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					Cluster/Sector Leadership Training
Training Needs Assessment Report




                                 Prepared for OCHA HRSU

                     by Charles Dufresne and Paul Thompson
                                           InterWorks LLC.
                                         November 17, 2006
Table of-Contents
Executive Summary ...................................................................................................................................... 1

Introductory Note and Abbreviations ........................................................................................................... 2

Background and purpose............................................................................................................................... 3

Summary of key findings .............................................................................................................................. 3
   A. Is there a need for cluster/sector leadership training and what should be OCHA’s involvement
   in developing it?........................................................................................................................................ 3
   B.       What should be the content of a CSLT? .......................................................................................... 4
   C. What are the core competencies (skills, knowledge, attitudes) which effective cluster/sector
   leads demonstrate? .................................................................................................................................... 4

        Caveats on the impact of training: ........................................................................................................ 5
   D.       What are the key elements to consider in a CSLT strategy?............................................................ 5

        Systems-wide approach......................................................................................................................... 5

        Linkages with other trainings ................................................................................................................ 5

        New vs. ongoing emergencies .............................................................................................................. 5

        Venue and location of training .............................................................................................................. 7

        Linkages with Country-Level Efforts ................................................................................................... 7

        A multi-pronged approach .................................................................................................................... 7

        Inter-agency ownership of the CSLT .................................................................................................... 7
   E. Beyond cluster/sector leads, what other key stakeholder audiences exist for CA capacity
   building and training? ............................................................................................................................... 8
   F. What new content needs to be developed to support a CSLT? ............................................................ 8
   G.       What principles should guide the development of a CSLT?............................................................ 9

ANNEXES .................................................................................................................................................. 11
   Annex 1: CSLT needs assessment contacts .......................................................................................... 12
   Annex 2: Global Cluster Lead Agency training initiatives ................................................................... 14
   Annex 3: Topics to include in cluster leadership training..................................................................... 17
   Annex 4: Cluster/sector lead competencies .......................................................................................... 21
   Annex 5: Links to other trainings ......................................................................................................... 23
   Annex 6: Capacity Building, training and learning options ................................................................. 26
   Annex 7: Building Capacity of Extended Audiences ........................................................................... 28
   Annex 8: Assessment objectives and questions asked .......................................................................... 29
Cluster/Sector Leadership Training Needs Assessment                                        17 November 2006



Executive Summary
This report is intended to assist UN OCHA and global cluster lead agencies and other IASC agency
partners in identifying a training strategy, prioritizing training audiences and clarifying key training
and learning objectives for an eventual cluster/sector leadership training (CSLT) initiative.

There is a general consensus among those interviewed that, in addition to their own cluster/sector
specific training, there is a need for a foundational cluster/sector leadership training initiative. There
is also general agreement that the development and delivery of this training initiative should be
managed by UN OCHA. Significant consensus exists on the key competencies a cluster/sector lead
needs to be effective and on the general content to be included in a CSLT. However, there is less
congruence around what training methods or approaches are most appropriate, which audiences
should receive training and whether the CSLT should be held in headquarters (Geneva), at a regional
level or in the field.

There may need to be one training strategy to strengthen cluster/sector leadership in ongoing chronic
emergencies where an HC already exists and another training strategy to prepare cluster/sector leads
to perform effectively in new emergencies. OCHA Humanitarian Reform Support Unit (HRSU) and
global cluster lead agency and other IASC partners will need to consider which Humanitarian
Reform/Cluster Approach (HR/CA) problems CSLT training can best address, and which problems
may require additional institutional or policy development.

In addition to training cluster/sector leads, the CSLT will have a greater impact if it is linked
comprehensively and systematically to existing or new capacity-building/training efforts that target
other key cluster/sector lead stakeholders. These stakeholders include: Humanitarian Coordinators,
global cluster lead agency personnel, IASC humanitarian response personnel and cluster/sector
members, national partners (local NGOs and government), UN OCHA staff and UN Country Teams.

While a workshop was the most often cited training alternative, there are many other options which
could form part of a more comprehensive and multi-pronged HR/CA capacity building approach.
This broader strategy may be required to reach the various stakeholders who have an interest in the
successful implementation of the HR/CA.

An inter-agency advisory group which guides and advises on CSLT design and development will
contribute to joint-ownership and CSLT sustainability. Sustainability of the CSLT will require
ongoing organizational commitment from the IASC in general and OCHA in particular to the
program. This commitment must be manifested at the senior level if the program is to continue to
fulfil its aims over the long-term.

While some content or activities might be brought in from other existing training programs, they will
need to be contextualized and modified to address cluster approach concerns. Furthermore, several
new sessions, activities and tools specific to the CSLT will need to be designed and developed. There
is also a need to research, collect and categorize best practices, lessons and practical examples which
demonstrate and illustrate the application of the guidelines and principles outlined in the Cluster
Approach Guidelines and the generic TORs for Sector/Cluster lead at the country level.

The CSLT must continuously update its approach and content to reflect the inevitable evolution of the
cluster approach. It must remain timely and focused on the training needs of the audience as the
cluster approach matures and evolves along with future approaches to emergency management. The
CSLT must, therefore, be conceptualized as a continuous improvement process.




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 Introductory Note and Abbreviations




Introductory Note

The terminology used for this training “cluster/sector leadership training” reflects agreed IASC
language in the Guidance Note on using the Cluster Approach, approved in November 2006. The
cluster approach does not replace existing sector leadership and coordination, but strengthens it along
agreed standards for predictability, partnership and accountability.




Abbreviations used in this report:

CA=Cluster approach

CSLT=Cluster/Sector Leadership Training

HR=Humanitarian Reform

HC=Humanitarian Coordinator

HRSU=OCHA Humanitarian Reform Support Unit




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Background and purpose
This report is intended to assist UN OCHA, global cluster leads and other IASC partners in
identifying a training strategy, prioritizing training audiences and clarifying key training and learning
objectives for an eventual cluster/sector leadership training (CSLT) initiative. Its key findings, ideas
and recommendations are the result of a training needs assessment conducted by the authors over the
period 30 October – 14 November. It is also intended as a contribution to the discussion of the action
plan and immediate next steps required to support the design and development of the agreed CSLT
strategy.

The training needs assessment consisted of interviews with various global cluster leads, IASC
members/associates and experienced cluster leads, and a review of various cluster approach
evaluations, field assessments and desk studies conducted between 30 October –10 November 2006
(See Annex 1 for a list of people contacted during this assessment process.)

This report is now being sent for comment to global cluster focal points, other IASC partners, and to
others interviewed during the assessment process. The intent is to also send it to OCHA country desk
officers and a select group of cluster/sector leads (either current or those having served in this role
over the past year) identified by the global cluster lead agencies.

Summary of key findings
This section provides summaries of responses to the questions posed by the authors to interviewees.
Detailed responses can be found in the annexes.

A.   Is there a need for cluster/sector leadership training and what should be
OCHA’s involvement in developing it?

There is a general consensus among those interviewed that, in addition to global cluster lead sector
specific training, there is a need for a foundational cluster/sector leadership training initiative. This
finding supports the recommendation in the IASC Interim self-assessment that sector leads receive
training to fulfill their roles and responsibilities.

There is also general agreement that the development and delivery of this training initiative should be
managed by UN OCHA during a set time-frame, for example, over a two year period.

While most envisioned this training as a residential workshop organized by UN OCHA, others
conceptualized it as a module (or set of modules) to be developed by UN OCHA that they (or UN
OCHA) could deliver in their own cluster/sector training initiatives. A couple of those interviewed
noted that one option might be to deliver the CSLT as a self-study or distance learning course. This
option was rejected by others who fear that their staffs’ hectic work schedule would interfere with
their ability to concentrate on self-study. During the assessment, it became apparent that a CSLT
should be seen as one element of a more comprehensive and system-wide HR/cluster approach
capacity building strategy.

All global cluster lead agencies are in the early stages of planning and implementing training
programs to support capacity building in their particular cluster/sector (e.g. emergency shelter cluster
training. See Annex 2 for a more complete list). There is, however, great variation in methodologies,
training plans, event scheduling and trainee selection criteria. These differences will likely
complicate efforts to develop a CSLT which coincides neatly with each global cluster lead’s training
needs or plans. There is, therefore, an urgent need for global cluster leads to clarify in detail their



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current initiatives and to discuss and set priorities for the CSLT training strategy, priority audiences,
training objectives and delivery options.

