The Sphere Project - Phase Three

November 2000 - October 2003

a programme of the Steering Committee for Humanitarian Response (SCHR) and InterAction,

supported by VOICE and ICVA

Project Management Committee Represents:

Steering Committee for Humanitarian Response (SCHR)

an alliance for voluntary action of: CARE International, Caritas Internationalis, International Committee of the Red Cross, International Federation of Red Cross and Red Crescent Societies, International Save the Children Alliance, the Lutheran World Federation (ACT), Medecins sans Frontieres International, Oxfam International, and World Council of Churches (ACT).

Interaction

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

In consultation with:

VOICE

(Voluntary Organisations in Co-operation in Emergencies)

ICVA

(International Council of Voluntary Agencies)

Background

The Sphere Project is rooted in the shared concerns of humanitarian assistance NGOs over the performance and accountability of the humanitarian system. The Sphere Management Committee, which has the responsibility for this project, began their work together on an entirely voluntary and informal basis because there was common consent that the Committee had the potential to provide added-value to the humanitarian system in ways that individual agencies or existing networks could not achieve on their own. The Sphere Project was launched in mid-1997 by this consortium of humanitarian agencies 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, a trend that produced inconsistent quality in relief efforts. At the same time, it was recognised that disaster victims have a right to assistance and that the international community has an obligation to respond in a qualitative way. The Sphere Project’s goals were to improve the quality of humanitarian assistance and the accountability of humanitarian agencies to their beneficiaries, their members and their sponsors.

The Sphere Project became an extensive international, interagency effort. It has 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 has been a joint effort of the International Red Cross and Red Crescent Movement, and non-governmental organisations (led by Interaction and the Steering Committee for Humanitarian Response) and supported by VOICE and ICVA.

Summary of Phase I & II

Phase I (1997 – 1998) of the Sphere Project developed a preliminary edition of a Sphere handbook, which includes, in addition to the Humanitarian Charter, Minimum Standards for the sectors of water supply and sanitation, nutrition, food aid, shelter and site management, and health services.

The Humanitarian Charter elaborates the rights of disaster victims based on international humanitarian law, refugee law and human rights conventions. The Minimum Standards and key indicators respectively describe what people need and measurements of meeting these needs. The standards and indicators reflect concerns such as gender equity, respect of local culture, reducing the risk of violence to populations affected by disaster, and the minimization of environmental impact.  

As the humanitarian system is composed of multiple agencies with various sets of policies and standards, it was critical to achieve interagency agreement on all aspects of the Sphere handbook.

The consensus-building process included many agencies participating directly in five sector groups, inclusion of networks of experts from a variety of NGO and UN agencies, a thorough review of materials from diverse agencies, and wide sharing of information as the handbook developed.

Consequently, many humanitarian actors have recognized Phase I of the Sphere Project for the unique interagency cooperative process that developed a framework for, and commitment to, quality and accountability in humanitarian practice.

Phase II (1998 – 2000) activities were focused on making that commitment a reality through dissemination, debate and implementation. Phase II of the Sphere Project employed the same collaborative and inclusive approach that proved successful in Phase I.  Over two years, Phase II involved the first steps of dissemination of the Sphere Humanitarian Charter and Minimum Standards throughout the international humanitarian system. This work has included launching an independent website with material available in English, French and Spanish, distributing a quarterly e-mail newsletter to over 2000 individuals, producing a nine-minute video that profiles the Project, and presenting the Project at over 200 humanitarian meetings, conferences, academic institutions, training programs and NGO headquarter offices.

During Phase II, the Project has also supported implementation by relief agencies of the Humanitarian Charter and Minimum Standards. A significant training programme was developed and implementation begun to promote participation and training of aid agency personnel, to allow for the refinement of the technical content of the handbook, and to assist agencies in moving towards a position where they can fulfill the Humanitarian Charter and Minimum Standards. Fifteen inter-agency workshops were held on five continents. Linked to the training programme and as part of an integrated strategy of adoption of the Humanitarian Charter and Minimum Standards, a number of national and international NGOs worked with Sphere staff to systematically incorporate the standards into their agency’s policy and practice. A report documenting the lessons learned from this effort was produced and publicly presented by all agencies involved in the pilot process.

