The Sphere Project - Phase Two

November 1998 - October 2000

a programme of the Steering Committee for Humanitarian Response and InterAction, supported by the ICRC, VOICE and ICVA

Project Management Committee Represents:

steering committee for humanitarian response

an alliance for voluntary action of: care international, caritas internationalis, international federation of red cross and red crescent societies, international save the children alliance, the lutheran world federation, medecins sans frontieres international, oxfam international and world council of churches

InterAction

a coalition of over 150 US-based non-profits working to promote human dignity and development in 165 countries around the world

Non-voting members of the Project Management Committee:

VOICE

Voluntary Organisations in Co-operation in Emergencies

International Committee of the Red Cross

International Council of Voluntary Agencies

November 1998

Geneva

For more information, contact the Project Office.

Tel: (41 22) 730.4501, Fax: (41 22) 730.4905, E-mail: Sphere@ifrc.org

Summary

Phase I of the Sphere Project developed a preliminary edition of the Humanitarian Charter for persons affected by disaster and an associated set of Minimum Standards in essential areas of disaster response — water supply and sanitation, nutrition, food aid, shelter and site management and health services. Phase II will focus on putting these standards and the Charter into practice with the ultimate aim that signatories will hold themselves accountable to a full implementation.

Employing the same collaborative and inclusive approach that proved successful in phase I, Sphere phase II will pursue five areas of work over two years.

First, the Charter and Minimum Standards were printed and distributed in December 1998. Initially it was in English. French and Spanish versions of the Humanitarian Charter and Minimum Standards will be made available on the Sphere website in February 1999. In late 1999, after further review, refinements to the Minimum Standards will be made, and handbooks will be published in English, French, Spanish, Arabic, and Russian.

Second, during 1999, humanitarian agencies committed to working towards implementation of the Charter and Minimum Standards will trial their application in a range of field environments. This exploration will provide a more detailed knowledge of the problems and opportunities that arise as humanitarian agencies move towards using universal norms. The field studies will be conducted over a wide range of conditions and contexts so as to verify that the principles of the Sphere project are right, and that the indicators are logical. Two substantive meetings (May and September 1999), of the Sphere Management Committee and technical staff will be held to review existing comments on the Minimum Standards, analyse feedback from the field studies, review the debate and provide refinement of the handbook.

Third, experts from the participating agencies of the Sphere Project Management Committee will undertake a systematic review of the Humanitarian Charter and the Minimum Standards to insure appropriate integration of gender and protection concerns.

Fourth, a dissemination and training programme will be developed and implemented to ensure widest possible awareness of the standards, to promote participation of aid agency personnel, to allow for the refinement of the technical content, and to assist agencies in moving towards a position where they can fufill the Humanitarian Charter and Minimum Standards. Lessons learned from this programme will be fed back into the wider dissemination and training process.

Fifth, the Sphere Project will formulate a formal process for NGOs to register their commitment to the Humanitarian Charter and the Minimum Standards. The project will also explore a protocol for the handling of complaints within a consultative, peer-process framework. The focus in this work is to try and assist humanitarian organisations and networks to be more accountable, as the Sphere Project has no intention to act as an international inspectorate.

Phase I of the Sphere Project was recognised for notable interagency co-operation in developing a framework and commitment for quality and accountability in humanitarian practice. Phase II activities are focused on making that commitment a reality. It is inherent in the work of phase II that lessons learned during the application of standards to practice will be integrated into participating agencies' ongoing efforts to enhance their effectiveness. Collaboration among agencies, enhanced by regional interagency training sessions, will also improve programme impact. Testing and evaluating the institutionalisation of the Humanitarian Charter and Minimum Standards will provide evidence of the impact of the Sphere Project on services for persons affected by calamity or conflict.

Background

In mid-1997, humanitarian agencies launched the Sphere Project. This activity was undertaken out of concern that a massively increased demand for humanitarian relief world-wide was in danger of outstripping the response capacity of the humanitarian system and could lead to inconsistent quality in relief efforts.