B.       What should be the content of a CSLT?
When asked to suggest priority content or topics to include in a CSLT, those interviewed provided a
range of responses. ( It should be noted that most interviewees, in responding to this question, seemed
to assume that the eventual audience would be cluster/sector leads and that the delivery option would
be some form of face-to-face training.)
Their responses have been consolidated into the three categories below. (See Annex 3 “Topics to
include in CSLT” for a comprehensive list of responses given.)
        Humanitarian reform key messages and practical implications of the “Cluster Approach
         Guidance Note” and the “Generic Terms of Reference for Sector/Cluster Leads” at the
         country level”
        Best practices and lessons learned in implementing the cluster/sector leadership approach,
         especially with regard to particularly challenging cluster approach issues (e.g. cluster
         accountability, provider of last resort, gap filling, cluster/sector membership and
         accountability, relating to donors, resource pooling, cross-cutting issues in cluster approach,
         strategic analysis and planning, needs assessment, cluster/sector leadership “coordination” &
         meeting structure)
        Core cluster/sector lead competencies – non-sector specific (see below) - supported by best
         practice examples or testimonials by those who have worked as cluster/ sector leads.

The scope of topics and learning objectives implied in these categories is broad and inclusive. As
such, it is unlikely that these can be addressed in less than a five-day, face-to-face workshop,
assuming the CSLT is to be configured as a learning initiative (that includes a workshop), rather than
mere briefings or presentation of content.

Decisions about content and training format will also turn on an analysis of the likely training
audiences: their specific learning needs and how these needs can best be met (i.e. weeklong
workshop, 1-2 day briefings, dissemination of Fact Sheets and CD toolkit, access to a HR/CA
“Learning” Web site, etc…)

C.     What are the core competencies (skills, knowledge, attitudes) which effective
cluster/sector leads demonstrate?

There is general agreement on the non sector-specific competencies required for effective
cluster/sector leadership. Most of these competencies, unsurprisingly, are those commonly associated
with effective humanitarian coordination. They consist of skills, knowledge and attitudes in the
following four categories:
     1. Cluster approach guidelines and Sector/Cluster lead terms-of-reference
     2. Coordination management mechanisms and systems thinking
     3. Knowledge/ facilitation of assessments, strategic analysis and planning, information
        management
     4. Leadership, team-building, communications, negotiations, and other inter-personal
        competencies
Annex 4 “Cluster/Sector Lead Competencies” breaks down each of these categories into a more
complete set of specific skills, knowledges and attitudes. This list is once again broad and inclusive in
scope and will require prioritization. This effort will in turn require identification and prioritization of
the primary audience and of profile criteria of individuals invited to participate in a CSLT initiative.
(This winnowing process may in fact have already started: most agencies agreed that those selected


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for cluster leadership positions would be experienced or senior level staff ideally at the P5 level, or
external consultants at the equivalent level of experience, stakeholder credibility and seniority. Some
agencies are considering including NGOs on their roster of cluster/sector leads).

Caveats on the impact of training:

The CSLT can only go so far in contributing to the successful implementation of the cluster approach.
While a well designed CSLT can contribute to strengthening cluster/sector lead competencies, its
impact will be limited unless supported by organizational commitment and mechanisms. One such
mechanism, for example, would be the deliberate recruitment of cluster/sector leads who will have
professional credibility within their clusters/sectors and who are anxious to learn, develop and apply
the identified key cluster/sector lead competencies. Other such mechanisms are organizational
policies and procedures which allow the cluster/sector lead to work primarily on behalf of the cluster
itself rather than on his/her own agency’s priorities.

D.       What are the key elements to consider in a CSLT strategy?

Systems-wide approach

In addition to training cluster/sector leads, the CSLT will have a greater impact if it is linked
comprehensively and systematically to existing or new capacity-building/training efforts that target
other key cluster approach stakeholders. These stakeholders include: Humanitarian Coordinators,
global cluster lead agency personnel, IASC humanitarian response personnel and cluster/sector
members, national partners (local NGOs and government), and UN OCHA staff.

Linkages with other trainings

There are a number of ongoing courses conducted by current IASC members which should integrate
key messages about humanitarian reform, the cluster approach and cluster/sector leadership. Options
for facilitating this integration include:
        producing modules, presentations and handouts to be used in other trainings
        creating a roster of HR/CA resource persons and coaches available on an as-needed basis to
         lead a session, serve as a resource person or give advice. A two-day workshop to capacitate
         these resource persons would contribute to their effectiveness.
        holding a two-to-three day training-of-trainers workshop on cluster/sector leadership for
         global cluster lead trainers and other IASC member trainers who deliver trainings related to
         contingency planning, emergency response and humanitarian assistance management.

The IASC’s Emergency Team Leadership Programme (administered by UNHCR), and OCHA’s
Emergency Field Coordination Training, while serving audiences distinct from those of a CSLT,
deserve special mention as several of those interviewed either noted or raised questions about their
potential linkages with a CSLT. As one person interviewed suggested, “The cluster leadership
training should be 1/3 ETLP, 1/3 EFCT and 1/3 brand new stuff”. Annex 5 discusses these two
courses and other training initiatives with potential linkages to a CSLT.

New vs. ongoing emergencies

There may need to be one training strategy to prepare cluster/sector leads to perform effectively in
new emergencies and a second training strategy to strengthen cluster/sector leadership in ongoing
chronic emergencies where an HC already exists.

         Training cluster/sector leads for new emergencies




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        Individuals on cluster/sector lead rosters who will deployed by global/sector lead agencies in
        new emergencies are prime candidates to go through a foundational five-day CSLT
        workshop. A CSLT workshop could serve to prepare them for cluster/sector leadership roles,
        by strengthening their own core competencies, and by contributing to teambuilding among
        these future cluster/sector leaders, many of whom will presumably encounter each other in
        future deployments. The potential size of this audience and the frequency of such a workshop
        still has to be determined. Part of this training will need to discuss the mechanisms to build
        capacity at the hub level.

        Strengthening cluster/sector leadership in ongoing chronic emergencies

        The training challenge is a bit different for countries experiencing chronic emergencies. It
        has been noted that where HC’s and coordination mechanisms already exist, it is much more
        difficult to “roll-out” the cluster approach, and that this roll-out often creates more
        coordination problems that it solves. The challenge in these situations is to integrate elements
        of the cluster approach as needed into the existing humanitarian response and coordination
        efforts so that existing gaps are filled and the entire effort strengthened.

        In place of a five-day foundation course, what may be needed here is just-in time customized
        capacity building, training or coaching support to respond to requests initiated by the HC or a
        humanitarian country team. These requests could be informed by a HR/CA diagnostic tool
        designed to assist motivated HCs and/or humanitarian country teams to identify pressing
        cluster/sector leadership and coordination challenges. For example, let us suppose that one
        country team identifies their greatest challenge to be cluster/sector partnerships with national
        government and local NGOs, while a second country team identifies their primary challenge
        to be joint resource mobilization. In either case, tailored made training/coaching options
        might include one or more of the following:
               a 1-2 day intensive problem-solving workshop focused on the specific country team
                challenge and facilitated by HRSU staff, or HRSU approved HR/CA resource persons
                or CSLT trainers/facilitators.
               An information and training support package sent to a HR/CA focal point in-country
                (HC or OCHA Head-of-Agency)
               a teleconference between the HC, humanitarian country team and a HR/CA resource
                person (e.g. HRSU staff, CERF or CAP specialist, IM experts, former cluster/sector
                leads, etc.) who could provide practical advice and tools to address the country team’s
                areas of concern. This would require that HRSU identify potential “just-in-time”
                training/coaching needs and maintain a roster of resource persons that includes the
                areas in which each person specializes.

        Another approach might be to support the critical role that OCHA country staff have in
        facilitating, supporting and monitoring the proper introduction and implementation of HR and
        the CA in ongoing emergencies. Such support for OCHA Heads-of-Agencies might include a
        two to three -day training to enable them to carry out this role effectively. For other OCHA
        field staff, perhaps such training could be integrated into the EFCT course or a specially
        designed EFCT course for delivery in-country.

        Yet another option would be to hold regional workshops bringing together seven to ten
        senior-level participants from several regional humanitarian country teams. Again, a HR/CA
        diagnostic questionnaire could be sent out ahead of time to determine the key areas to focus
        on at these regional workshop.