Finally, Phase II also included two formal reviews of the preliminary handbook. Text regarding the overarching gender and protection issues involved in all emergency situations was incorporated into the final first edition that was subsequently published in English, French, Spanish, Portuguese and Russian.

Significantly, during Phase II of the Project:

·                     5500 copies of the handbook have been sold and 8000 copies re-printed,

·                     the handbook was spontaneously translated into Hindi, Turkish, Indonesian, Japanese, Sinhalese and Tamil,

·                     five OECD donor governments recognised the value of the common standards and indicators reflected in the Sphere handbook and now require funding proposals to include commitment to attempting to reach the Minimum Standards,

·                     over 500 individuals attended Sphere training workshops,

·                     over 60 NGOs received introductory presentations on Sphere,

·                     20 NGOS worldwide made public commitments to systemically incorporate the Humanitarian Charter and Minimum Standards into their agency’s policy and practice,

·                     UNHCR, UNICEF and OCHA wrote letters of endorsement for the handbook and ordered over 500 copies for branch offices,

·                     many academic institutions (Harvard University, Columbia University, London School of Economics, London School of Hygiene and Tropical Medicine, NOHA – the European University Degree in International Humanitarian Assistance, etc.) include the Sphere handbook in core curricula,

·                     website hits increased from 3000 per month to over 20,000 per month,

·                     over 2000 copies of the video were ordered and distributed worldwide,

·                     various national governments began using the Humanitarian Charter and Minimum Standards to review their own disaster response plans.

Proposal for Phase III of the Sphere Project:

While the goals of Phase II - as originally designed - have been largely met, there is now the opportunity, and need, to ensure that the Humanitarian Charter and Minimum Standards become truly inculcated into the policy and practice of agencies involved in emergency response, and to ensure that the integrated approach addressed in Phase II is sustainable. Inspired by the extent of external interest and participation in the Project, as well as the internal perception of a need for evaluation, the Sphere Management Committee believes that a third and final phase of the Sphere Project is warranted.

In this final phase, it is intended that many of the activities initiated during Phase II will continue and that a new area of work - the evaluation of the impact of Sphere - will begin. It is deemed essential to follow up the work initiated in Phase II with activities that specifically promote a more profound understanding of the Humanitarian Charter and Minimum Standards that will encourage their adoption within the humanitarian system and support their long-term use, and to measure the overall level of influence of the Project.

Improving the quality and accountability within the arena of complex emergency response requires a multifaceted approach within each humanitarian agency and throughout complementary institutions.

The rational for Phase III is that:

1.        The overall response and participation in the Sphere Project has exceeded expectations. This has been true of the involvement in the production of the handbook, the demand for training in all regions, the interest of individual agencies to incorporate the Humanitarian Charter and Standards into all aspects of their work, the intention of many to make practical use of the standards in disaster response implementation and coordination as well as preparedness, the interest of donors and governments in having a common vocabulary and framework for emergency response, and the use of the Sphere Humanitarian Charter and Minimum Standards as a tool for clarifying and deepening understanding of many issues around effective disaster response. Phase III will seek to respond to this interest through strengthened systems of training and institutional incorporation to ensure the long-term sustainability of the Project after the Project office itself has ended.

2.       In Phase II, it was clear that the general outreach supported NGO understanding of, and commitment to the pilot process, which in turn was supported by participation in field-based workshops and the Training of Trainers, providing practical, hands-on application. This integrated approach of training, the piloting process and the promotion of interagency collaboration at headquarter and field level is working effectively. The same inter-linked, mutually supportive activities will provide the framework for Phase III.

3.       Finally, the need for an comprehensive evaluation of the global impact of the Sphere Project is essential.  It is probable that this evaluation could correspond with, and complement the general interest in a comprehensive survey of the quality and accountability of the humanitarian system. An group of external and independent agencies (for example the CDC, the Cranfield Disaster Management Centre, ALNAP) may be most suited to lead such a multi-tiered evaluation with the Sphere Project team providing the support and coordination needed. 

