1. What is Sphere?

Contents

What is Sphere?

1. The Handbook

Four foundation chapters and four technical chapters
The Minimum Standards promote a consistent approach
The structure of the standards
Working with the key indicators
Links with other standards

2. Using the standards in context

The standards apply throughout the programme cycle

Assessment and analysis
Strategy development and programme design
Implementation
Monitoring, evaluation, accountability and learning

Understanding vulnerabilities and capacities

Data disaggregation
Children
Older people
Gender
Gender-based violence
Persons with disabilities
People living with and affected by HIV
LGBTQI people
Mental health and psychosocial support

Understanding the operational setting

Supporting national and local actors
Protracted crises
Urban settings
Communal settlements
Settings with domestic or international military forces
Environmental impact in humanitarian response

Appendix: Delivering assistance through markets

References and further reading

What is Sphere?

The Sphere Project, now known as Sphere, was created in 1997 by a group of humanitarian non-governmental organisations and the Red Cross and Red Crescent Movement. Its aim was to improve the quality of their humanitarian responses and to be accountable for their actions. The Sphere philosophy is based on two core beliefs:

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People affected by disaster or conflict have the right to life with dignity and, therefore, the right to assistance; and
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All possible steps should be taken to alleviate human suffering arising out of disaster or conflict.

The Humanitarian Charter and Minimum Standards put these core beliefs into practice. The Protection Principles inform all humanitarian action, and the Core Humanitarian Standard contains commitments to support accountability across all sectors. Together, they form The Sphere Handbook, which has developed into one of the most widely referenced humanitarian resources globally.

1. The Handbook

The principal users of The Sphere Handbook are practitioners involved in planning, managing or implementing a humanitarian response. This includes staff and volunteers of local, national and international humanitarian organisations responding to a crisis, as well as affected people themselves. The Handbook is also used for humanitarian advocacy to improve the quality and accountability of assistance and protection in line with humanitarian principles. It is increasingly used by governments, donors, military or the private sector to guide their own actions and allow them to work constructively with the humanitarian organisations that apply the standards.

The Handbook was first piloted in 1998, with revised editions published in 2000, 2004, 2011 and now 2018. Each revision process has relied on sector-wide consultations with individuals, non-governmental organisations (NGOs), governments and United Nations agencies. The resulting standards and guidance are informed by evidence and reflect 20 years of field testing by practitioners around the world.

This fourth edition marks the 20th anniversary of The Sphere Handbook and reflects changes in the humanitarian sector over that time. It includes new guidance for working in urban settings, for addressing Minimum Standards in protracted crises, and for delivering assistance through markets as a way to meet the standards. All technical chapters have been updated to reflect current practice, and the harmonised Core Humanitarian Standard replaces the previous Core Standards.

Four foundation chapters and four technical chapters

The Handbook reflects Sphere’s commitment to a principled and rights-based humanitarian response. It is based on fundamental respect for people’s right to be fully involved in decisions regarding their recovery.

The four foundation chapters outline the ethical, legal and practical basis for humanitarian response. They underpin all technical sectors and programmes. They describe commitments and processes to ensure a good quality humanitarian response, and encourage responders to be accountable to those affected by their actions. These chapters help the user apply the Minimum Standards more effectively in any context. Reading a technical chapter without also reading the foundation chapters risks missing essential elements of the standards. The foundation chapters are:

What is Sphere? (this chapter): Outlines the Handbook structure, its use and underlying principles. Importantly, it illustrates how to use the Handbook in practice.

The Humanitarian Charter: The cornerstone of The Sphere Handbook, expressing the shared conviction of humanitarian actors that all people affected by crisis have a right to receive protection and assistance. This right ensures the basic conditions for life with dignity. The Charter provides the ethical and legal backdrop to the Protection Principles, the Core Humanitarian Standard and the Minimum Standards. It builds on the 1994 Code of Conduct for the International Red Cross and Red Crescent Movement and Non-Governmental Organisations (NGOs) in Disaster Relief. The Code of Conduct remains an integral component of The Sphere Handbook ⊕ see Annex 2.

For a list of key documents constituting the legal foundation to the Humanitarian Charter ⊕ see Annex 1.

Protection Principles: A practical translation of the legal principles and rights outlined in the Humanitarian Charter into four principles that inform all humanitarian response.

The Core Humanitarian Standard: Nine commitments that describe essential processes and organisational responsibilities to enable quality and accountability in achieving the Minimum Standards.

The four technical chapters include Minimum Standards in key response sectors:

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Water Supply, Sanitation and Hygiene Promotion (WASH)
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Food Security and Nutrition
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Shelter and Settlement
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Health

In practice, humanitarian needs do not fall neatly into specific sectors. Effective humanitarian response must address people’s needs holistically, and sectors should coordinate and collaborate with each other to do so. In the context of a protracted crisis, this may also expand beyond the humanitarian response with a need to work closely with development actors. The Handbook contains cross-references to help make these links. Readers should familiarise themselves with all chapters to support a holistic response.

The Code of Conduct: 10 Core Principles

The humanitarian imperative comes first.
Aid is given regardless of the race, creed or nationality of the recipients and without adverse distinction of any kind. Aid priorities are calculated on the basis of need alone.
Aid will not be used to further a particular political or religious standpoint.
We shall endeavour not to act as instruments of government foreign policy.
We shall respect culture and custom.
We shall attempt to build disaster response on local capacities.
Ways shall be found to involve programme beneficiaries in the management of relief aid.
Relief aid must strive to reduce future vulnerabilities to disaster as well as meeting basic needs.
We hold ourselves accountable to both those we seek to assist and those from whom we accept resources.
In our information, publicity and advertising activities, we shall recognise disaster victims as dignified human beings, not hopeless objects.