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Venue and location of training

The venue for CSLT is an important but, as yet, unresolved, issue. There is a danger that the cluster
approach remains a Geneva and/or a country headquarters level-based initiative – with little
improvement seen deeper in the field where it matters most. Many interviewees advocated for a field-
based CSLT to encourage the participation of national actors and ensure that the cluster approach is
not Geneva-centric. However, most acknowledged that there is a need for both HQ and field-based
training to address the specific needs of different audiences. For those being trained for deployment
to new emergencies, a training in Geneva might be appropriate, as one cannot predict where trained
cluster/sector leads will be sent. For chronic emergencies this logic is reversed: capacity building and
training should be as close to the chronic emergencies as possible.

Linkages with Country-Level Efforts

In disaster/emergency-prone countries, Resident Coordinators and UN Country Teams should be
considered key stakeholders in a CLST initiative given the significant role they play in preparing key
national entities (government, local NGOs, communities at-risk) to interact effectively with the
international community. For example, the cluster/sector approach could/should be integrated in
country-level disaster preparedness and contingency planning trainings supported by UNDP and
others. This “preparedness effort” is critical if the principle of international-national “Partnership” is
to be implemented.

A multi-pronged approach

A face-to-face CSLT workshop can be seen as merely one option among several constituting a more
comprehensive and multi-pronged HR/CA capacity building approach. As already noted, this broader
strategy is required to reach the various stakeholders who have an interest in the successful
implementation of the HR/CA. While this report has already hinted at options other than workshops,
Annex 6 provides a list of additional capacity building, training and learning options. Ultimately, a
realistic assessment of the added value, practicality and opportunity costs of each will determine
which options are to be developed, when they can be developed and who should take the lead in
developing them.

Inter-agency ownership of the CSLT

The CSLT needs to be seen as part of system-wide Humanitarian Reform training, rather than as an
“OCHA training”. It should be promoted as a service to the humanitarian community and be “owned”
by key stakeholders. This ownership can be reinforced through:

 ongoing consultation with key stakeholders

 forming an inter-agency CSLT advisory group (one for policy decisions and one for technical
    input)

 creating a roster of IASC HR/CA resource persons available for consultation, coaching and
    presentations on HR/CA

 creating a mechanism for the eventual sharing of, or contribution towards, significant training
    costs.

Some interviewees suggested as well that the heads of the IASC member agencies will need to
communicate their support for the CSLT to their particular agency staff.




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E. Beyond cluster/sector leads, what other key stakeholder audiences exist for CA
capacity building and training?

As stated, primary audiences for CSLT are cluster/sector leads and others who are instrumental in
applying or facilitating the cluster approach in emergency settings. In addition to these primary
audiences, there are many other important stakeholder audiences who can influence and/or contribute
to effective HR and implementation of the CA. The chances of HR/CA being applied successfully is
increased if all significant HR/CA stakeholders also receive some form of capacity building,
orientation or training. This extended audience potentially includes:
    1. Cluster/sector partners and stakeholders: international NGOs, government and local NGOs
    2. Humanitarian Coordinators
    3. UNDAC teams
    4. UN OCHA Heads-of-Office
    5. UN OCHA field staff
    6. Resident coordinators
    7. UN Country Teams

See Annex 7 for a discussion on how the capacity building needs of some in this wider audience could
be met.

F. What new content needs to be developed to support a CSLT?

The quality of the CSLT hinges partially on the quality and practicality of the guidelines, resources
and tools on which it is based. While some content or activities might be brought in from other
existing training programs (e.g. Negotiation skills from the EFCT or Leadership-Team dynamics from
the ETLP), they will need to be contextualized and modified to address cluster approach concerns.
Furthermore, it is safe to assume that several new sessions, activities and tools specific to the CSLT
will need to be designed and developed. There is also a need to research, collect and categorize best
practices, lessons and practical examples which demonstrate and illustrate the application of the
guidelines and principles outlined in the Cluster Approach Guidelines and the generic TORs for
Sector/Cluster lead at the country level.

Some individuals interviewed noted that the guidelines and cluster lead terms-of-reference need to go
further in:

    1. expanding details and clarifying terminology in the guidelines (e.g. related to cluster
       “accountability”, “provider of last resort”);

    2. documenting operational best practices and lessons learned; and

    3. developing a toolkit consisting of these best practices, as well as agreed-upon standard
       operation procedures, operational guidance, checklists and tailoring of existing tools (NAF,
       CERF, CAP, CHAP, etc.).
There are several ways to capture cluster/sector operational best practices. One way would be to
request that each global cluster lead agency begin identifying their best practices and lessons learned.
Some of the global cluster leads may be doing so already. HRSU could facilitate the systematic
categorization of these practices and lessons by agreeing with global cluster leads on which
cluster/sector leadership best practice areas to document. For example, these areas might include:
       cluster partner engagement, ownership and accountability
       resource pooling (best practice with CERF, CAP, Flash appeals)



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        integrating cross-cutting issues
        conducting joint strategic analysis and planning
        cluster/sector information management
        minimizing cluster/sector lead conflict-of-interest

A second way to collect “best practices” could be to hold a semi-annual, or an end-of-year two-day
retreat bringing together those who have served in cluster/sector leadership positions. A third way
would be for HRSU and/or global cluster lead agencies to assign staff or consultants to research and
capture these best practices. A fourth would be to insert the task of “documentation of best practices”
into the cluster/sector leads’ terms-of-reference and/or final report template. However it is done, the
specific best practices collected should illuminate how to address the primary challenges identified in
the various CA evaluations and self-assessments.

These best practices would have multiple uses for capacity building and training. They could inform
workshop role-play scenarios and case study analysis and be made available in document, CD and
Web-based versions for wide distribution and use.

G.       What principles should guide the development of a CSLT?

While the OCHA HRSU and its global cluster lead agency partners have yet to review or endorse this
list, it is proposed as a set of training management and design principles which could guide the design
of the CSLT.

        An inter-agency advisory group which guides and advises on CSLT design and development
         will contribute to joint-ownership and CSLT sustainability.

        Sustainability of the CSLT will require ongoing organizational commitment from the IASC in
         general and OCHA in particular to the program. This commitment must be manifested at the
         senior level if the program is to continue to fulfil its aims over the long-term.

        The CSLT training strategy should be realistic, i.e. it must be matched by the human,
         financial and material resources needed to support it. If the CSLT is comprehensive and
         multi-pronged in scope, the amount of work could justify a full-time dedicated training
         manager (P3 or P4 equivalent) and a higher G-level assistant. In addition to organizing
         specific training events, these staff may be called on to oversee the development of materials,
         manage the pre- and post-workshop activities, generally provide a support service to CSLT
         participants, manage the training team and coordinate with global cluster leads and
         training/capacity building focal points.

        The CSLT must continuously update its approach and content to reflect the inevitable
         evolution of the cluster approach. It must remain timely and focused on the training needs of
         the audience as the cluster approach matures and evolves along with future approaches to
         emergency management. The CSLT must, therefore, be conceptualized as a continuous
         improvement process with initial CSLT workshops considered as “pilot” versions.

        The CSLT needs to be grounded in best practices and practical cluster coordination tools
         which have been tested and refined. The training team must be highly-experienced and the
         training well marketed so that the humanitarian assistance community is aware of the CSLT
         and the program acquires a reputation for excellence. There should be a healthy demand for
         participation.

        The CSLT will consider developing a variety of training products and services to meet the
         diverse needs of prioritized audiences – although their development will depend on



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Cluster/Sector Leadership Training Needs Assessment                                      17 November 2006


        opportunity costs and funding. These products and services may include Fact Sheets, learning
        modules, workshops, training-of-trainers, Web-site “Learning” site, CD Toolkit, Best
        Practices and Lessons Learned.

       Face-to-face training time should be spent mostly on interactive learning exercises: role-plays,
        skill building drills, discussions, debates and experience sharing. Lectures should be kept to
        an absolute minimum - as much of what is presented in lectures can be read in documents, or
        viewed on video or audio-enhanced PowerPoint, either before or after the course.

       Participants in a CSLT workshop event should be expected to complete a set of readings and
        other assignments before their arrival at the course. Valuable workshop time can then be
        spent on clarifications, discussions and interactive learning methodologies, rather than on
        lectures to deliver content easily read in a document.