The evaluation would encompass both the effectiveness of the Project as a learning tool within the humanitarian community as well as potentially compile a set of baseline data that reflects quantitative and qualitative information about the state of humanitarian response quality and accountability. A second set of data would be collected in the final year of Phase 3 with the express purpose of determining the degree to which the SPHERE initiative contributed to improving the quality and accountability of humanitarian aid.

 Recognising the need for a clear exit strategy, a three-year final phase is proposed, with an increasingly limited number of activities and resource requirements. However, after the completion of Phase III, the Sphere Management Committee will ensure that the Project website is maintained and that revisions of the handbook are undertaken as required – thus ensuring the continuity of the Project.

General objectives and activities for Phase III

The Sphere Project will continue efforts for the improvement of humanitarian action by:

1. Training programme

A cornerstone of Phase III activities will be the continued development and promotion of training workshops and material.

1.1  Based on experience and feedback, continue to update and refine the current training modules. This will require occasional meetings between the Training Manager, workshop participants and consultants for this effort.

1.2   Conduct Training of Trainers aimed at various audiences. Over the course of Phase III, at least two Training of Trainers will take place. As successfully proven in Phase II, the TOTs will be primarily oriented to pilot agency staff who will sustain and expand the efforts within their own agencies to integrate the Humanitarian Charter and Minimum Standards into organisational policy and practice. Additionally, key training staff from donor agencies, academic institutions and independent training organisations will be invited to participate.  It is envisaged that one Training of Trainers will be held in Europe and the other in the United States. If a third TOT is conducted, it will be held in Africa.

1.3   Facilitate 15 inter-agency workshops world-wide. Based in the successful experience of Phase II, Sphere will conduct another round of interagency workshops. These workshops are designed for approximately 35 participants and will be three-day long. Participants will include staff from international and national NGOs, donor representatives, UN agencies and government officials. The Sphere Training modules are flexible and can be combined into relevant workshops as required by field personnel. Over 500 humanitarian staff in 15 countries will attend these workshops.

2. Outreach

The Sphere handbook provides a common vocabulary and framework tool for the various actors engaged with humanitarian work to discuss operational effectiveness and common problems and issues. Its ongoing dissemination promotes a deepening of debate and discussion, and strengthens the applicability and relevance of the handbook to the general humanitarian community.

2.1   Pro-actively engage with the humanitarian community with a particular emphasis on southern/eastern situations and voices. The purpose is to expand the number and representative experience and function of actors who know of and are using Sphere, particularly by supporting training possibilities, and seeking opportunities for Sphere to be introduced into and used by academic, training and research institutions. This will be done through the contacts developed during the creation of the handbook, by follow-up on communications received from national NGOs and proactively through the membership of the Sphere Management Committee agencies.

2.2   Facilitate incorporation and ratification by UN operational agencies with a focus on co-ordination with implementing partners. While UN agencies have begun to recognise and utilise the Sphere handbook, there is a need to conduct additional presentations and to identify enhanced opportunities for dissemination and incorporation into that complex.

2.3   Develop generic work plans and support packages adaptable to country-based consortia wishing to create Sphere focal points. Following each Sphere inter-agency workshop there is usually a strong interest in developing Sphere focal points to carry out additional training, co-ordinate sector specific work groups and, ideally, using the handbook in upcoming disaster response activities.

2.4   Review, update and maintain website. As the website is the prime carrier of Sphere information, it requires continuous monitoring to ensure that material is accurate, relevant and up-to-date. It is envisaged that as case studies and real-life applications of the handbook emerge, they will be posted on the website.

2.5   Produce a 60-minute video based in real-time disaster situations that will graphically illustrate the practical application of the Sphere handbook in field use. The strong oral tradition of the NGO community will be highlighted through reflective story-telling segments. It will combine original footage shot on location during a disaster as well as training-oriented material. The video will follow the program cycle and will be composed of six 10-minute thematic segments. In addition, it will provide enhanced effectiveness to the training modules, supplement workshops where experienced trainers may not be present and be appropriate for orientations of humanitarian staff. Moreover these videos will extend institutional learning beyond the life of the Project office itself.