The Sphere Project is an international, interagency effort. It employed a co-operative, collaborative process to develop a Humanitarian Charter for persons affected by disaster and an associated set of Minimum Standards in essential areas of humanitarian response. The Sphere Project is a joint effort of the International Red Cross and Red Crescent Movement; non-governmental organisations led by InterAction and the Steering Committee for Humanitarian Response and supported by VOICE, ICRC, and ICVA. UN agencies participated at the technical level and many donor governments provided funding. The Sphere Humanitarian Charter and Minimum Standards were printed and distributed in December, 1998.

A number of special characteristics are recognised as instrumental in the success of the first phase of the Sphere Project:

{ The focal issue -- quality of service to beneficiaries -- is one which strikes a chord among all humanitarian actors and led to unprecedented co-operation.

{ The willing contribution of time, thought, effort, knowledge, dialogue and resources in a collegial, collaborative spirit by members of all the NGO consortia was essential and virtually unparalleled.

{ The UN Secretary General's statement of support for the interagency collaborative effort early in the process was a great boost to gathering momentum and remains an important acknowledgement of the value of the Sphere Project process.

{ The wide support from official donors (ten different government agencies) illustrates the value placed on improved humanitarian assistance world-wide and was key to progress.

{ Collaboration with and support from policy and technical components of intergovernmental humanitarian organisations, in particular UNHCR, WHO, UNICEF, WFP, UNOCHA, provided invaluable support in achieving agreement on standards.

Sphere proposes to build on this successful collaboration and carry forward the goal of the Sphere Project – To improve the quality of humanitarian assistance and the accountability of humanitarian agencies to their beneficiaries, their members and their sponsors. Phase II will focus on disseminating the charter and the standards along with the development of associated training materials and methods. The first year of Phase II will provide an opportunity for humanitarian agencies to review the handbook as a program tool, and to publish a first edition in 1999.

The commitment to accountability by the many agencies involved in the Sphere process is a significant step. The set of standards developed by the Sphere Project is grounded in a Humanitarian Charter, itself firmly rooted in international humanitarian law, refugee law and human rights conventions. The Charter re-affirms the right to assistance of persons affected by calamity and conflict. Agencies testing the Charter and Standards will be signalling their commitment to the delivery of essential goods and services in fulfilment of this right. As humanitarian agencies move to utilise the Sphere standards in their operating policies and procedures, it is anticipated that the momentum will reinforce adherence to these standards. The ultimate aim is that Sphere signatories will hold themselves fully accountable to their beneficiaries, their members and their donors.

Proposal for Phase Two

In order to produce the desired effect of improved quality and accountability in practice, it is necessary to follow-up the publication of the Sphere Humanitarian Charter and Minimum Standards with activities that will institutionalise them within the humanitarian system. The provision of humanitarian assistance is inherently complicated given the various types of calamities, the potential to operate anywhere in the world, the numbers of diverse agencies, the engaging of foreign and national staff and volunteers, and the physical risks and logistical challenges. Impacting practice in such a complex arena requires a multifaceted approach within each humanitarian agency and through-out complementary institutions.

Institutionalisation of the standards within humanitarian NGOs will require adoption/adaptation of policy statements, organisational systems and field practices. Humanitarian NGOs, in the north and in the south, may wish to incorporate the standards throughout their agencies. Agency governance and management systems may need to pursue the implementation of programs according to the Sphere standards and to be held accountable for program performance according to these standards. Agency staff may need to incorporate the standards into operational practices throughout the programming cycle. The standards may be used by field personnel to aid and improve program decision making and monitoring. The accomplishment of this process will require a commitment on the part of agencies to analyse and refine their systems.

In addition to the dissemination and training leading to the institutionalisation of the Humanitarian Charter and agreed Minimum Standards, there is interest in using the Sphere grouping of agencies to explore benchmark standards in additional sectors. We are, however, hesitant to overload the Sphere project per se, as we recognise the need to focus on applying the standards already developed. Thus, during phase II of Sphere, the grouping of agencies involved in the project may come together to look at best practice in such areas as security, but this will be done outside of the formal structure of Sphere standards.