       The CSLT will seek linkages to and reinforcement of other relevant training and learning
        programmes while avoiding duplication.

       Cluster leadership interpersonal skills should be taught, learned, practiced and discussed in
        the context of realistic cluster challenges. The case studies, scenarios, operational dilemmas
        and researched/documented best practices should all be based on such real challenges.
        Training in these skills must be woven into the fabric of the course in a seamless manner,
        rather than presented as stand-alone sessions.

       Ideally, the CSLT should focus more on the practical concerns emanating from the cluster
        approach implementation, rather than on explaining the theory and content of the cluster
        approach guidelines. These include documented cluster lessons and best practices, standard
        operating procedures, the competencies (skills, knowledge, attitudes) leading to effective
        cluster coordination, the desired results or impact of improved coordination and examples of
        how the cluster approach adds value.

       The training team should be experienced and include one to two professional lead
        facilitators/trainers, an experienced cluster lead to serve either as the second full-time
        professional co-trainer or as a lead resource person, and various other resource persons
        brought in as needed. These additional resource persons could include, for example: a senior
        humanitarian reform advocate (e.g. someone from HRSU), IASC HR/CA resource persons,
        cross-cutting issue practitioners familiar with integrating key issues into humanitarian
        operations, and individuals practiced in real application of the various coordination tools
        available – e.g. the NAF, CHAP/CAP, CERF, information management practices for
        coordination, etc.

       In face-to-face CSLT workshops, role-plays may be particularly effective for CSLT. In fact a
        number of role-plays may be preferable to a big, complex simulation as role-plays can be
        easily tailored to specific audience needs. Simulations, by contrast, can be difficult to modify
        and are expensive to develop.

       One of the many common threads noted in the training assessment was the call for
        mainstreaming cross-cutting issues such as gender, response standards (e.g. Sphere) and early
        recovery.

       With the scheduled closure of the HRSU by the end of 2007, mainstreaming must apply to
        CSLT as well. This provides a short time frame during which the CSLT needs to become
        well formulated and made sustainable.




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                                    ANNEXES




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Annex 1:         CSLT needs assessment contacts

Note: the location of the office of all individuals is Geneva unless noted. In addition to these
interviews, we also attended the Cluster Self-Assessment debriefing meeting on Tuesday, October 31,
attended by numerous IASC members and global cluster lead agency personnel.

      Agency Affiliation                           Contact                              email
OCHA, Director Geneva Office and     Kasidis Rochanakorn             rochanakorn@un.org
Chair of IASC Working Group
OCHA HRSU                            Jamie McGoldrick                Mcgoldrick@un.org
OCHA HRSU                            Mark Cutts                      cutts@un.org
OCHA HRSU                            Aimee Wielechowski              wielechowski@un.org
OCHA HRSU                            Justyna Susla                   susla@un.org
HRSU OCHA                            Rebecca Richards                Richards@un.org
OCHA UNDAC Training                  Jesper Lund                     lund@un.org
Coordinator
OCHA Staff Development &             Tatiana Garakani                garakani@un.org
Training
OCHA Environmental Emergencies       Roy Brooke                      brooker@un.org
Section
OCHA Information Management          Brendan McDonald                mcdonald@un.org
(New York)
OCHA CERF (New York)                 Kristina Koch                   kochk@un.org
OCHA CERF (New York)                 Rudi Muller                     muller@un.org
Head IDMC and NRC Resident           Elisabeth Rasmusson             elisabeth.rasmusson@nrc.ch
Representative
IDMC/NRC Training Department         Christophe Beau                 christophe.beau@nrc.ch
Save the Children                    Roberta Cecchetti               Roberta@savethechildren.ch
Oxfam International                  Mark Prasopa-Plaizier           Mark.prasopa-
                                                                     plaizier@oxfaminternational.org
Sphere Project                       Alison Joyner                   Alison.joyner@ifrc.org
Sphere Project                       Veronica Foubert                Veronica.foubert@ifrc.org
ICVA Coordinator                     Ed Schenkenberg van Mierop      ed.schenkenberg@icva.ch
IFRC Head, Shelter Department        Graham Saunders                 graham.saunders@ifrc.org
IOM                                  Lea Matheson                    lmatheson@iom.int
UNDP BCPR                            Jahal de Meritens               Jahal.de.meritens@undp.org
UNHCR Emergency Section              Chantal Berthemieu              berthomi@unhcr.org
UNHCR Emergency Section              Andrei Kazakov                  kazakov@unhcr.org
UNHCR Emergency Section              Vano Nupekhon                   nupekhon@unhcr.org?
UNHCR Technical Support Section /    Adelmo Risi                     risi@unhcr.org ?
Emergency Shelter
UNHCR Field Info & Coordination      Jane Wanjiru Muigai             muigaij@unhcr.org
Support Section
UNHCR Dept. of International         Renatta Dubini                  dubini@unhcr.org
Protection
UNHCR- Dept. of International        Arjun Jain                      jain@unhcr.ch
Protection



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UNHCR Div. of International             Kabi Bernander          berdande@unhcr.org
Protection Services
UNHCR Comm. Devel, gender               Terry Morel             morel@unhcr.ch
equality & children
UNHCR                                   Hannah Entwiste         entwiste@unhcr.org
UNICEF Office of Emergency              Jean McCluskey          jmccluskey@unicef.org
Programmes
UNICEF Office of Emergency              Luc Chauvin             lchauvin@unicef.org
Programmes
UNICEF Office of Emergency              Quoc Dang Nguyen        qnguyen@unicef.org
Programmes
UNICEF Office of Emergency              Everett Ressler         eressler@unicef.org
Programmes
WFP Logistics                           Matthew Hollingworth    Matthew.hollingworth@wfp.org
WFP Telecommunications                  Enrico Pausilli         Enrico.pausilli@wfp.org
WHO Dept of Health Action in            Dr. Samir Ben Yahmed    benyahmeds@who.int
Crisis
WHO Dept of Health Action in            Alessandro Loretti      lorettia@who.int
Crisis
WHO Dept of Health Action in            Tanja Sleeuwenhoek      sleeuwenhoekt@who.int
Crisis
WHO Dept of Health Action in            Erin Kenney             kenneye@who.int
Crisis
Cluster lead for protection in Ituri,   Irene Schmid            Irene.schmid.1969@bluewin.ch
DRC. Now Deputy Head of
Protection in Sudan.
Cluster/sector lead in. Iraq, Sudan,    James Shepherd-Barron   jamshepbarron@yahoo.com
Pakistan, others) / former CARE Int.
director




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Annex 2:       Global Cluster Lead Agency training initiatives

This list is based on notes taken during the author’s interviews and may need to be verified by each
respective agency. Please note any corrections and send to Paul Thompson at
Thompson@interworksmadison.com before 30 November 2006.

IOM: Camp Coordination and Management
       IOM is collaborating with NRC who has developed a Camp Management Training
        programme. IOM has a broader definition of coordination than is implied by cluster
        coordination. They need to train camp coordinators to coordinate between camps and to train
        camp managers to coordinate within camps. IOM is developing a module for coordinators,
        specific to camps.

        IOM is planning 9 camp management workshops next year, attended by senior operations
        officers who could also be cluster/sector leads. In the past they have brought in consultants
        to be the cluster/sector lead.

        Regarding IOM’s interest in CSLT, they hope that OCHA will develop a training package of
        modules from which they can pick and choose to add a one day overview of cluster
        coordination training to their training programme .

        IOM is concerned that an OCHA standalone training programme will limit access to it. They
        want this training to be accessible to a wide audience. However, by the end of our meeting
        the IOM rep indicated an interest in a standalone workshop that focused on the cluster
        leadership role.

        The rep also suggested we consider a TOT for the CSLT so that each agency can do its own
        training.

NRC: Camp Coordination and Management
       NRC runs the training programme in camp management for IOM (and maybe UNHCR?).
        They also have training for emergency roster members. They would like a ½ day module in
        humanitarian reform and cluster leadership to add to their training.

UNDP: Early Recovery
       UNDP has funds to support training for coordination of Early Recovery. They need to train
        Recovery Advisors (instead of early recovery Cluster/sector leads). This training audience
        will include staff from UNDP’s Regional Bureaux. The UNDP rep thinks 5 days is a good
        length for CSLT.
       The training for recovery advisors would be at different levels, e.g. one at field level for all
        partners to be trained together, and one as an orientation to all new staff with a 1 day module .
        In addition they have funds to support a range of training in disaster management that may be
        of value to disaster management actors in the future.




