknessesidentified.
Followingthevalidation,itissimilarlyimportantforyoutousethefindingstodevelopanimprovementplan–theassessmentisalways,andonly,thefirststeptowardstheultimategoalofimproving thequalityandaccountabilityoftheprogrammesyourorganisationisimplementing.
How?YoushouldsubmitthecompletedreporttemplatetotheCHSAlliancepolicyteam atverification@chsalliance.org.
Withinfourweeks,theCHSAlliancewill‘sanitycheck’yourreportandprovidewrittenfeedback withcommentsandamendments.Youwillalsoreceivethebenchmarkingdashboards,presenting yourresultsinrelationtoalltheevaluationssubmittedtotheCHSAlliance.
Followingitsownfinalreviewoftheamendedandsupplementedassessment,theorganisation’sassessmentteamshouldsubmititsreporttoitsseniormanagementteamforendorsementand anagreementtodevelopanimprovementplaninlightofthevalidatedfindingsandrecommendations.Thisshouldaddressanyweaknessesidentifiedintheassessmentwithafour-yearplanofactiontotaketheorganisationtoitsnextfullself-assessment.
Who?TheassessmentteamleadershouldsubmitthedocumentstotheCHSAllianceandthen,oncevalidated,sharethemwiththeorganisation’sseniormanagementteam.Thisteamleaderistheninthebestpositiontodevelopanimprovementplan,whichshouldalsobepresentedandvalidatedbytheSMT.
What tools?Thefullreporttemplateshouldbesubmitted.Oncevalidated,theCHSAllianceoffersdashboardsillustratingtheresults,aswellasguidance10onhowtodevelopanimprovementplan.
10 https://www.chsalliance.org/files/files/CHS_improvement_plan_guidelines.pdf
16 l CHS Assessment
ANNEX 1 THE INDEX SCORES
Threeindexscorearecalculatedfromtheresultsofyourassessment:genderanddiversity,localisation,andPSEAH.Herearetheindicatorstakenintoaccount:
•Genderanddiversity:ThisscoremeasurestowhatextentyourorganisationisapplyingCHSrequirementswhicharerelevantintermsofthediversityofthecommunitiesandpeoplethatyouassist.Thegenderanddiversityscoreincludesissuessuchasgender,ageand(dis)ability.Thescoreisbasedonyourorganisation’sscoresforthefollowingCHSrequirements:1.2,1.5,3.3,3.6,3.7,4.2,4.3,4.4,8.5,8.7.
•Localisation:ThisscoremeasurestowhatextentyourorganisationisapplyingCHSrequirementsthatsupportanapproachthroughwhichsouthern-basednationalactorscanplayanincreasedandmoreprominentroleinhumanitariananddevelopmentaction.Thisscoreisbasedonyourorganisation’sscoresforthefollowingCHSrequirements:3.1,3.2,3.3,3.4,3.5,3.6,3.7,4.2,6.1,6.2,6.5,6.6,9.4.
•PSEAH:ThisscoremeasurestowhatextentyourorganisationisapplyingCHSrequirementswhicharerelevantintermsoftheprotectionfromsexualexploitationandabuseaswellassexualharassment(PSEAH).Thisscoreisbasedonyourorganisation’sscoresforthefollowingCHSrequirements:1.2,2.1,3.6,3.7,3.8,4.1,4.5,5.1,5.2,5.3,5.4,5.5,5.6,5.7,8.2,8.7,9.5,9.6.
User guidance for aid organisations l 17
ANNEX 2 SOURCES OF EVIDENCE
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
CHS N° Examples of sources
1.1 •Contextandstakeholdersectioninproposals,ininductionfilefornewstaff,orreports•Contextanalysisandmonitoringreports•Feedbackfromcommunitiesandstakeholders•Country/regionalstrategy
1.2 •Proposals,needsassessments,progress,monitoringandevaluationreports•Selectioncriteriaforpeopletobenefitfromproject•Feedbackfromcommunitiesandstakeholders
1.3 •Progress,monitoringandevaluationreports.•Proposals(inclusionofflexibilitytoadapttochangesinnarrativeandbudget)•Feedbackfromcommunitiesandstakeholders
1.4 • Missionandvisionstatement,codeofconduct•Protectionpolicy•Proposals,needsassessmentstemplates•Operationalhandbook•Commitmenttorelevantstandards
•Staffinductionprogram,andstaffawareness
1.5 •Proposals,needsassessmentsandreportingtemplates•Participation/genderanddiversitypolicy(corporatestatement/staffguidelines,code ofconduct)
•Disaggregationguidelinesforpeopleyouaimtoassist•Operationalhandbook•Staffinductionprogram,andstaffawareness
1.6 •Proposal,needsassessments,reporttemplates•Operationalhandbook
18 l CHS Assessment
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
CHS N° Examples of sources
2.1 •Riskanalysis/assessment•Focusgroupdiscussionswithcommunitiesandlocalstakeholdersonthisissue•Securityplans.
2.2 •Minutesofmeeting,Progressreports
2.3 •Emailandcommunicationswithotherorganisations,clusters,localauthorities•Progressreports•FeedbackandResponseMechanismsystem
2.4 •Referencetorelevantstandardsinproposals,jobdescriptionsreports
2.5 •Monitoringreports,Logframe,internalauditreports•MinutesofFocusGroupDiscussions,Evaluation,realevaluationreports
2.6 •Annualreport,publicationsonprogramareaofexpertise•Trainingplansandtrainingreports,Staffingreports,
2.7 •M&Epolicy,Learningpolicy,Learningtools(database,peerlearning,communitiesofpractice,…)•MinutesofmeetingSMT,Managementresponse,afteractionreviews
User guidance for aid organisations l 19
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
CHS N° Examples of sources
3.1 •Contextanalysis,Reports,proposals•MoUandpartnershipswithlocalpartners.
3.2 •Proposals,HazardVulnerabilityCapacityAssessmentreports•MinutesofFocusGroupDiscussions
3.3 •Proposalsandreports•MoUandpartnershipsagreements,Partnerfeedback•Disasterpreparednessplans
3.4 •Proposals,disasterpreparednessplan•Exitstrategyguidelines
3.5 •Contextandmarketanalysis,proposalsandmarketsurveys•Progressandevaluationreportssectionsonrecoveryoflocaleconomy.