2.6   Prepare, in consultation with the academic community, suggested scenarios for use of handbook in academic curricula, with particular emphasis on universities based in the Southern Hemisphere.

2.7   Continue distribution of the newsletter and other informational material.

3.  Agency incorporation

The objective of the pilot process is to test out effective methodologies of Humanitarian Charter and Minimum Standards implementation.  For that reason, new agencies will not be introduced in Phase III. Rather, the work will focus on additional learning and consolidation that can be achieved through existing pilots. These pilot organizations include agencies that are part of global networks (e.g. IFRC, Oxfam family, Lutheran World Federation, CARE) as well as other agency consortia. 

3.1. Achievable systems of monitoring and evaluations:

Most international NGOs accept that monitoring and evaluation in emergencies is extremely difficult for two reasons: first because there is limited experience within agencies for effective monitoring and evaluation of projects in general (including development projects) and second, because data collection and collation is often not a priority in emergencies. Some organizations have expressed interest in identifying and experimenting with simple systems for data collection and analysis. The Project will bring a number of agencies together to help to create achievable systems for monitoring and evaluation that have the credibility and backing of various organizations. The role of the pilot project would be bring these organizations together, identify common interests and document and distribute the systems proposed.

3.2               Document experience of Sphere implementation in disaster response.

To date, experience of implementation in disaster response has tended to be ad hoc: some organizations have used Sphere in assessment, others use the handbook as a technical reference tool and there has been some limited experience of coordination in the context of the Humanitarian Charter. However, to date, there is no experience of testing the full implementation of Sphere by various agencies in an emergency. Phase III will strive to promote that experience either by placing a Sphere-focal point into the field in the early stages of a new emergency as a facilitator to agencies or by encouraging the major agencies to send staff into the field who have been through Sphere training.  Process and practice experience would need to be documented by Sphere, as it is unlikely that those involved would have the time or distance to undertake this role.

3.3               Document experience of Sphere implementation in disaster preparedness.

Some pilot agencies are interested in using Sphere as a framework for disaster preparedness. Although some incorporation on disaster preparedness and mitigation is in the training material, we do not yet have sound experiences of plans drawn up and executed in practice. These experiences will also be consolidated and documented.

3.4        Participation of Southern agencies:

The pilot program, together with the training program, is able to achieve the involvement of a critical mass of international NGOs that always participate in disaster response.  However, it would be impossible to involve the same critical mass of southern agencies, given their number, diversity and geographical spread. Thus, more work needs to be done in order to bring southern agencies on board.  This could involve an analysis of:

- Relationships with northern partners and how effective these could be in extending the knowledge and understanding of Sphere,

- Analyze experience of working with the Sphere India Committee and other umbrella and networking bodies

It will be essential to undertake further analysis of north-south relationships in disaster response. We have to find some real The Project will work to identify successes in north-south disaster response relationships that maximize logistics and managerial capacity of the north, together with local capacities and knowledge to achieve the most effective result.

Once further experience of implementation is gathered, it will be possible to promote and facilitate discussion about Sphere throughout the pilot agency constituency. That way, the program could reach a larger number of organizations, building on the experience of each member of the alliance that participated in Phase II.

4. Sphere Handbook Management

Maintain efforts to promote use of the Sphere handbook world-wide and prepare for potential revisions and additional language translations.

Develop systematic mechanisms to generate, collect and collate technical changes and evolving research that relates to the relevancy of the Minimum Standards in preparation of a second edition of the handbook in the last year of the Phase III, with particular emphasis on feedback from southern institutions.

4.1   Identify, second, and support sector team-leaders for review and revision of handbook in the third year of the project.

4.2   Support and facilitate efforts world-wide to produce local-language publications of the handbook following the successful initiatives of Phase II.

4.3 Undertake specific language productions if not produced during Phase II of Arabic, Chinese and/or KiSwahili.

4.4 Liaise with, and encourage other humanitarian consortia who are consolidating and producing Minimum Standards on other sectors and promote the Sphere process of broad-based collaboration and sector expertise and consensus.