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UNICEF: Water/Sanitation (no meetings set up with Nutrition sector)
       UNICEF is working with RedR to develop their technical training. RedR will assess the
        training needs of the cluster/sector lead candidates. They want to piggyback the CSLT on
        their sector technical training. They describe their audience as coming from regional
        technical staff.

        UNICEF describes its emergency response as different than that of, for example, an UNDAC
        team. It doesn’t fly in to assess the emergency because it is already there and will stay there.
        The UNICEF audience is different than the UNHCR roster because of their decentralized
        organization. Some capacity is in place at the emergency, some emergency experts can arrive
        to support. This is described as a closely nit club or group.

        UNICEF prefers for the training to be in the field. UNICEF will draw its cluster/sector leads
        from UNICEF staff, NGOs, Red Cross, and consultants. They want to train 10 – 15 senior
        people for the cluster/sector roster the first year and build up to 25 – 50 senior people. This
        roster objective is to serve new emergencies, not to deploy cluster/sector leads to all the
        existing HC chronic emergencies. Candidates include national staff. These numbers are for
        capital level coordination, not field level. They will do an analysis for how many field level
        cluster/sector leads they need.

        UNICEF suggests a 5 – 6 day CSLT followed by 2 day technical training, but these additional
        days could also include health and nutrition together with WASH. They are not interested in
        the TOT model.

        While attempting to become a “learning organization” it is changing. Staff are too busy for
        distance learning and therefore, and human resource policies don’t yet properly support the
        time needed to do this. Therefore, workshops are better for training as they get people out of
        their working environments and allow people to focus on the new material.

        They currently do not have useful in-house training materials relevant to CSLT.

UNHCR: Protection

UNHCR, Protection is writing a handbook for the cluster training and developing a learning project
for IDP colleagues for IDP operations.

UNHCR: Camp Management

Camp management training is envisioned as 1 day training on the cluster approach, 3 days on camp
management plus 1 day on coordination. UNHCR people agreed that changing mindsets and attitudes
was their biggest challenge.

UNHCR seemed to agree they want the CSLT to link to their sector/technical training, i.e., CSLT
would be an add-on.

UNHCR: Emergency Shelter
       We didn’t receive specific input from the shelter sector, although a representative did attend
        the meeting.

WFP: Telecommunications

WFP shares the cluster lead role for telecommunications with UNICEF and OCHA but they do not
have a shared strategy for training. WFP has developed a training programmed for


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telecommunications managers in emergencies. It is a five day programme facilitated by the Scuola
Superiore Sant'Anna in Pisa, Italy. They also currently run workshops for their stand-by partners.
One consideration is to expand these trainings to include training for cluster leads.

WFP: Logistics

In December 2006, WFP will pilot an 8 day workshop for senior managers of emergency logistics
operations. Some of the participants in that workshop may be nominated for logistics cluster leads.
WFP does not currently have a plan to train logistics cluster leads, but believes a 3 - 4 day workshop
held with other cluster leads would be a preferred format.

WHO: Health
       WHO envisions that training the cluster/sector leads is a three step process:
            o   Step 1 is pre-workshop preparedness of reading basic documents – background with
                some web eLearning. This is necessary to guarantee adherence to the minimal set of
                information, policies, etc. (Content would include “what is HR? Good humanitarian
                donorship, guidance notes. Step 1 is compulsory before going on to Step 2.
            o   Step 2 is one week workshop to build common knowledge of cluster/sector lead skills
            o   Step 3 is focus on technical skills

        WHO is planning for their first course at end of March 2007. But they want to coordinate
        with the OCHA CSLT. However, they need to spend their money by that date.

        WHO is looking at a lot of training materials in health in emergencies, but they haven’t
        selected any yet.

        WHO wants to include their 16 partners in the CSLT. Other CSLT trainees may be from the
        outside if they have found people with great potential. They are asking their roster people to
        commit to 3 month assignments. For a first batch, they want to train 10 – 15 with a goal of
        around 30 in the end. (However, one person attending the meeting pushed the number of 70
        for an end goal).

IFRC: Emergency Shelter
        IFRC plans a roster of 10 – 15 people drawn from IFRC, national societies, and consultants.
        They are concerned the CSLT will be branded as a UN training. Saunders sees shelter as a
        cross cutting issue and wants to integrate the shelter topic into IFRC’s ongoing training
        programmes for national, regional and IFRC disaster response teams. Regarding CSLT, he
        would like to be able to take modules on cluster/sector lead and add to other IFRC workshops.
        But for a roll-out 5 day event, he wants to attend himself. IFRC likes the module approach to
        use the CSLT materials so that they are not locked into a CSLT time frame.




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Annex 3:       Topics to include in cluster leadership training

Content to include in CSLT

We should focus on inter-agency tools, not sectoral.
       The change of mindset from working on behalf of the organization to working on behalf of
        the cluster is the most important learning objective.
       What is the purpose of the cluster approach, what does it produce, how is it different from
        previous emergency management mechanisms?
       How do local agencies relate to clusters and how do local agencies contribute to clusters?
       Operational aspects of coordination (joint assessment, M&E, planning, etc.)
       How to manage and include cross-cutting issues – not just guidelines, but actual examples
        of best practice
       How to build partnerships? Illustrate the techniques with case studies, best practice.
       How not to overdue meetings? The CA doesn’t require any meetings.
       Resource mobilization in clusters.
       Skill building in participatory methods, especially in terms of building partnerships. (Some
        recommend this not be a big topic of the CSLT, mainly a reference to other information about
        how to do it.)
       Using tools appropriate to the CA: CERF, CAP, CHAP and the NAF (however the NAF has
        met some resistance, it has been successful in some cases and not others) These tools should
        just be introduced at the CSLT explaining their value to the CA but refer them to other
        trainings to gain the skills in using them. .
       Facilitation skills
       The training needs to emphasize that the cluster approach has to be flexible. There is a
        difference between the paper model and what works in reality. E.g., there have been cases
        where the cluster/sector lead came from an agency that is not identified as the cluster lead.
       Cluster/sector leads need to know the bigger picture of an emergency – not just be aware
        of their sector. This means the cluster/sector lead needs to be aware of the country-wide
        policies and strategies, not just the sectoral technical stuff, in order to understand the context
        of his/her sector. So there has to be good links and communication between the policy level
        activities of the HC, the IASC country team or HPCT on the one hand and the technical sector
        inter-cluster forum on the other.
       The Humanitarian Country Team is a new mechanism to bring national NGOs into the
        process.
       There is coordination at the global level, the capital level, but the real coordination is on the
        ground – CSLT must have a strategy for reaching this level.
       Cluster/sector leads need to know what exists in a country before an emergency in many
        areas, such as, the key people and their role in operations, relevant assets/resources, how does
        the government work and their priorities, where does UNDAC fit in? The cluster/sector lead
        should be able to draw an organigramme of the pre-emergency conditions as well as
        emergency operation conditions.
       Team building and collaborative management/leadership skills. (It was noted that
        cluster/sector leads generally have not learned management skills and don’t understand team
        building. The private sector does understand this and have developed good training exercises.



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        Perhaps role plays could be developed where UN and NGO participants switch roles to see
        the other point of view.)
       To be effective, a cluster leader needs to know the point of view of all the other cluster
        participants, their agency mandate and how the agency works.
       Good meeting management begins with preparations before the meeting to address issues
        that may derail a meeting, solve problems before the meeting, get buy-in before meetings.
        Proposals should be formulated outside of meetings, with bilateral meetings taking place
        between sector/cluster lead and key stakeholders to ensure their concerns are addressed and
        therefore, their buy-in.
       Coordination mechanisms beyond meetings. Need a cluster/sector leadership-coordination
        equivalent of the “Management by Walking Around” or the “Leadership and the One Minute
        Manager”.
       Dealing with conflict – in meetings, before meetings and after meetings.
       Know how to deal with “bad apples” in clusters, e.g., work it out with the HC and
        government in order to support a decision to exclude them.
       Understanding the cultures of NGOs is important for the cluster/sector lead.
       Information management should include: how information is collected; in what format it
        should be communicated to OCHA or other agencies (standard reporting formats); how
        frequently the reports should be made; and what are the processes and mechanisms of
        reporting, e.g., email, cables, telephone, etc. It is important to have mechanisms for cross-
        sector communication to share information needs. The information needs to be
        “interoperable”, for example, we should be able to match immunization rates with school
        data.