3.6 •Contextandriskanalysis,riskmanagementplan•Codeofconduct,staffinductionmanual•Genderpolicy,Operationalhandbook•Protectionpolicy,donoharmpolicy•Discussionswithcommunitymembers
3.7 •Datacollectionanddataprotectionpolicies•Informationdisclosurepolicy•Codeofconduct,staffcontracts•Operationalhandbook•Protectionpolicy,donoharmpolicy,resiliencepolicy
3.8 •Datacollectionanddataprotectionpolicies•Informationdisclosurepolicy•Codeofconduct,staffcontracts
20 l CHS Assessment
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
CHS N° Examples of sources
4.1 •Informationsharingmaterial,posters,radio,etc...•Reports,minutesofcommunityactivities
4.2 •Contextanalysis,mediaandculturalmapping•Minutesofdiscussionswithcommunitiesandspecificgroupsonpreferred communicationchannels
•informationsharingmaterial,communicationstrategy
4.3 •Genderanddiversitypolicy•Monitoringandprogressreports(withSADD),minutesofdiscussionswithcommunities
4.4 •Feedbackandresponsemechanismsreports,hotlinereports•Satisfactionsurveys,monitoringreports
4.5 •Informationsharingpolicy(corporatestatement/staffguidelines)•Languageoptionsfordocuments
4.6 •Communityengagementpolicy,participationhandbook,accountabilityFramework•Staffdiversitypolicy
4.7 •Ethicalpolicy,fundraisingpolicy,imageusepolicy,informedconsentpolicy•Codeofconduct,staffinductioncurriculum
User guidance for aid organisations l 21
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
CHS N° Examples of sources
5.1 •Countryandcontextanalysis•Minutesofconsultationmeetings
5.2 •Complaintsmanagementdashboardandreports•Detailsofcountryspecificcomplaintsmechanisms•Communicationmaterialpromotingchannelstosubmitcomplaint•Communityfeedbackoncomplaintshandlingsystem5.3
5.4 •Complaintshandlingpolicyandprocedure(includinganyexistingspecificpoliciesonstaffgrievance,whistleblowing,preventionofsexualexploitationandabuse,etc.)
•Codeofconduct•Guidelinesonhowcomplaintsshouldbehandled•Recordsofconsultations•Recordsofcomplaintshandled
5.5
5.6
5.7 •Referralpolicy•Mappingofreferralmechanisms•Evidenceofcoordinationandcommunicationwithrelevantcoordinationmechanisms andcluster
6. Communities and people affected by crisis receive coordinated, complementary assistance. Quality Criterion: Humanitarian response is coordinated and complementary.
CHS N° Examples of sources
6.1 •Stakeholdermapping,orappropriatesectionsofprojectproposalsandprogressreports•Commitmentstowardscoordination,reportsoninvolvementwithcoordinationmechanisms andclusters
•Programmeplans,monitoringandreportingdocuments,MoUwithotherstakeholders•Minutesofcoordinationmeetings.•Monitoringand/orevaluationreportsdemonstratehowactivitiesarecoordinatedwithothers,includingparticipationinrelevantcoordinationbodies.
6.2
6.3
6.4
6.5 •Coordinationandpartnershippolicy•Operationalhandbook•MoUtemplates,partnerassessmentformats•Countryandorganisationalstrategy•Secondment/standbypartnerpolicyandagreements
6.6
22 l CHS Assessment
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
CHS N° Examples of sources
7.1 •Projectproposal(incl.Templates)includessectiononlessonsfrompreviousrelevantexperiences.•Policies/strategiesonthematicareasareupdatedregularlyincorporatingexperientiallearning.
7.2 •Monitoringandevaluationreports,Databaseonkeyevaluationandlearningresources•DocumentsissuedbyMEALsection,communitiesofpractice
7.3 •Workshopsandotherlearningevents•Membershipoflearningorientednetworks,publications
7.4 •Learningpolicy,knowledgemanagementpolicy(organisationalandprogrammatic)•Budgetdedicatedtolearning•Filemanagementsystem,learningdatabase•Membershipoflearningnetworks,publications(evaluations,learningreviews,casestudies,etc…)
7.5
7.6
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
CHS N° Examples of sources
8.1 •Staffjobdescriptions•Performancereviews•Ethicscommitteereport,complaintshandlingreports
8.2 •Staffsatisfactionsurveys,Feedbackandcomplaintshandlingsystemreports•Performancereviews,Ethicscommitteereports
8.3 •Internaltrainingplan,capacitydevelopmentplansandbudgets•Staffsatisfactionsurveys,staffappraisals
8.4 •Vacancyrate,staffturnoverrate•Surgecapacityplans
8.5 •Staffpolicies(national/international)•HRorPeopleManagementhandbook/manual
8.6 •Jobdescriptions•HRorPMhandbook/manual•Staffsatisfactionsurveys
8.7 •Codeofconduct
8.8 •Inductionandbriefingprocedures•Trainingandcapacitydevelopmentplans,Performanceappraisals
8.9 •Securitypolicyandguidelines,Healthandsafetypolicy(national/international)
User guidance for aid organisations l 23
9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
CHS N° Examples of sources
9.1 •Specificsectionsofprojectproposals,progressreports•Comparisontableofdifferentprogrammingoptions•Specificguidelinesandreportonvalueformoney,internalauditreports
9.2 •Measurementofprocessefficiencies,specificsectionsofprogressreports,evaluation andauditreports
•Riskmanagementmatrix,InternalControlSystem,Internalauditreports
9.3 •Budgetsandexpensereports.
9.4 •Environmentalimpactassessmentreports•Specificsectionsofproposalsandprogressreports
9.5 •Mechanismforwhistleblowers,managementreports,internalcontrolsystem, internalauditreports
9.6 •Fraudandethicspolicy•Internalcontrolsystem•Codeofconduct•Environmentalpolicy•Auditpolicy•M&Epolicy•Riskmanagementmatrix•Financialsystems
24 l CHS Assessment
ANNEX 3 STAFF QUESTIONNAIRE
Pleaseusethequestionnaireintheuserguidanceandreportthefindingsinthetemplatebelow.