General objectives for phase II

The Sphere project will further efforts for the improvement of humanitarian action by:

w disseminating information regarding the Humanitarian Charter and Minimum Standards developed in phase I through-out aid agencies, donor governments, and research institutions,

w reviewing the applicability of the Minimum Standards across a range of operational environments,

w reviewing and integrating the cross-cutting issues of gender and protection in regards to the handbook,

w developing and promoting training on the Sphere Standards,

w developing mechanisms for complaints handling.

Methodology

Building on multi-agency collaborative efforts that proved so successful during phase I, in phase II the Sphere project will continue to use a co-operative and decentralised working style which draws on the capabilities of participating agencies. Core staff will primarily be individuals seconded from their agencies, co-ordinated by a project manager. The major work of the project will be accomplished through teams focused on specific tasks, communicating electronically and meeting occasionally. Dissemination activities will be implemented through-out participating agencies and through appropriate conferences and academic/research institutions.

Project sponsorship

This project will be conducted under the auspices of InterAction, a US-based consortium of private voluntary organisations in collaboration with the Steering Committee for Humanitarian Response (SCHR). The project will be managed under the guidance of the Sphere Project Management Committee which, in addition to SCHR and InterAction, includes the following agencies with non-voting status: International Committee of the Red Cross (ICRC), International Council of Voluntary Agencies (ICVA), and Voluntary Organisations in Co-operation in Emergencies (VOICE).

Appropriate to its system-wide nature, the Sphere Project will continue to seek a broad base of financial support from both participating NGOs and humanitarian donor agencies.

Most of the work will be carried out by agency staff seconded to the project. They will report to a full time Project Manager who will in turn report to the Project Management Committee.

Project management committee

The Project Management Committee shall be made up of representatives from each of the sponsoring agencies (SCHR members plus two InterAction representatives) and a representative from each of the observer agencies. The representatives should be competent in both the operational and policy areas of the agencies' work. The purpose of the Management Committee is to give overall guidance to the Project Manager and to periodically review work on the project reported back to them by the Project Manager.

Members of the Project Management Committee also have responsibility for:

¨ ensuring the financial viability of the project

¨ identifying staff to carry out the project

¨ participating in Management Committee meetings

¨ communicating project information to the agencies they represent

¨ facilitating the institutionalisation process within their own agencies

¨ promoting the goal of the project among other humanitarian actors

It will be the responsibility of the Project Management Committee to approve the final product of the project and recommend its formal adoption by each agency. The Committee will also be responsible for ensuring a co-ordinated and successful launch of the final product.

It is envisaged that the Project Management Committee will meet at least three times per year during the life of the project.

Project manager

The Project Manager will be responsible to the Project Management Committee, although s/he will be supported by the IFRC Disaster Policy Director on a day to day basis. The Project Manager will be required to design the overall scope and working methodology of phase II and to set the timetable for the work. S/he will be responsible for co-ordinating the promotion and dissemination process. Sector/Research Managers will report to the Project Manager who will be responsible for guiding their work and ensuring its timely execution.

The Project Manager has a key responsibility for liaising with other operational agencies, donor institutions and research bodies to build up a knowledge of the work and a sense of commitment to it.

During the main body of the project, when most of the work is being carried out by the Sector Managers and their teams, the Project Manager will be responsible for ensuring that information is shared among the sector teams and that the Project Management Committee is kept regularly informed of the project's progress.

Finally, the Project Manager will have a responsibility to ensure that operational agencies, donors and research institutions consulted and contacted for support during the project receive copies of the final product and are encouraged to adopt it as a working set of guidelines.

Sector and Research managers

Sector and Research Managers will be appointed from amongst the sponsoring agency staff and then be seconded to the project for the term of their sectoral work.

The Training Manager will develop training materials and be primarily responsible for working closely with agencies committed to the implementation of the Humanitarian Charter and Minimum Standards to help implement Sphere-based training or adjust their present training to reflect the incorporation of Sphere Standards. She/he will conduct agency diagnostics, develop workplans for those agencies that are part of the focus group, identify interagency linkages, and coordinate the training campaign. This will include the translation of the sectoral specifications into communicable program design as well as promoting a full understanding of the basis of the Humanitarian Charter and how to go from the theoretical to the practical. In addition, the Sphere training will encourage the awareness of professional management, needs assessment, and project planning. She/he will also work closely with relevant academic institutions to ensure that the Sphere Standards are incorporated into disaster management and humanitarian response training and teaching.