        An introduction to IM for CSLT would include:
            o   what do we mean by IM
            o   what are the principles that you need to look for
            o   what are the IM tools and techniques
            o   What are actual examples of best practices in cluster/sector IM
       Cluster/sector leads need to understand the GIS role of data management. OCHA IM unit
        recommends a 1 hour introduction on GIS. The Cluster/sector leads need to know the
        capacity and limitations of this form of IM. They also do training in 3W: when, where, what.
        Cluster/sector leads need to know this as well with a 1 hr. minimum session or ½ day with
        application exercise.
       The CERF is intertwined with other resource mobilization mechanisms forming a
        complicated set of conditions and criteria. Flash appeal, CAP and CHAP all relate. (It can
        take one day to approve a Flash Appeal and 2 days to disburse the money.)
       Teach the terminology of the CA, humanitarian donorship, etc.
       The TOR for cluster/sector lead has existed since Pakistan, but nobody seems to use it. The
        training programme might force this issue. One respondent suggested that on the first day of
        a workshop participants go through each point in the terms-of-reference and discussing its
        meaning.
       The training might itself convey the reality that the CA is very grey and that it will stay grey
        and that we have to live with a certain level of ambiguity and lack of agreement on all aspects
        of the CA.




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“Hot button” and other “murky” issues that must be addressed in a CSLT

It is foreseen that the CSLT should be built around the following topics because if the CA is to
function well, then a cluster/sector lead will need to be prepared to deal with the most difficult
challenges that the CA poses. The knowledge and skills of meeting management, coordination,
facilitation, participatory approach, etc., must be the vehicles to deal with the following issues.
Training must find a way to practice these above skills as a way of learning them while we process
these issues.
       The role of OCHA and all other agencies in information management
       Better meeting management, dealing with unwieldy numbers, reducing the need for meetings
       How to meaningfully engage government and local NGOs as partners in the clusters
       How governments can participate in clusters in countries in civil conflict (it is easier and more
        natural for governments to participate in natural disasters). This is important vis-à-vis
        WHO’s position about involving government.
       Will there be a difference between the cluster approach and the way UNHCR and WFP run
        the sectors of refugees and food. It seems that the mechanisms may merge, but maybe not.
       Conflict-of-interest between agency mandate and cluster/sector leadership needs
       Accountability, who is accountable to whom and for what and under what circumstances?
        How situational is accountability? And what does accountability mean – for whom? The HCs
        need to know how to hold agencies accountable. A related question is: are cluster partners
        that attend a meeting bound to agreements that come out of cluster meetings? Accountability
        has been seen primarily as towards donors, but how can it also be towards beneficiaries?
        HRSU believes that the Guidance Note has specified the level of accountability requirements.
        Then, do all other accountability relationships need to be negotiated by cluster/sector lead and
        cluster members within each cluster/sector – this seems inefficient if it happens at the start of
        each new emergency. Should there be a basic template of accountability
        requirements/procedures which can be amended as needed by each cluster/sector on the
        ground. For example, already some of the global cluster leads are modifying the generic
        terms-of-reference to address their own unique cluster/sector leadership needs. Could the
        same be done with “generic cluster approach accountability requirements”
       Authoritarian behavior of Cluster/sector leads must be transformed into more facilitative and
        team leadership behavior.
       What is the role and responsibility of each agency regarding information management.
        There is a big debate about OCHA’s role, but OCHA thinks each agency should do more.
       Difficulty of standardizing information collection and presentation. Without some
        standards it is difficult to communicate assessment and other information among partners.
       Money. It’s all about money. What is role of the cluster and the cluster/sector lead in
        resource mobilization? How can the cluster/sector lead not be biased towards directing funds
        to his/her agency? How to keep participants engaged in the cluster/sector lead after they have
        gotten their money? What are the knowledge and skills required to access resources?
        Nevertheless, the cluster/sector lead needs to know how to apply for CERF money and how to
        distribute money that is perceived as fair by cluster participants. It is said that the pool fund
        must serve the clusters and not the other way around. Another voice has been that the CA and
        pooling of funding is being run with a lack of transparency.

        If the magnitude of the CERF increases as projected (to $1B) then the role of the
        cluster/sector lead will increase to determine the allocation of CERF resources. OCHA’s role
        in the CERF includes: estimating the projects, facilitating the process, provide guidance on
        reporting.


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       Membership in clusters is unclear. Membership implies agreeing to a set of conditions and
        behaviors, but most agencies don’t want to do that. They want a loser affiliation, but then
        they may not have much commitment to their partners. It has been proposed that there can be
        different arrangements. E.g., the HC might set rigid terms of what it means to be a cluster
        member. Or it could be a flexible arrangement where an organization might want to work
        closely with the cluster while other organizations would participate in a less structured way.
        I.e., there are different types of partnerships and different levels of engagement.
       Who should evaluate the performance of the cluster/sector lead? If the cluster/sector lead’s
        “home” supervisor thinks the cluster/sector lead was disloyal to the organization, then the
        cluster/sector lead will be penalized career-wise. Maybe the country level cluster/sector lead
        can only be evaluated, for the record, by the HC. Should it be a democratic model, where the
        cluster/sector lead can be replaced by cluster/sector majority vote?
       How much of a Cluster/sector leads time must be devoted to cluster/sector lead
        responsibilities. It seems that in some chronic countries, the cluster/sector lead, especially at
        the local level, would have to cover more than the cluster/sector lead TOR. They would also
        have a “day job” to do. On the other hand in big, new emergencies, the cluster/sector lead job
        may be too big for one person. It might need to be split between 1) all the jobs a
        cluster/sector lead is supposed to do, except 2) identifying what tasks the agency is supposed
        to do to implement the responsibility as agency of last resort. The second task should be
        handled by a second person. A third model might be that when the cluster/sector lead is in a
        conflict of interest situation because then the cluster/sector lead should have a co-lead to take
        over cluster/sector lead responsibilities regarding issues about the conflict of interest.
       The question of how to manage a cluster with co-organization leadership, or a shared
        leadership model, was not talked about as a hot button issue, but it seems that it should be
        considered.
       How to mainstream cross-cutting issues and UNDP’s role of early recovery?
       The primary purpose of the CA is debated in some quarters. One side pushes the cluster as a
        set of tools to help coordination and gap filling. Others frame it as a “no logo” service. The
        cluster/sector lead is in service to its participants.
       In order for the cluster/sector lead to be effective, the country director or representative of the
        cluster agency must understand the job of the cluster/sector lead and not demand s/he also be
        performing services for the agency.




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Annex 4:       Cluster/sector lead competencies

There is general agreement on the non sector-specific competencies required for effective
cluster/sector leadership. Most of these competencies, unsurprisingly, are those commonly associated
with effective humanitarian coordination. They consist of skills, knowledge and attitudes in the
following four categories:
    1. Cluster approach guidelines and Sector/Cluster lead terms-of-reference
    2. Coordination management mechanisms and systems thinking
    3. Knowledge/ facilitation of assessments, strategic analysis and planning, information
       management
    4. Leadership, team-building, communications, negotiations, and other inter-personal
       competencies

The list below further breaks-down each of these categories into a more complete set of specific skills,
knowledges and attitudes. This list is once again broad and

Cluster approach competencies

This category includes:
       Knowledge of humanitarian reform principles, inter-connectedness of reform pillars & reform
        updates
       Familiarity with cluster approach guidelines and Terms-of-Reference (and knowledge of how
        to apply them)
       Ability to apply best practice and lessons learned derived from previous experience
        implementing the cluster approach

Coordination management and systems thinking

This category includes:
       Familiarity with, and ability to use, coordination management mechanisms and best practices
        “beyond meetings”
       Knowledge of cluster participants (their mandates, capacities, attitudes, limitations, hot button
        issues) and how to integrate them into the cluster/sector approach
       Recognition (and an ability to use) tangible and non-tangible sources of leadership power and
        influence
       The cluster approach recognizes that the environment in which humanitarians work is
        complex, interdependent and “messy”. Furthermore, the cluster/sector approach guidance
        notes stipulates:
         The role of sector leads at the country level is to facilitate a process aimed at ensuring well-
         coordinated and effective humanitarian responses in the sector or area of activity
         concerned. Sector leads themselves are not expected to carry out all the necessary activities
         within the sector or area of activity concerned.