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
Quality Criterion: Humanitarian response is appropriate and relevant.
Key actions
N° Indicators Guiding questions
1.1 Thecontextandstakeholdersaresystematically,objectivelyandcontinuouslyanalysed.
•Howdoyoumapstakeholdersandusethistoinformyourresponse?(seealso3.3&6.5)
•Whatsourcesofinformationareusedtoassessneeds,risks,capacities,vulnerabilitiesandcontext(thismayincludeaffectedpeopleandcommunities,localinstitutionsandotherstakeholders)?
•Doyouhaveplansorprocessesforregularcontextanalysisinplace,aretheseknowntothestaffandusedin monitoringprocesses?
Enteryourfindingshere
1.2 Programmesareappropriatelydesignedandimplementedbasedonanimpartialassessmentofneedsandrisksandanunderstandingofthevulnerabilities andcapacitiesofdifferentgroups.
•Howdoyouconductneedsassessmentsandusethem toinformresponseplanning?(see2.1)
•Howdoyoucollectdisaggregateddata?•Howarevulnerablegroupsidentified?•Howdoyouadapttypesofassistanceand/orprotection todifferentdemographicgroups?
•Howdoyoumatchprogrammebudgetsandresources withneeds?(see2.1&2.7)
Enteryourfindingshere
User guidance for aid organisations l 25
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
Quality Criterion: Humanitarian response is appropriate and relevant.
Key actions
N° Indicators Guiding questions
1.3 Programmesareadaptedtochangingneeds,capacitiesandcontext.
•Howdoyouadaptprogrammesbasedonchangingneeds,capacities,risksandcontext?(see2.5&2.7)
•Howaresocialandcontextualfactorsthatcontributetovulnerability,suchasdiscriminationandmarginalisationassessedandused?(see3.1a,3.1b&3.3)
Enteryourfindingshere
Organisational responsibilities
1.4 Policiescommittoimpartialassistancebasedontheneedsandcapacitiesofcommunitiesandpeopleaffectedbycrisis.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
1.5 a.Policiessetoutcommitmentswhichtakeintoaccountthediversityofcommunities,includingdisadvantagedormarginalisedpeople.
b.Policiessetoutcommitments tocollectdisaggregateddata.
• See questions under 1.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
1.6 Processesareinplacetoensureanappropriateongoinganalysisofthecontext.
• See questions under 1.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
26 l CHS Assessment
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
Quality Criterion: Humanitarian response is effective and timely.
Key actions
N° Indicators Guiding questions
2.1 Programmesaredesignedtakingintoaccountconstraintssothattheproposedactionisrealisticandsafeforcommunities.
•Howareconstraintsandrisksanalysedandidentified?•Doesitincludehumanitarianaccess,security,protection,logisticsandfunding?
•Isrisktoaffectedpeopleandstaffregularlyassessed andaddressed?
•Howareaffectedpeopleconsultedaboutsafety andaccesstoassistance?
•Howareplansadaptedasaresultoftheanalysis?
Enteryourfindingshere
2.2 Decisionsaffectingprogrammingaretakenandacteduponwithoutunnecessarydelaysothatthehumanitarianresponse isdeliveredinatimelymanner.
•Whatearlywarningsystems&contingencyplans areusedforpreparedness?
•Howdoyouaccountandaddressfactorsthatmay causedelayssuchasweather,accessorconflict?
•Howdoyoumonitorandaddressdelaysduringimplementation?
•Howareresourcesadjustedtorespondtochangesidentifiedintheoperationalcontext?
Enteryourfindingshere
2.3 Unmetneedsarereferredtoanorganisationwithrelevanttechnicalexpertiseandmandateorthere isadvocacytoaddresstheseneeds.
•Howareunmetneedsidentified,documented andaddressed?
•Arerelevantorganisationsmappedandunmet needsreferredtothem?(see1.1)
Enteryourfindingshere
2.4 Programmesareplannedandassessedusingrelevanttechnicalstandards andgoodpracticeemployedacross thehumanitariansector.
•Howdostaffidentifyanduserelevanttechnicalstandardsandgoodpractice?
•Howaredigressionsfrominternationalstandardsjustified?
Enteryourfindingshere
2.5 a.Activities,outputsandoutcomes aremonitored.
b.Programmesareadaptedbased onmonitoringresults.
c.Poorperformanceisidentified andaddressed.
•Howareprogrammeactivities,outputsandoutcomesmonitored?
•Howdoesmonitoringleadtochangesinprogrammes?•Howdoesmonitoringhelpidentifyandaddress poorperformance?
Enteryourfindingshere
User guidance for aid organisations l 27
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
Quality Criterion: Humanitarian response is effective and timely.
Key actions
N° Indicators Guiding questions
Organisational responsibilities
2.6 Programmecommitmentsareinlinewithorganisationalcapacities(seealso8.4).
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
2.7 a.Policycommitmentsensureasystematic,objectiveandongoingmonitoringandeva-luationofactivitiesandtheireffects(see1.3).
b.Policycommitmentsensure thatevidencefrommonitoring andevaluationsisusedtoadapt andimproveprogrammes.
c.Policycommitmentsensuretimelydecision-makingwithresourcesallocatedaccordingly.
• See questions under 2.5
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
28 l CHS Assessment
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
Quality Criterion: Humanitarian response strengthens local capacities and avoids negative effects.
Key actions
N° Indicators Guiding questions
3.1 Programmesarebuiltonlocalcapacitiesandworktowardsimprovingtheresilienceofcommunitiesandpeopleaffectedbycrisis.
•Howdoyoumap,assessandtakeintoaccountlocalcapacities(structures,organisations,leadershipandsupportnetworks)thatstrengthenlocalresilience?(see1.1)
•Howdoyoudemonstrateactivitiesstrengthencommunityresilience?(see2.5)
Enteryourfindingshere
3.2 Theorganisationusestheresultsofanyexistingcommunityhazard,riskassessmentsandpreparednessplanstoguideactivities.
• Howdoyouidentify,analyseanduseexistingcommunityhazardandriskassessments?(see2.1)
Enteryourfindingshere
3.3 Programmesenablethedevelopmentoflocalleadershipandorganisationsintheircapacityasfirstrespondersandpromoteanappropriaterepresentationofmarginalisedanddisadvantagedgroupsinlocalleadershipandorganisations.