The Monitoring and Evaluation Manager's primary task is to establish the workability of the Standards in agency program design. This will include an evaluation of the Project's dissemination and implementation effort, as well as an exploration of the appropriateness of the document as a program tool across a variety of agencies and situations. Lessons learned will continue to inform the on-going work of dissemination and implementation and, most importantly, will serve to keep the Minimum Standards relevant.

The Registration and Complaint-handling Manager will look to identify the complaint-handling processes already established in other fora, and to determine what system or systems would provide added value to SCHR, InterAction and other agencies registered to working with the Sphere standards.

Methodology

The Sector Managers/Researchers are responsible for identifying and creating teams of experts from a range of suitable operational agencies and research institutions to assist him/her in this work. These team members will not be paid for their work but will be encouraged to contribute as part of the process of getting a broad range of agencies to buy-in to the work.

The Sector Managers will be expected to travel as necessary to liaise with peer groups, and to hold at least two working meetings of the team he/she puts together for the work. It is expected that Sector Managers will work full time on this project for the period of designated secondment. The Sector Managers will keep the Project Manager informed of the progress in their sector. The draft material developed will be presented by the Sector Managers to the Project Manager at the end of the secondment period.

In drafting the material the team members should bear in mind that their potential audience is not just technicians and specialists in that field. Rather it is believed that the key audience lies within the management staff that plans and implements humanitarian relief operations plus the donor institutions who fund them and other agencies, particularly those within the UN family, who work along side them.

Phase Two Activities

Promotional events

The acceptance of these standards by the world community necessitates a formal promotion process. Representatives of InterAction and SCHR formally launched the handbook in London UK and Washington DC on the 3rd December 1998. The events were aimed primarily at the humanitarian community rather than the media and took the form of seminars and workshops at which the Standards were presented and discussed. Concurrent with this, agencies were encouraged to commit to the implementation process of the Humanitarian Charter and the Minimum Standards.

To expand the reach of the project in the first year, additional promotional events will be planned to coincide with major meetings around the world. For example, the OAU, OAS, ECOSOC, IASC, ExCom, ParinAc meetings; InterAction Forum in April 1999; and the Red Cross International Conference in November 1999.

Implementation activities

The following activities will be conducted using the Sector Manager/Researcher working group approach to collect agencies' expertise and come to agreed approaches for training, piloting and monitoring dissemination of, and compliance with, the Humanitarian Charter and Minimum Standards.

Dissemination and institutionalisation

The dissemination and institutionalisation of the Standards is at the heart of the pilot process. In order to promote a broad-based understanding of the Humanitarian Charter and the Minimum Standards, the following framework will be used:

Ÿ All agencies agreeing to implement the standards will be prepared with briefing packets and other materials in order to take the standards to CEOs and governing boards with the objective of generating agency policy statements of commitment to complying with, and being accountable to, the Humanitarian Charter and the Minimum Standards.

Ÿ Agency administrative staff should participate in seminars that assist in the organisational adaptation necessary to facilitate performance according to the Minimum Standards.

Ÿ Field staff from agencies working in specific locations are encouraged to participate in interagency workshops that provide a broad-based understanding of the Minimum Standards in planning and monitoring programs.

Ÿ Persons interested in working in humanitarian relief efforts should learn about the Sphere Project in preparatory courses such as those offered at schools of public health, in refugee studies programs and peace-keeping institutions, through NGOs and through the UN system.

Ÿ As necessary, the Sphere Project will respond to technical challenges and evolving research that relates to the relevancy of the Minimum Standards.

Testing and evaluation

In Phase II, the Sphere Project will test two processes. In the first review process, a cross section of humanitarian agencies will analyse the applicability of the Humanitarian Charter and Minimum Standards in a wide range of operational environments (natural disasters, non-refugee producing situations, non-western contexts, etc.) to provide feedback prior to the publication of the handbook.