4.5 Minimum Standards and key indicators regarding food security in disasters and calamity could be incorporated into future editions of the handbook if they have been developed through a broad, collaborative, evidence-based process. The Sphere Project can provide guidance and modest management support if required. This inclusion reflects a previous commitment made by the Sphere Project Management Committee.

5.      Evaluation

A final evaluation of the Sphere Project is a critical component of the overall learning and accountability elements of the work undertaken to date. There are two required components to the evaluation:

1. Has the project made humanitarian assistance more effective, as measured by:

            - comparison of the levels of service provided by agencies prior to and following integration of the Humanitarian Charter and Minimum Standards into their emergency operations, and ;

- comparison of the levels of service provided by agencies that have not integrated the Sphere Standards into their emergency operations.

2. Did the process through which the Sphere Project worked, at all stages, achieve the objectives of extending knowledge and understanding about the purpose and utility of the Humanitarian Charter and Minimum Standards?

A number of research institutions have expressed an interest in undertaking an independent evaluation of the Sphere Project. It is proposed that a tendering process be established to select an appropriate consortium according to the criteria of absolute independence, academic rigor as well as practical applicability (in terms of methodology proposed) and international coverage (at least one institution in the consortium would have to be from the south). Another criterion for selection will be the involvement of beneficiaries in the design of the evaluation.

In broad terms, the evaluation is anticipated to span a three-year period:

Year 1: to undertake a review of documentation and personal experience to establish a ‘baseline ’ (exploring practice in humanitarian response since 1990). Use the baseline to establish indicators for a monitoring framework.

Year 2: to implement monitoring framework (over an 18-month period)

Year 3: to analyse monitoring results, together with follow-up interviews and literature review to collate evaluation findings.

The evaluation will be overseen by a steering committee, composed of: the research consortium; the Sphere Project Manager; representatives from bilateral agencies UN agencies; InterAction and the Steering Committee for Humanitarian Response.

Project management, staffing and funding

This Project will continue to be conducted under the auspices of InterAction, an 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 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.

Project Management Committee

The Project Management Committee will compromise representatives from each of the sponsoring agencies (SCHR members plus three 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 the Sphere team, 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 implement 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 goals of the project among other humanitarian actors

It is envisaged that the Project Management Committee will meet at least two times per year during Phase III.

Project manager

The Project Manager will be responsible to the Project Management Committee; as well the IFRC Disaster Policy Director who will, as the Project Coordinator, provide line management supervision to the Project Manager as well as support the manager on a day- to- day basis. The Project Manager will be required to design the overall scope and working methodology of new areas of Phase III and to set and manage the timetable for the work. The Project Manager has a key responsibility for liasing with other operational agencies, donor institutions and research bodies to build up knowledge of the work and the sense of commitment to the Project. She/he will also work closely with relevant UN operational agencies and academic institutions to ensure that the Sphere Standards are incorporated into disaster management and humanitarian response training and teaching.

Training and Implementation staff

The Training Manager will continue to refine and disseminate training materials and be primarily responsible for managing Sphere-based workshops and the Training of Trainers. In addition, the Sphere training will encourage the awareness of professional management, needs assessment, and project planning by designing practical application modules and by developing case-based practical applications. The Training Manger will also work closely in the production of the Phase III video.

The NGO Iimplementation team will conduct agency diagnostics, develop and support work plans for those agencies that are part of the pilot group, identify interagency linkages, and co-ordinate participation in 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 the linkage between the theoretical and the practical.

Work plan

It is expected that Phase III of the project will be accomplished in a three year period with the work schedule shown in the attached timeline.

Budget

The approximate budget in USD is estimated at $1,675,000 and reflects current costs in Geneva, where the Project is based. This sum, equivalent to an average of approximately $550,000 a year, is in accord with expenditure levels over Phase I and II.

Funding

As with the Phases, it is assumed 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 III of the project of no less than USD15, 000 each year, and that a core of donor agencies will provide funds in amounts ranging from USD 20,000 to USD 400,000.

It is anticipated the funding for the evaluation would be secured separately by the interested academic and research institutions.