•Howdoyouidentifyandconsultwithlocalleaderstoensurestrategiesareinlinewithlocaland/ornationalpriorities?(see1.1)
•Howdoprogrammesworkwithandthroughlocalcommunityauthorities?(see1.1,6.2and6.4)
•Doprogrammesusequalifiedlocalandnationalstaffratherthanexpatriatestaff?Ifnot,isitclearwhy?
•Howdoyoutransfercompetenciesandskillstolocalpartners?
•Howaredisadvantagedandmarginalisedgroupssupportedtobecomelocalleadersorberepresentedinlocalleadershipandorganisations?
Enteryourfindingshere
3.4 Atransitionorexitstrategyisplannedintheearlystagesofthehumanitarianprogrammetoensurelonger-termpositiveeffectsandreducetheriskofdependency.
•Howdoyouensuretransitionand/orexitstrategyisdevelopedinconsultationwithaffectedpeopleandotherrelevantstakeholders?
•Isthestrategyknowntorelevantstaffandstakeholders?(see4.1)
•Howdoesitassessandrespondtotheriskofdependency?(see3.5a)
Enteryourfindingshere
User guidance for aid organisations l 29
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
Quality Criterion: Humanitarian response strengthens local capacities and avoids negative effects.
Key actions
N° Indicators Guiding questions
3.5 Programmesaredesignedandimplement-tedinordertopromoteearlyrecoveryandtobenefitthelocaleconomy(see3.6).
•Howdoprogrammesconsiderandfacilitateearlyrecovery?•Howisthepotentialeffectoftheprogrammeonthelocaleconomyatdifferentstagesoftheprogrammeassessedandtakenintoaccount?
•Howislocalprocurementencouraged?
Enteryourfindingshere
3.6 Programmesidentifyandactuponpotentialoractualunintendednegativeeffectsinatimelyandsystematicmanner,includingintheareasofa)people’ssafety,security,dignityandrights,b)sexualexploitationandabusebystaff,c)culture,gender,socialandpoliticalrelationships,d)livelihoods,e)thelocaleconomy,andtheenvironment.
•Howdoyoudetect,assess,mitigateandmonitorunintendednegativeeffectsintheseareas?
•Howdoyouidentifywhetherprogrammeactivitiesexacerbateexistingdivisionswithinorbetweencommunitiesandaffectthepositionofarmedgroups orotheractors?
•Howdoyouunderstandthemeansbywhichpeopletry toprotectthemselves,theirfamiliesandcommunities? (see1.1and1.2)
•Ifunintendednegativeeffectsareidentifiedintheseareas,howaretheseaddressedandrespondedtoinatimelyfashion?
Enteryourfindingshere
Organisational responsibilities
3.7 Policies,strategiesandguidancearedesignedtoa)preventprogrammeshavinganynegativeeffectssuchasforexample,exploitation,abuseordiscriminationbystaffagainstcommunities&peopleaffectedbycrisisandb)tostrengthenlocalcapacities.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
3.8 Systemsareinplacetosafeguardanypersonalinformationcollectedfromcommunitiesandpeopleaffectedbycrisisthatcouldputthematrisk.
• See questions under 3.7
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
30 l CHS Assessment
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
Quality Criterion: Humanitarian response is based on communication, participation and feedback.
Key actions
N° Indicators Guiding questions
4.1 Informationisprovidedtocommunitiesandpeopleaffectedbycrisisabouttheorganisation,theprinciplesitadheres to,theexpectedbehavioursofstaff, anditsprogrammesanddeliverables.
•Howisinformationsharingplannedaspartoftheprogrammeactivities?
•Howisinformationonexpectedstaffbehaviourcommunicatedtothecommunity?
•Howisinformationabouttheorganisationandresponsecommunicatedinaccessibleandappropriateways toaffectedcommunitiesandpeople?
Enteryourfindingshere
4.2 Communicationwithcommunitiesandpeopleaffectedbycrisisuseslanguages,formatsandmediathatareeasilyunderstood,respectfulandculturallyappropriatefordifferentpartsofthecommunity,especiallyvulnerableandmarginalisedgroups.
•Howarepeople,especiallyvulnerableandmarginalisedgroups,abletoaccessinformationprovided?(see1.5)
•Howarethepreferredchannelsandformatsofcommunicationofpeople,vulnerableandmarginalisedgroupsknowntorelevantstaff?
Enteryourfindingshere
4.3 Inclusiverepresentation,participationandengagementofpeopleandcommunitiesareensuredatallstagesofthework.
•Howarepeople’sviews,includingthemostvulnerableandmarginalised,soughtandusedtoguideprogrammedesignandimplementation?(see1.5)
•Howdoyouensurethatallgroupswithinaffectedcommunitiesfeeltheyhaveequitableandsafeopportunitiestoparticipateinprogrammedecisions?
Enteryourfindingshere
4.4 Communitiesandpeopleaffectedbycrisisareencouragedtoprovidefeedbackontheirlevelofsatisfactionwiththequalityandeffectivenessofassistance,payingparticularattentiontothegender,age anddiversityofthosegivingfeedback.
•Howarestaffencouragedtoseekfeedbackfrompeopleaffectedbycrisis?
•Howdoyouensurethatallgroups,especiallyvulnerableandmarginalisedpeople,areawareofandhaveaccess tofeedbackchannels,andthattheyfeelsafeusingthosechannels?
•Howarebarrierstogivingfeedbackidentifiedandaddressed?
•Howarefeedbackmechanismsplannedandbudgeted aspartoftheprogramme?
•Whenpossible,isdataprovidedthroughfeedbackmechanismsdisaggregatedbyage,genderandotherrelevantcategories?(see1.2)
Enteryourfindingshere
User guidance for aid organisations l 31
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
Quality Criterion: Humanitarian response is based on communication, participation and feedback.
