Emergency Preparedness and Contingency Planning

The aim of emergency preparedness is to optimise the speed and volume of humanitarian assistance and to ensure that “the strategic direction and required building blocks for an eventual response are in place” (UNHCR 2015a). Building on activities such as context analysis, planning, gap identification, partnership development and resource pre-positioning, emergency preparedness reduces or eliminates the negative impact of sudden shocks or pressures, including access to adequate Water, Sanitation and Hygiene (WASH) services. This lowers the occurence of WASH-related diseases during and following an emergency (UNHCR 2015a and UNHCR 2015b).

Depending on the nature of the humanitarian crisis (refugee situation vs. non-refugee or internal displacement situation), two different frameworks are used to guide emergency preparedness. They both adopt a forward-looking, “no regret” approach and include the same components (as described below), but are designed for use by different stakeholders:

• the Preparedness Package for Refugee Emergencies (PPRE) is used in refugee situations. Since response to refugee crises always lies under the responsibility of UNHCR (see Humanitarian Aid Coordination for WASH factsheet), this framework is designed for the use of UNHCR offices, in partnership with host governments, UN and NGO partners (UNHCR 2015c).
• the Emergency Response Preparedness Framework (ERP) of the Inter-Agency Standing Committee (IASC) is used in situations that involve Internally Displaced People (IDPs). Such situations require concerted actions by different agencies and organisations, coordinated by IASC (see Humanitarian Aid Coordination for WASH factsheet). The ERP framework supports inter-agency country teams, UN Resident Coordinators and Humanitarian Coordinators in collectively preparing a well-orchestrated humanitarian response (UNHCR 2015a, UNHCR 2015c).

Emergency preparedness builds on four components, that are to be implemented in a practical, flexible and participatory approach (EUROPEAN COMMISSION 2014):

Minimum Preparedness Actions (MPA)

Minimum Preparedness Actions are continuously implemented by response teams with the goal to create a minimum level of emergency preparedness, regardless if a specific emergency risk or scenario has been identified or not. Although not usually very resource intensive, MPAs have the capacity to prevent offices from being overwhelmed once contingency plans and emergency activities need to be rapidly undertaken. Their implementation is key to the quality of the humanitarian intervention and allows for a flexible response to different types of emergencies. Possible MPAs include risk analysis (see below), information management (e.g. maintenance of contact lists and local asylum policies), overseeing current response capacities (e.g. understanding possible refugee settlement options), preparation of the operational capacity to deliver critical assistance and protection (e.g. updating records of relief items), administration (e.g. establishment of coordination and management arrangements) etc. (UNHCR 2015c, UNHCR 2015d). Relevant MPA checklists can be downloaded from UNHCR’s Emergency Handbook: checklists for refugee situations, checklists for IDP situations.

Risk Analysis and Monitoring

As part of the MPAs, a continuous risk analysis and monitoring are performed to assess, monitor and rank (by impact and likelihood) risks that could potentially lead to a humanitarian crisis. The goal is to obtain a shared understanding of possible risk factors and to trigger Advanced Preparedness Actions (APAs) where necessary. Coordination with the concerned governments and other humanitarian actors should be sought to agree on the seriousness of the risks and the APAs to be taken (UNHCR 2015f).

Advanced Preparedness Actions (APA)

Advanced Preparedness Actions are initiated when emergency risks are rated "medium" or higher. The goal of APAs is to increase the readiness for emergency response and to initiate and lead contingency planning.

The respective activities are risk-specific and include actions such as context and gap analysis, WASH capacity building, identification of resource requirements, pre-placement of WASH emergency stocks (e.g. hygiene kits, water bottles, portable purification units, water tanks, latrine slabs) etc. APA’s are always implemented in conjunction with contingency plans (UNHCR 2015g, UNHCR 2015h). Relevant APA checklists can be downloaded from UNHCR’s Emergency Handbook: checklists for refugee situations, checklists for IDP situations.