The Sphere Project will also track and monitor the dissemination and implementation of the Humanitarian Charter and Minimum Standards into humanitarian agencies, independent training institutions, and academic curricula. Testing will comprise close studies of the implementation process with subsequent reporting on useful methodologies. All agencies agreeing to implement the Standards will have access to brochures, training material, evaluations forms and support from the Sphere office.

A cross-section of pilot agencies will be encouraged to provide a close examination of the implementation process for the purpose of learning how best to operationalise the Standards. These agencies will receive additional support from the project, but will also be required to a provide commitment from the CEO level, designate a high-ranking manager responsible for the Sphere implementation process, and, in most occasions, be prepared to devote resources to the pilot process. The Sphere Project will actively seek the enrolment of the widest possible range of agencies and institutions for the pilot group.

Gender and Protection

The Humanitarian Charter and Minimum Standards will be systematically reviewed and, as appropriate, augmented to fully integrate gender and protection concerns.

Accountability

From the beginning of this project the issue of accountability has been of great concern. In Phase II, the project will clarify and propose to the SCHR and InterAction, ways for handling complaints related to the implementation of the Minimum Standards. These recommendations would be available to any participating agency who requested receiving this information.

Other international versions of the standards

The current edition of the Humanitarian Charter and Minimum Standards has been printed in English. Additional materials to be developed in phase II include information packets and training materials. In order to extend the reach of the standards, the documents will be translated into French and Spanish. All material should be available free as downloadable documents on the Internet.

Final publication

During the course of the first year of phase II, recommendations for improvements and for final refinements of the document will be collected, synthesised, reviewed and presented to the voting members of the management committee for unanimous approval. This process will lead to the publication of the first edition of Standards at the end of 1999. To meet this time table, formal comments to the project will be required no later than July 1999.

Work plan

It is expected that phase II of the project will be accomplished in a two year period with the work broken up as shown in the attached timeline (Table 1).

Funding

As with phase I, it is envisaged that major bilateral and multilateral donors will wish to continue their association and financial participation in the Sphere project. It is proposed that the previously successful funding strategy be again employed; that is, members of SCHR, along with InterAction, will make a commitment to phase II of the project of no less than USD15,000 each, and that a spectrum of donor agencies will provide funds in amounts ranging from USD15,000 to USD150,000.

Table 1

Sphere Phase II Timeline

	`1998	`1999				`2000
	October through December	January through March	April through June	July thru Sept	October through December	January through March	April through June	July thru Nov
Project manage- ment	One day Project Management mtg. New Project Manager to start. Asst. to start.	One day Project Management Meeting	One day Project Management Meeting		One day Project Management Meeting	One day Project Management Meeting	One day Project Management Meeting	One day Project Management Meeting
Completion of publishing process	Printing / mailing of preliminary edition		Feedback from field study	Editing first edition	Commercial publication of Standards
Launch and promotional events	3 December event London and Washington	Produce brochure	InterAction Forum (April)		RC General Assembly (Nov)
Other language versions of the standards	1. Translate into French. 2. Translate into Spanish. 3. Post on Internet.	1, 2. Editing, layout, printing. 1,2,3. Distribution. 4. Maintain / update web site	Maintain / update website.
		`1999				`2000
	October through December	January through March	April through June	July thru Sept- ember	October through December	January through March	April through June	July thru Nov
Dissemination and institutional isation	Select training manager. Form dissemination and training sector group.	Briefings for governing boards of agencies. Development of training material and video.	Regional workshops for agency management and field staff.	Continue and analyze feedback	Reformulating of training material and procedures.	Continued dissemination and training		Continue
Monitoring and evaluation of institutional isation		Review document for gender and protection criteria	Select monitoring manager and form sector group.	Follow dissemination / institutionalisation process through pilot agencies. Integrate lessons learned into process.
Accountability and Complaint- handling			Investigation of accountability and complaint- handling mechanisms		Propose systems to Sphere MC