Key actions
N° Indicators Guiding questions
Organisational responsibilities
4.5 Policiesforinformation-sharing areinplace,andpromoteaculture ofopencommunication.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
4.6 Policiesareinplaceforengagingcommunitiesandpeopleaffectedby crisisandreflecttheprioritiesandriskscommunitiesidentifyinallstagesofthework(seealso1.2).
• See questions under 4.5
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
4.7 Externalcommunications,includingthoseusedforfundraising,areaccurate,ethicalandrespectful,presentingcommunitiesandpeopleaffectedbycrisisasdignifiedhumanbeings.
• See questions under 4.5
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
32 l CHS Assessment
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
Quality Criterion: Complaints are welcomed and addressed.
Key actions
N° Indicators Guiding questions
5.1 Communitiesandpeopleaffectedby crisisareconsultedonthea)design, b)implementation,andc)monitoring ofcomplaintshandlingprocesses.
•Howarecommunitiesandpeopleaffectedbythecrisisconsultedinthedesign,implementationandmonitoringphasesofcomplaintshandling?
•Howarethepreferences,particularlythoserelatedtosafetyandconfidentiality,ofalldemographicgroupstakenintoaccountinthedesignofcomplaintshandlingprocesses?
Enteryourfindingshere
5.2 Complaintsarewelcomedandacceptedandinformationonhowtoaccessthemechanismanditsscopeisavailable.
•Whatspecificprocessesareinplacetoensurethatcomplaintsmakeittothecomplaintshandlingprocess(es)?
•Howdoyouensureinformationonhowtosubmitcomplaintsisaccessibletoandunderstoodbyallrelevantgroups,particularlyvulnerableones?
•Howdoyouexplainwhatcanbecomplainedabout?
Enteryourfindingshere
5.3 Complaintsaremanagedinatimely, fairandappropriatemanner.Complaintshandlingmechanismsprioritisethesafetyofthecomplainantandthoseaffectedatallstages.
•Whatarethetimeframestoinvestigateandresolvecomplaints,andarethesedocumentedandrespected?
•Docomplainantsandpotentialusersofthemechanisms feeltheircomplaintshavebeenorwouldbehandledinafair,appropriateandsafeway?
•Whatarethemechanismsinplacetoprotectcomplainants?•Howdoesyourorganisationexplainitsnon-retaliationpolicy?
Enteryourfindingshere
Organisational responsibilities
5.4 Thecomplaints-handlingprocessforcommunitiesandpeopleaffectedbycrisisisdocumentedandinplace.Theprocesscoversprogramming,sexualexploitationandabuse,andotherabusesofpower.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
User guidance for aid organisations l 33
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
Quality Criterion: Complaints are welcomed and addressed.
Key actions
N° Indicators Guiding questions
5.5 Anorganisationalcultureinwhichcomplaintsaretakenseriouslyandacteduponaccordingtodefinedpoliciesandprocesseshasbeenestablished.
• See questions under 5.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
5.6 Communitiesandpeopleaffected bycrisisarefullyawareoftheexpectedbehaviourofhumanitarianstaff,includingorganisationalcommitmentsmade onthepreventionofsexualexploitation andabuse.
• See questions under 5.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
5.7 Complaintsthatdonotfallwithinthescopeoftheorganisationarereferred toarelevantpartyinamannerconsistentwithgoodpractice.
• See questions under 5.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
34 l CHS Assessment
6. Communities and people affected by crisis receive coordinated, complementary assistance.
Quality Criterion: Humanitarian response is coordinated and complementary.
Key actions
N° Indicators Guiding questions
6.1 Theroles,responsibilities,capacitiesandinterestsofdifferentstakeholdersareidentified.
•Howarelocalactors,humanitarianorganisations,localauthorities,privatecompaniesandotherrelevantgroupsconsideredintheorganisation’sdefinitionofstakeholders?(see1.1and2.3)
•Howisinformationaboutthecompetences,resources,areasandsectorsofworkofotherorganisations, includinglocalandnationalauthorities,accessed?
•Howisinformationregardingtheplansandactivities ofotheractorsworkingwiththesamevulnerablegroups, orinthesamesectorsandgeographicareasidentified?
Enteryourfindingshere
6.2 Theresponsecomplementstheactionofnationalandlocalauthoritiesandotheractors.
•Howdoesprogrammingcoordinatewithotheractors(NGOs,governmentagencies,etc.)andtaketheirprogrammesintoaccountwhendesigning,planning andimplementingprogrammes?
•Aregapsincoverageidentifiedandaddressed?(see2.3)•Howdoyouensurethatcoordinationdoesnotundermineindependencewhenworkinginacontextofarmedconflict?
Enteryourfindingshere
6.3 Theorganisationparticipatesinrelevantcoordinationbodiesandcollaborateswithothersinordertominimisedemandsoncommunitiesandmaximisethecoverageandserviceprovisionofthewiderhumanitarianeffort.
•Howareexistingcoordinationstructuresidentified? (see1.1)
•Howdoestheorganisationparticipateinrelevantcoordinationmeetingswithnationalandinternationalstakeholders?(see4.5)
•Howareactivitiesthatdirectlyinvolvepeopleandcommunitiesharmonisedwiththoseofotheractors whoworkwiththesamepopulations?(see6.1)
Enteryourfindingshere
6.4 Informationissharedwithpartners,coordinationgroupsandotherrelevantactorsthroughappropriatecommunicationchannels.
•Howisinformationabouttheorganisation’scompetences,resources,andareasandsectorsofworksharedwithothersrespondingtothecrisis?
•Howdoprogrammeplansincludemeasurestoregularlyshareinformationandcoordinateactivitieswithothernationalandinternationalstakeholders?
Enteryourfindingshere
Organisational responsibilities
User guidance for aid organisations l 35
6. Communities and people affected by crisis receive coordinated, complementary assistance.
Quality Criterion: Humanitarian response is coordinated and complementary.