         Following the logic of the cluster approach guidelines cluster/sector leads must exhibit a
         leadership style which inspires commitment and action, seeks diverse input, facilitates peer
         problem solving, builds broad based involvement, shares responsibilities and sustains
         participation. In essence, cluster/sector leadership requires a shift in mind-set from
         authority-focused leadership to collaborative and team-oriented leadership.


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       Ability to think broadly beyond agency mandate to the entire sector and to the larger
        humanitarian situation.
       Ability to identify and monitor gaps and conceptualize how sectoral needs can be met through
        collective delivery. Sees linkages between different cluster responses.
       Ability to use and adapt cluster/sector coordination tools (e.g. NAF, CHAP, CERF, CAP,
        Flash Appeals, Gap ID, IM tools, Need-Capacity-Resource Mapping, Contingency planning,
        etc.)
       Familiarity and belief in humanitarian principles, international humanitarian law, etc.

Assessment, information management and planning competencies

This category includes:
       Ability to facilitate joint assessment and/or joint analysis stemming from disparate
        assessments
       Familiarity with cluster/sector information management principles and tools. Ability to work
        effectively with information management specialist.
       Ability to facilitate joint strategic planning with cluster/sector partners
       familiar with planning and management of humanitarian programmes & operations

Leadership and interpersonal-skills competencies

This category includes:
       Ability to facilitate group discussion, decision-making and dialogue
       Ability to manage and facilitate large meetings and ensure / monitor follow-up
       Ability to “reach-out” and activate or mobilize cluster partners
       Ability to negotiate agreements and build consensus among key stakeholders
       Ability to mitigate and mediate conflict and disagreements among cluster/sector partners
       Ability to practice leadership which fosters collaboration, partnerships and ownership of the
        cluster/sector strategy and plans.
       Ability to communicate effectively
       Ability, when necessary, to advocate effectively for humanitarian reform, good donorship,
        humanitarian principles, etc…




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Annex 5:       Links to other trainings

Emergency Team Leadership Programme - ETLP

The ETLP is an Inter-Agency Steering Committee (IASC) blended-learning programme which seeks
to strengthen the leadership effectiveness of emergency team leaders. The ETLP concept was first
formulated by an IASC training task force in 2004, with the first course conducted in March 2006.
The aim of the ETLP is to increase the participant’s self-awareness of his/her emotional intelligence,
group behaviors and team leadership style and to enhance his/her decision-making, strategic analysis
and negotiation ability. The course emphasizes the contextual, interpersonal and personal
development aspects of emergency team leadership rather than the programmatic, operational or inter-
agency coordination competencies also required for effective team leadership. The target audience
includes current and potential emergency team leaders drawn from the IASC membership. Due to
this broad IASC representation, participants also gain a greater appreciation for the mandates,
capacities and constraints of other IASC members.

While some of the content and methodologies of the ETLP could serve as input for the design of the
CSLT, the ETLP itself, as currently designed and structured, is not a substitute for what is required in
the CSLT.

Effective Field Coordination Training – EFCT (UNOCHA)

The EFCT is a fundamental OCHA induction course which enhances the competencies that OCHA
staff need to be effective as humanitarian field coordinators. The course introduces participants to
foundational principles in such areas as humanitarian coordination; legal and ethical frameworks
guiding humanitarian action, assessment; assessment, analysis and information management; and
team and interpersonal skills. Approximately four-fifths of the thirty participants attending each
course are from UN OCHA, with the remaining fifth representing various IASC members. The
course incorporates a wide array of methodologies (simulations, group exercises, presentations, video,
discussions) and covers the following four competency areas:

Depending on the eventual CSLT audience, priority content and learning objectives some of the
content, methodologies and materials developed for the EFCT could serve as input, as long as it is
contextualized within the cluster approach and grounded by cluster/sector leadership experience.

While the EFCT now features a 2-hour session on humanitarian reform, the HRSU may want to
support a design review of the EFCT to ensure that humanitarian reform and cluster approach key
messages, operational procedures, best practices and tools are more fully integrated into the course.
UN OCHA field staff support the HC in establishing effective coordination mechanisms and therefore
have an important facilitator/coaching role to play in ensuring that the cluster approach is understood
and implemented properly at the country level. It is critical therefore that UN OCHA field staff
receive supplementary training in humanitarian reform and the cluster approach, as well as in how to
interpret and activate their role and responsibilities corresponding to these. While this supplementary
training may be streamlined into the EFCT, OCHA field staff could also receive this training through
participation in regional or country CSLT workshops designed and conducted for Humanitarian
Country Teams.

UN OCHA Field Information Management Workshops

UN OCHA conducts this internal training for OCHA staff with the goal of developing a shared and
common understanding of the role of information management (IM) in humanitarian response,
OCHAS IM role and humanitarian information management tools, products and services. Some of
the content and methodologies of this course, coupled with tools/procedures being developed by an
IASC IM working group also might serve as input into the design of a CSLT.



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Emergency Preparedness Independent Study Courses - (UNHCR)

In 2001, UNHCR developed a series of distance learning modules on emergency preparedness and
response. These modules include one on contingency planning, one on planning an emergency
response and one on coordination. If the CSLT is to include a learning module, these modules (or
others developed by IASC membership) could serve as archetypes for a CSLT module. However,
since humanitarian reform and the cluster approach are evolving, any CSLT module will need to be
easily updated to incorporate changes in policies as well as new procedures, best practices and tools
developed.

Sphere Minimum Standards Training (www.sphereproject.org)

This flexible training programme focuses on the humanitarian charter and how to apply widely
accepted minimum standards and indicators in program proposals, emergency response planning and
monitoring and evaluation of humanitarian response programmes. The Sphere training course
presents a systematic approach to provide a generalist manager with a broad overview of some of the
key issues in each of the five life-sustaining sectors in the Sphere handbook: water and sanitation;
health; food aid; nutrition; shelter and site selection. While the Sphere Minimum Standards deserve
mention in a CSLT, and should be included in a CSLT CD Toolkit, it seems that a more extensive
treatise of these standards should occur in the cluster/sector specific trainings being developed by the
global sector lead agencies.

UNDAC - United Nations Disaster Assessment and Coordination (UNDAC) Team (UN OCHA):
This course provides a common methodology and procedure for experienced emergency managers
provided by countries and organizations participating in the UNDAC system to function together as
an UNDAC team. The primary audience is composed of experienced emergency managers made
available by member countries of the UNDAC system, disaster response managers from OCHA and
emergency managers nominated by international humanitarian organizations that are members of the
UNDAC system. Training material consists of the UNDAC Handbook, the SPHERE project and
other materials drawn from the lessons learned and experiences of previous UNDAC missions as well
as assessment and co-ordination practices of various international organizations. Other materials
developed by participating agencies, i.e. UNDSS and ICRC, are also included. The project manager
for this course is already planning to incorporate relevant cluster approach key messages into this
training.

UNDAF Prioritization/ Strategic Planning retreat (Training provided by UNSSC/UNDGO to
UN Country Teams) UNDAF UN Country Team Strategic Planning Retreats are interventions
administered by UNDP/UNDGO and facilitated by the UN System Staff College facilitators. The
overall objective of this event is to help the UN Country Team and their national development
partners select common strategic priorities for UN System support to the country’s pursuit of national
development priorities, and to help the UN Country Team work more effectively together. The
methodology used in this workshop, especially the Results-Based Matrix exercise, could be modified
to serve as a model for cluster/sector planning and inter-agency strategic planning of early recovery
and transition efforts.

The JAM (Joint Assessment Mission) is a collaborative WFP/UNHCR training focusing on food
security and self-reliance. Over the past 1.5 years the JAM has been held in Geneva, Dakar, Nairobi
and Dar es Salaam and has included NGO and government participants, in addition to WFP and
UNHCR staff. The lessons and best practices that WFP/UNHCR have learned in trying to develop
joint-assessment guidelines could be instructive to the cluster approach.

In addition to the above-mentioned courses, key HR/CA messages might be incorporated into the
following courses:




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IASC members and global cluster lead agencies who believe that there are additional linkages
between CSLT and other training programmes are encouraged to submit a 1-2 paragraph explanation
of these linkages, as well as any supporting material or documentation they may wish to include.
These can be sent to Paul Thompson at Thompson@interworksmadison.com .