Contingency Planning (CP)

Contingency plans are developed and repeatedly reviewed as part of the APA when risks are “medium” (CP to be considered) or high (CP mandatory). Contingency planning is defined as “a process, in anticipation of potential crises, of developing strategies, arrangements and procedures to address the humanitarian needs of those adversely affected by crises" (CHOULARTON 2007 cited in UNHCR 2015b). The goal of contingency planning is to agree on a scenario, response strategy for the first 2-4 weeks, coordination arrangements and resource needs between all partners (UNHCR 2015b, UNHCR 2015i). Contingency plans should address the following topics (UNHCR 2015b, 2015i):

• Situation and risk analysis (including gender analysis)
• Context and scenario-specific response strategy
• Operational delivery
• Coordination and management arrangements
• Operational support arrangements
• Preparedness gaps and actions
• Funding requirements

The following key principles should be considered when preparing the contingency plan (UNHCR 2015b, UNHCR 2015i):

• Contingency planning must be realistic, simple and easy to carry out by all staff and not be confined to specialists
• The contingency plan needs to be flexible and specific rather than broad
• Contingency plans should use resources efficiently to meet the humanitarian needs
• Importance should be given to the process, rather than only the written document
• A successful plan should include detailed information (e.g. detailed descriptions of water systems, geographical areas, aquifers, construction techniques, piping materials, generators and required fuel etc. of water supply systems). The plan can even go as far to include market studies for hygiene promotion items or material for Operation and Maintenance such as chemicals and spare parts.

Relevant templates and step-by-step guidance for implementation on national and field level can be downloaded from UNHCR’s Emergency Handbook for refugee situations and for IDP situations.

Should the emergency indeed occur, the contingency plan can be immediately transformed into a Preliminary Response Plan or a Refugee Response Plan, which can also serve as funding appeal (UNHCR 2015b and UNHCR 2015i).

In refugee situations, the response plans must cover aspects such as registration, freedom of movement, strategies for maintaining family unity etc. (see full list of items to be covered in a contingency plan for refugee situations here). Camps should always be considered an option of last resort and alternatives should be explored as far as possible. Where camps constitute the only feasible option, camp locations need to be identified based on field assessments and agreed upon with the host government as part of the response strategy (UNHCR 2015e).

In ‘mixed' situations that involve both IDPs and refugees, a contingency plan for refugee influx should be prepared as a separate document and should be streamlined into the ERP contingency plan as far as possible (UNHCR 2015e).

The guidance provided in this factsheet applies to IDP and refugee situations in Camps, Prolonged Encampments, Urban Settings or Rural Settings.

Considerations for Camps/Prolonged Encampments:

Where camps put extra stress on local water resources, specific attention should be directed to the link between rainfall and local aquifers. Proper risk analysis of floods and drought must be carried out through:

• Rainfall data collection and analysis
• Monitoring of groundwater fluctuation
• Mapping of the groundwater resources available for drilling

In parallel, mitigation measures should be taken to reduce the risk of over pumping and to reduce the water need by promoting alternatives to high water demand livelihood activities, especially the ones associated with sanitation and hygiene promotion interventions (EUROPEAN COMMISION 2014).

Considerations for Urban Settings:

When planning for such complex contexts as urban settings, it can be difficult to separate WASH from other sectors: environmental factors, property issues, livelihoods as well as ethnic, gender and economic inequalities are all interconnected. Additionally, emergency preparedness and contingency planning for cities must take into account that vulnerable people may be difficult to identify and access in urban areas, since they may be distributed over different locations and may fall through the loser social fabric often seen in urban areas. It must also be considered, that the multitude of present local authorities in urban areas may mean that humanitarian actors must act as “enablers” rather than as assistance providers. Finally, emergency preparedness and contingency planning for cities also requires clarifying (and strengthening) the interaction with the private sector, as the private sector has a significant role to play, e.g. for restoring existing water supply systems (BRYANT AND CAMPBELL 2014). Planning for complex systems like urban settings require greater skill levels, which means that specialists should be involved.

Considerations for Rural Settings:

When planning for response in rural settings, support to both the displaced and the host community must be considered. Since infrastructure is often weak in rural areas, it is important to ensure immediate provision of safe drinking water in sufficient amounts as well as safe disposal of sewage and solid waste. Community participation for the repair and restoration of existing infrastructure should be integrated in the contingency plan.