Key actions
N° Indicators Guiding questions
6.5 Thecomplaints-handlingprocessforcommunitiesandpeopleaffectedbycrisisisdocumentedandinplace.Theprocesscoversprogramming,sexualexploitationandabuse,andotherabusesofpower.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
6.6 Workwithpartnersisgovernedbyclearandconsistentagreementsthatrespecteachpartner’smandate,obligationsandindependence,andrecognisestheirrespectiveconstraintsandcommitments.
• See questions under 6.5
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
36 l CHS Assessment
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
Quality Criterion: Humanitarian actors continuously learn and improve.
Key actions
N° Indicators Guiding questions
7.1 Programmesaredesignedbasedonlessonslearntandpriorexperience.
•Howareevaluationsandreviewsofsimilarprogrammesconsultedandincorporatedwhenappropriate inprogrammedesign?(see2.7a)
•Howdoinitialassessmentstakeaccountoflessonslearnedfrompastexperiences,includingthoseofotheractors, andrelevanttechnicalstandards?
Enteryourfindingshere
7.2 Theorganisationlearns,innovatesandimplementschangesonthebasisofmonitoringandevaluation,andfeedbackandcomplaints.
•Howdomonitoring,evaluation,feedbackandcomplaintshandlingleadtochangesand/orinnovationsinprogrammedesignandimplementation?
•Whatarethemanagementprocessesthatensurelessonsidentifiedandcorrectiveactionsleadtochangeinpractice?
Enteryourfindingshere
7.3 Learningandinnovationaresharedinternally,withcommunitiesandpeopleaffectedbycrisis,andwithotherstakeholders.
•Howarelessonslearnedsharedwithstaffandotherrelevantstakeholders?
•Howispoorperformancetakenintoconsideration,documentedandsharedaspartoflessonslearned withstaff?(see2.5)
Enteryourfindingshere
Organisational responsibilities
7.4 Evaluationandlearningpoliciesareinplace,andmeansareavailabletolearnfromexperiencesandimprovepractice.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
User guidance for aid organisations l 37
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
Quality Criterion: Humanitarian actors continuously learn and improve.
Key actions
N° Indicators Guiding questions
7.5 Mechanismsexisttorecordknowledgeandexperience,andmakeitaccessiblethroughouttheorganisation.
• See questions under 7.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
7.6 Theorganisationcontributestolearningandinnovationinhumanitarianresponseamongstpeersandwithinthesector.
• See questions under 7.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
38 l CHS Assessment
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
Quality Criterion: Staff are supported to do their job effectively, and are treated fairly and equitably.
Key actions
N° Indicators Guiding questions
8.1 Staffworkaccordingtothemandateandvaluesoftheorganisationandtoagreedobjectivesandperformancestandards.
•Howarestafftrainedonandsupportedtounderstandthemandateandvaluesoftheorganisation,especiallykeybehavioursonchildprotection,fraud,whistleblowing andcomplaintshandling?
•Howdostaffknowwhatstandardofperformancethey areexpectedtoapplyintheirwork,includingtechnical andqualitystandards?
•Howisstaffperformancemanagedandunder-performanceaddressed?
Enteryourfindingshere
8.2 Staffadheretothepoliciesthatarerelevanttothemandunderstandtheconsequencesofnotadheringtothem.
•Howarestaffthroughouttheorganisation,atdifferentlevelsandindifferentlocations,madeawareofthepoliciesthataffectthemandtheirwork,thebenefitsofthepoliciesandtheconsequencesofnotapplyingthem?
•Dostaffsignacodeofconductorsimilarlybindingdocumentandreceiveorientationtoensuretheyunderstandtheirresponsibilitiespossiblesanctionsforfailingtofulfiltheirobligations?(See8.1)
•Howarecomplaintsaboutstaffreceivedandhandled?
Enteryourfindingshere
8.3 Staffdevelopandusethenecessarypersonal,technicalandmanagementcompetenciestofulfiltheirroleandunderstandhowtheorganisationcansupportthemtodothis.
•Howarestafftrainedonstandardsrelevanttotheirwork?(see7.4&7.5)
•Howarepersonaldevelopmentplanscreatedforstaff?•Howarestaffmadeawareofandabletoaccesssupport todevelopthecompetencesrequiredfortheirrole?
Enteryourfindingshere
Organisational responsibilities
8.4 Theorganisationhasthemanagementandstaffcapacityandcapabilitytodeliveritsprogrammes(see2.6).
•Inwhichofyourorganisation’sdocuments isthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
User guidance for aid organisations l 39
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
Quality Criterion: Staff are supported to do their job effectively, and are treated fairly and equitably.
Key actions
N° Indicators Guiding questions
8.5 Staffpoliciesandproceduresarefair,transparent,non-discriminatoryandcompliantwithlocalemploymentlaw.
• See questions under 8.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
8.6 Jobdescriptions,workobjectivesandfeedbackprocessesareinplacesothatstaffhaveaclearunderstandingofwhat isrequiredofthem.
• See questions under 8.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
8.7 Acodeofconductisinplacethatestablishes,ataminimum,theobligationofstaffnottoexploit,abuseorotherwisediscriminateagainstpeople.
• See questions under 8.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
8.8 Policiesareinplacetosupportstafftoimprovetheirskillsandcompetencies.
• See questions under 8.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
8.9 Policiesareinplaceforthesecurity andwellbeingofstaff.
• See questions under 8.4
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
40 l CHS Assessment
9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
Quality Criterion: Resources are managed and used responsibly for their intended purpose.
Key actions
N° Indicators Guiding questions
9.1 Programmesaredesignedandprocessesimplementedtoensuretheefficientuse ofresources,balancingquality,costandtimelinessateachphaseoftheresponse.
•Howdoestheorganisationensurethatstafffolloworganisationalprocessesfordecisionsregardingthe efficientuseofresourcesateachphaseoftheresponse?
Enteryourfindingshere
9.2 Theorganisationmanagesandusesresourcestoachievetheirintendedpurposeandminimisewaste.
•Howisvalueformoneyandtheuseofresourcesmonitored,reportedandcommunicatedtoprogrammemanagement?
•Howdoprogrammeplansindicatehowresourceswill beusedandforwhatpurpose?Aretheyshared,asappropriate,withaffectedpeopleandrelevantstakeholders?