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Annex 6:        Capacity Building, training and learning options

While most of those interviewed conceptualized the CSLT as a face-to-face workshop (see section A),
many other training and learning mediums and ideas surfaced during the assessment. Each is
mentioned below.
       Face-to-face workshops. These have great value in standardizing what participants are
        learning, imparting skills learned through interactive learning methods, helping participants to
        appreciate views, capacities and constraints of other cluster approach stakeholders and to
        reinforce inter-agency team building.
       Workshops could be preceded by 5-8 hours of readings and or self-study. As part of the pre-
        workshop preparation, participants could complete a self-diagnostic instrument to identify
        what they already know and which topics, readings or assignments they may need to
        concentrate on for self-study.
       One-page fact sheets on each of the “murky” issues which provides a definitive interpretation
        of the issue and provides examples or best practices of how to operationalise these guidelines
        in the field.
       Learning modules designed for 2-4 hour workshop sessions accompanied by a participant’s
        guide, facilitator’s guide, power-point slides. The facilitator’s guide would consist of specific
        learning objectives, detailed activity descriptions, a list of equipment and supplies needed,
        and preparation required. For example, these learning modules could be on discrete priority
        topics, such as: 1. Overview of humanitarian reform and cluster/sector leadership, 2.
        Cluster/sector coordination management (managing cluster/sector meetings, capacity/resource
        mapping, working groups, etc.) 3. Conflict management and negotiation skills, 4. Resource
        mobilization and engaging donors, 5. Joint analysis and information management, 6.
        Leadership, Partnerships and Shared Accountability. These titles are offered for illustrative
        purposes only.
       Cluster/Sector Leadership Learning Web-site. This Web site could provide participants with
        additional readings and resources to support extended pre-workshop and post-workshop
        learning. This site could also include a “Peer Learning Bulletin Board or list serve” where
        cluster/sector leads could share best practices, lessons learned and seek information from
        others.
       Roster of HRSU approved HR/CA trainers, coaches and resource persons available not only
        for workshops, but also for short 2-day country specific problem-solving workshops or for
        teleconferences with humanitarian country team. HRSU only needs to establish, promote
        and maintain this roster. Global cluster lead agencies, HCs and humanitarian country teams
        would be responsible for contacting them and making any travel/contractual arrangements.
       HR/CA Trainers Toolkit to support HR/CA resource persons, coaches and CSLT alumni who
        on their own initiative will deliver a tailored version of the CSLT to others in their agency or
        on their humanitarian country team.
       HR/CA public relations or training video highlighting cluster challenges and best practices,
        and including plenty of field visuals and interviews with experienced cluster leads and senior
        managers responsible for humanitarian reform, as well as Heads-of-Agencies stating their
        commitment to humanitarian reform and the cluster approach.
       CD HR/CA Learning Toolkit. This toolkit could include, for example:
         Self-study learning and reading materials
         Summary of results of the self-assessment exercise: where the CA is at




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           A one or two page summary of the key points regarding each sector that all sector leaders
            should understand, e.g., minimum standards (Sphere for example, but not nearly the
            detail of the Sphere handbook)
           A one or two page summary of the key points regarding each cross cutting issue
           The Cluster Guidance Notes (it should be noted that all participants at a workshop should
            have “memorized” the guidance notes because it is so critical to inform discussions, and
            we don’t want to waste time “teaching” it at the workshop.)
           The overview and principles of the Humanitarian Reform and the four pillars supporting
            it: CERF mechanism; division of roles and responsibilities among agencies; the HC
            system, its leadership and coordination; and building partnerships among non-UN actors
           Tools: NAF, CHAP, CERF description and application process




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Annex 7:       Building Capacity of Extended Audiences

The audiences who would benefit from training or capacity building related to the cluster approach
and to cluster/sector leadership are potentially great in numbers and diverse in training needs.

Several of those interviewed noted that HR/CA and cluster/sector leadership must be understood and
integrated systemwide by all those with a stake in effective and efficient humanitarian response. This
implies an extended audience beyond individuals who will play cluster/sector lead roles – all who
need varying levels of awareness, training or capacity building in the cluster approach. They include:
    1. Cluster partners: international NGOs, government stakeholders and local NGOs
    2. Humanitarian Coordinators
    3. UNDAC teams
    4. UN OCHA Heads-of-Agency
    5. UN OCHA field staff
    6. Resident coordinators
    7. UN Country Teams and government partners in countries at risk of new emergencies
    8. Donors

Below is a discussion on how to meet the diverse training needs of these extended audiences.

Those in Group 1 would presumably be included in the cluster training and capacity building
initiatives being developed and implemented by each of the global cluster leads. Training
programmes and/or induction courses already exist for those in groups 2, 3, 5 and 6 so it is
conceivable that HR/cluster approach messages could be integrated into these existing programmes.
Group 4, UN OCHA Heads-of-Agency stand out as a group that could play an instrumental role in
supporting and advocating for improved cluster/sector coordination and no tailored training
programme exists for them. Rather than create a separate training, it may be best to include them in
the CSLT aimed at aimed at cluster leads in existing emergencies. Group 8, the donors, could receive
briefings, and be invited to participate in other training events.

Those in group 7, i.e. UN Country Teams, are well placed to prepare and train local stakeholders to
engage with the international community in the event of an emergency in their country (these
stakeholders include: national disaster or emergency management offices, Red Cross/Red Crescent,
government officials and local NGOs in high-risk regions and military units which respond in case of
major disasters, e.g. Pakistan). For example, the cluster/sector approach could/should be integrated in
country-level disaster preparedness and contingency planning trainings supported by UN agencies at
the country and regional level. This “preparedness effort” is critical if the principle of international-
national “Partnership” is to be implemented. If an investment is made in such capacity building
locally (in at-risk countries) the principle of “Partnerships” in humanitarian response has a much
better chance of taking hold.




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Annex 8:       Assessment objectives and questions asked

Assessment objectives
The original objectives of the training needs assessment are to identify:
       The competencies and knowledge required for cluster/sector leadership and implementation
       The best training approach to build capacity in each of the priority competencies and
        knowledge areas
       The priority training audiences for sector leadership training with a description of the level
        and type of personnel sector-agency leads are intending to deploy as sector leads
       Existing training programmes, resources and assets relevant to sector leadership training.
        Interview key people associated with each programme. These include the IASC Emergency
        Team Leadership Programme (ETLP), UN OCHA’s Effective Field Coordination Training
        (EFCT), UN OCHA’s Field Information Management Workshop; UNHCR’s Situational
        Emergency Training (SET), Sphere Minimum Standards Training, and several others.
       The extent to which training needs could be addressed through modifications or additions to
        existing inter-agency training programmes
       The elements of those existing training programmes, resources and assets that may be
        appropriate, adaptable or otherwise incorporated into sector leadership training
       New content or training material that would need to be developed to support sector leadership
        training

Assessment Questions

The following questions are representative of the types of questions the authors asked during the
assessment:

General

   What criteria or profile have you established to identify those who will be effective as sector
    cluster leads?

   Tell us about how your cluster/sector leads have performed under the cluster approach? What are
    you doing well and where are you falling short as cluster leads in the field?

   What training or capacity building is necessary to support your role as cluster lead?

   What do you need in terms of information or training from OCHA to help build capacity of your
    cluster leads? In what form do you want it? (CD, 1 day briefing or 5 day training, briefing papers?
    web site?)

   What can actually be addressed in training, and which problems are systematic?

   What training or capacity building is necessary to support your role as cluster lead? What
    capacity building / training tools or products are you producing to support your cluster leads?

   What training, beyond what is already provided, is required to prepare individuals to be effective
    cluster leads?

   What documentation exists that can support case studies and identification of best practices?



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Cluster/Sector Leadership Training Needs Assessment                                     17 November 2006


Cross-cutting issues

   How does a cluster lead integrate cross-cutting issues into a sectoral emergency response?

   How best to train cluster leads to integrate cross-cutting issues?

   What practical tools or case studies are you producing which illustrate best practices?

Information Management

   What does information management look like within a cluster response? What are cluster leads
    information management responsibilities?

   What is OCHA IM role in new cluster approach? What is role of HIC in new cluster approach?
    How changing from before?

   What tools are being developed to help support IM within a cluster?

   What IM skills or knowledge should be featured in a foundational cluster leadership course
    attended by cluster leads from various sectors. (2 hours, for example?)




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