•Arecost-efficiency,cost-effectivenessandsocialimpactmonitored?
Enteryourfindingshere
9.3 Expenditureismonitoredandreportedagainstbudget.
•Howareprogrammefinancesandresourcesmonitoredusingrecognisedfinancialmanagementgoodpractices?
•Whatprocessesareinplacetotracktheuseofresources forthepurposesintended,includingbothcashandin-kindcontributions?
Enteryourfindingshere
9.4 Localandnaturalresourcesareusedtakingtheiractualandpotentialimpact ontheenvironmentintoaccount.
•Whatenvironmentalimpactassessmentsareconsidered inthedesignofprogrammesandactivities?
•Howisimpactonlocalandnaturalresourcesmonitored,andactionstakentomitigatenegativeimpact?
•Howareenvironmentalconstraintsandpotentially negativeimpactanalysedwithregardstowater,soil, airandbiodiversity?
Enteryourfindingshere
9.5 Theriskofcorruptionismanaged andappropriateactionistakenwhencorruptioncasesareidentified.
•Whatprocessesareinplacetoauthoriseandmonitor theuseoffundsandresources?(see9.4)
•Whataretheprocessesinplacetoaddresscorruption ormisuseofresources?
•Whatarethespecificprocedurestorecordandaddressallegationsofcorruption?
Enteryourfindingshere
User guidance for aid organisations l 41
9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
Quality Criterion: Resources are managed and used responsibly for their intended purpose.
Key actions
N° Indicators Guiding questions
Organisational responsibilities
9.6 Policiesandprocessesgoverningthe useandmanagementofresourcesare inplace,includinghowtheorganisation:a.acceptsandallocatesfundsand
gifts-in-kindethicallyandlegally;b.usesitsresourcesinanenvironmentally
responsibleway;c.preventsandaddressescorruption,
fraud,conflictsofinterestandmisuse ofresources;
d.conductsaudits,verifiescomplianceandreportstransparently;
e.assesses,managesandmitigates riskonanongoingbasis;andensures thattheacceptanceofresourcesdoes notcompromiseitsindependence.
•Inwhichofyourorganisation’sdocumentsisthisrequirementcovered?
•Areallelementsofthisrequirementcovered?•Areyouawareandfamiliarwiththepoliciesandguidelinesthatcoverthisrequirement?Istheircontentpartoftheorganisationalculture?
Enteryourfindingshere
Listyourevidencehere(N°inlistofkeydocumentsandpagenumber)
42 l CHS Assessment
ANNEX 4 TIPS TO PLAN AND CONDUCT INTERVIEWS
Youcanusethetipsbelowtoplanandconductinterviews:
• Allmeetingsandfocusgroupdiscussionsshouldhaveanominatedfacilitatororchairaswellas arecordkeeper.Thesecouldbetasksassignedtooneormorepeoplefromthecoordinatinggroup sothereisconsistencyinhowthediscussionsareledandfindingsrecorded.Ensuringnotesarekeptfromdiscussionsisveryimportant.
• Putparticipantsateaseandensuretheyclearlyunderstandthepurposeofthediscussion, usingtranslationifnecessary.
• Gettheirconsent–thisshouldhavebeendoneinadvance,butitisimportanttorecheckafter youhaveexplainedthepurposeofthemeeting.
• Explainhowtheinformationwillberecordedandused.Explainthatnonamewillbeasked orrecorded.Explainthatanswerswon’tberecordedinawaythatlinksthemtospecificparticipants. Getpermissiontotakenotes.
• Useanenvironmentwhereparticipantswillfeelcomfortable,awayfromexternaldistractions andotherobservers.
• Follow-upguidingquestionswithopenquestionsthatencourageparticipantstogiveexamples insupportofviewstheyareputtingforward,describethewaythingshaveworkedorsuggesthowthingscouldbedonedifferently.Thiswillhelpyoumakethewritingofanimprovementplaneasier.
• Beattentiveandlistenwell–trustthateachperson’sexperiencewillcontributetosomething;gowiththeflowofconversationevenifitmeansaskingquestionsinadifferentorder;avoidgettingdefensiveorcorrectingpeoplewhenfeedbackisnegative.
• Encouragedifferentviews–youarenottryingtogetto“thefacts”oraconsensusview.Wheredifferentresponsesemerge,trytogetpeopletoexplorewhytheirexperiencesmaydiffer.
• Beawareofthegroupcompositionandindividualswhomayinfluenceothers’abilitytospeakfreely–politelyremindthosewhohaveatendencytodominateoftheimportanceofhearing fromeveryone.
• Whenculturallymoreappropriate,organiseseparatediscussionsformenandwomen.
• Makesureyourecordfindingsinawaythatallowsyoutoidentifyanydifferencesinresponsebasedonlocation,staffseniorityorgendersothatyoucanbettertargetmeasuresinyourimprovementplan.
User guidance for aid organisations l 43
ANNEX 5 FAQS FOR THOSE TAKING PART IN INTERVIEWS
• What is the Core Humanitarian Standard (CHS)?TheCoreHumanitarianStandardonQualityandAccountability(CHS)isasetofcommitmentsandqualitycriteriathatareusedasaguidelineandmeasuretoidentifyhowaccountableourworkis.TheCHS setsoutNineCommitmentsthatorganisationsandindividualsinvolvedinhumanitarianresponsecan usetoimprovethequalityandeffectivenessoftheassistancetheyprovide.Italsofacilitatesgreateraccountabilitytocommunitiesandpeopleaffectedbycrisis:knowingwhathumanitarianorganisationshavecommittedtowillenablethemtoholdthoseorganisationstoaccount.
• Why are we doing this self-assessment (or a Peer Review)?Asaverifiablestandard,theCHSdescribestheessentialelementsofprincipled,accountableandhigh-qualityhumanitarianaction.Humanitarianorganisationsmayuseitasavoluntarycodewithwhichtoaligntheirowninternalprocedures.Itcanalsobeusedasabasisforverificationofperformance. Aswithallassessments,thisisanopportunitytohaveanhonestreviewofourpoliciesandprocedures. Theteamleadingtheself-assessmentwillbecheckingknowledge,attitudeandpracticeagainstthe 9CHScommitments.Thiswillallowustoknowwhereweare,orcompareourstatusagainstpreviousself-assessmentstocheckthattherehasbeenpositiveprogress.
• I don’t do humanitarian work, so why have I been chosen to take part in this assessment?
YourorganisationorpartnershavedecidedtousetheCHSasatooltomeasurethelevelsofaccountability.Althoughtheterm‘Humanitarian’ispartofthetitleoftheStandard(itwascreated byhumanitarianactors),youwillseebylookingatitscommitmentsthatitisjustasrelevanttoorganisationsinthedevelopmentsector.Theself-assessmentprocessisgenerallyaholisticactivity,lookingatvariousfactorsthroughouttheorganisation,suchasstaffCodeofConduct,HRpolicies andprocurementprocedures.
• What does this mean for our local partners – do they have to comply with the CHS?
Anyorganisationundertakingaself-assessmentwillprimarilylookatitsownprocedures andpractice.However,inthesamewayitisusefultogetfeedbackfromcommunitiesyouwork with,itisimportanttogetfeedbackfromyourpartners.OrganisationsapplyingtheCHSareencouraged
44 l CHS Assessment
toexplaintotheirpartnerstheircommitmenttotheCHS,aswellastosupporttheminimplementing theCHScommitments.
NB:Whenanorganisationgoesthroughexternalverification,partnersselectedbytheauditors willbevisitedandaskedwhataccountabilityprocessestheyhaveinplaceandhowyourorganisationsupports/encouragesthemwiththeseprocessesandhow‘accountable’itistothemandtheirstakeholders.Partnerorganisationsthatarevisitedforanauditwillnotbecome“certified”, unlesstheydecidetosubmittotheexternalverificationprocessintheirownright.
• What if I don’t know the answer to a question?Thisisnota‘passorfail’exam.Ifyoudonotknowtheanswertoaquestion,itisnotafailureon yourpart;itisjustanindicationofaneedtoimproveinformationsharingandprocedureswithin theorganisation.Theself-assessmentaimstoidentifypatternsintheorganisationandisnotmeant toassesstheperformanceofindividuals.Theself-assessmentteamwillnotesignificantgaps inknowledgeorprocedureandwillhighlightthemintheimprovementplanas‘actions’thatneed tobetakenwithinarecommendedlengthoftime.Ifyouarestrugglingtounderstandaquestion, orneedtimetoprovideevidence,dofeelfreetotelltheself-assessmentteammembers,whowill bemorethanhappytorephrasethequestionorgivemoreinformationortimeforaresponse.
• Is the interview confidential?Theinterviewitselfisconfidential:theself-assessmentreportwillnotnamethepeoplewhogivespecificinformationandtheself-assessmentteamwillnotdiscussspecificconversationswithanyotherpeople.However,thereisasummaryreportwhichhighlightsinformationonyourorganisation’sstatuswithregardstoaccountability,knowledge,attitudesandpractice.Thisreportisconfidentialandonlysharedwithpersonsdirectlyinvolvedintheassessmentprocess.
User guidance for aid organisations l 45
ANNEX 6 FEEDBACK FROM COMMUNITIES
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
Performance indicators Score1.1 Does the assistance we provide responds to your priority needs and does it respect
your culture? 0Summarisefeedbackfromcommunitiesandpeoplehere.
1.2 Do we make good use of the skills and knowledge of your community and its members? 0Summarisefeedbackfromcommunitiesandpeoplehere.
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
Performance indicators Score2.1 Was assistance given in time? (e.g. seeds given before planting time, roofing materials
before monsoon season, etc…) 0Summarisefeedbackfromcommunitiesandpeoplehere.
2.2 Do you think that the people who needed help were given enough support? 0Summarisefeedbackfromcommunitiesandpeoplehere.
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
Performance indicators Score3.1 Do you feel that the support you receive prepares you to live without this type of aid
in the future? 0Summarisefeedbackfromcommunitiesandpeoplehere.
3.2 Do you feel that local service providers (local authorities, health care providers and/or community leaders) are more capable to respond to an emergency in the future because of the assistance we provide?
0Summarisefeedbackfromcommunitiesandpeoplehere.
3.3 Has the support had any negative impact on your community? 0Summarisefeedbackfromcommunitiesandpeoplehere.
46 l CHS Assessment
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
Performance indicators Score4.1 Do you feel informed about the services available to you? 0Summarisefeedbackfromcommunitiesandpeoplehere.
4.2 Is the information you receive clear enough? Does it come on time? 0Summarisefeedbackfromcommunitiesandpeoplehere.
4.3 Do you feel your views were taken into account in decisions made about support provided? 0
Summarisefeedbackfromcommunitiesandpeoplehere.
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
Performance indicators Score5.1 Do you know how to complain if you think there are any problems with the project
or staff? 0Summarisefeedbackfromcommunitiesandpeoplehere.
5.2 Do you feel that it’s easy and safe for you to complain? 0Summarisefeedbackfromcommunitiesandpeoplehere.
5.3 Are you satisfied with the responses provided to your complaints? 0Summarisefeedbackfromcommunitiesandpeoplehere.
6. Communities and people affected by crisis receive coordinated, complementary assistance.
Performance indicators Score6.1 Do you think that aid organisations coordinate well? 0Summarisefeedbackfromcommunitiesandpeoplehere.
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
Performance indicators Score7.1 Do you consider that the support received from our organisation has improved over time? 0Summarisefeedbackfromcommunitiesandpeoplehere.
User guidance for aid organisations l 47
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
Performance indicators Score8.1 Are you satisfied with the way aid workers providing services behave towards members of
your community? (quality of the relationship, languages used, respect of your culture, values etc.)
0Summarisefeedbackfromcommunitiesandpeoplehere.
9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
Performance indicators Score9.1 Are you well informed on the progress and results of the programme/project? 0Summarisefeedbackfromcommunitiesandpeoplehere.
9.2 Do you feel that the goods and services are being provided in an honest way? 0Summarisefeedbackfromcommunitiesandpeoplehere.
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