The Code of Conduct: Principles of Conduct for the International Red Cross and Red Crescent Movement and NGOs in Disaster Response Programmes for full text ⊕ see Annex 2

The Minimum Standards promote a consistent approach

The standards are informed by available evidence and humanitarian experience. They present best practice based on broad consensus. Because they reflect inalienable human rights, they apply universally.

However, the context in which a response is taking place must be understood, monitored and analysed in order to apply the standards effectively.

The structure of the standards

The standards share a common structure to support the reader in understanding the universal statement, followed by a series of key actions, key indicators and guidance notes to achieve them.

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The standards are derived from the principle of the right to life with dignity. These are general and qualitative in nature, stating the minimum to be achieved in any crisis. The equivalents in the Core Humanitarian Standard (CHS) are the “commitment” and “quality criterion”.
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Key actions outline practical steps to attain the Minimum Standard. These are suggestions and may not be applicable in all contexts. The practitioner should select the most relevant for the situation.
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Key indicators serve as signals to measure whether the standard is being attained. They provide a way to capture process and programme results against the standard and over the life of the response. Minimum quantitative requirements are the lowest acceptable level of achievement for indicators and are only included where there is sectoral consensus.
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Guidance notes provide additional information to support the key actions, with cross-references to the Protection Principles, the Core Humanitarian Standard and other standards within the Handbook. Cross-references are also given to other standards of the Humanitarian Standards Partnership.

Working with the key indicators

The Sphere key indicators are a way to measure whether a standard is being achieved; they should not be confused with the standard itself. The standard is universal, but the key indicators, like the key actions, should be considered in light of both the context and phase of the response. There are three types of Sphere indicator:

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Process indicators check whether a minimum requirement has been achieved. For example: standardised protocols are used to analyse food security, livelihoods and coping strategies ⊕ see Food security and nutrition assessments standard 1.1: Food security assessment.
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Progress indicators provide the unit of measurement to monitor achievement of the standard. It should be used to determine baseline, set targets with partners and stakeholders, and monitor changes towards that target. For example: percentage of households observed to store water safely in clean and covered containers at all times ⊕ see Water supply standard 2.2: Water quality. While the optimal target is 100 per cent, practitioners should associate the indicator with the reality on the ground, monitoring improvements against the baseline and progress towards the agreed target over time.
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Target indicators are specific, quantifiable targets which represent the quantifiable minimum below which the standard is not being met. Those targets should be reached as soon as possible, as falling short of the target will compromise the overall programme. For example: percentage of children aged six months to 15 years who have received measles vaccination: target is 95 per cent ⊕ see Essential healthcare – child health standard 2.2.1: Childhood vaccine-preventable diseases.

Links with other standards

The Sphere Handbook does not cover all aspects of humanitarian assistance that support the right to life with dignity. Partner organisations have developed complementary standards in several sectors, based on the same philosophy and commitments as Sphere’s. These are available through Sphere, the Humanitarian Standards Partnership and their partner organisations’ own websites.

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Livestock Emergency Guidelines and Standards (LEGS): LEGS Project
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Minimum Standards for Child Protection in Humanitarian Action (CPMS): Alliance for Child Protection in Humanitarian Action
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Minimum Standards for Education: Preparedness, Response, Recovery: Inter-Agency Network for Education in Emergencies (INEE)
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Minimum Economic Recovery Standards (MERS): Small Enterprise Education and Promotion (SEEP) Network
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Minimum Standard for Market Analysis (MISMA): Cash Learning Partnership (CaLP)
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Humanitarian Inclusion Standards for Older People and People with Disabilities: Age and Disability Consortium

2. Using the standards in context

Humanitarian responses take place in many different contexts. Several factors will influence how the Minimum Standards can be applied in the operating environment to support the right to life with dignity. These factors include:

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the setting in which humanitarian response is being delivered;
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the differences across populations and diversity among individuals;
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operational and logistical realities that will affect how and what kind of humanitarian response is delivered; and
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accurate baselines and indicators in different contexts, including defining key terms and setting targets.

Culture, language, the capacity of responders, security, access, environmental conditions and resources will influence the response. It is also important to anticipate any potential negative effects of the response and act to limit these ⊕ see Protection Principles 1 and 2, and Core Humanitarian Standard Commitment 3.

The Sphere Handbook is a voluntary code for quality and accountability, designed to encourage the broadest possible use and ownership of the standards. It is not a “how to” guide but a description of what must be in place as a minimum for people to survive and recover from crisis with dignity.

Conforming to the Sphere standards does not mean implementing all key actions or meeting all key indicators of all standards. The degree to which an organisation can meet the standards will depend on a range of factors, some of which are beyond their control. Access to the affected population, or political or economic insecurity, may make achieving the standards impossible in some contexts.

In cases where the minimum requirements exceed the living conditions of the host community, consider how to reduce potential tension, such as by offering community-based services. In some situations, national authorities may establish minimum requirements that are higher than the Sphere Minimum Standards.

The Sphere standards are an expression of the fundamental rights related to life with dignity, and remain constant. The indicators and minimum requirements may need to be adapted to be meaningful in context. In cases where the standards are not met, any proposal to reduce the minimum requirements should be considered carefully. Agree any changes collectively and report the shortfall in actual progress against the minimums widely. In addition, humanitarian organisations must assess the negative impact on the population of not meeting a standard and take steps to minimise any harm. Use this response gap for advocacy and strive to reach the indicators as soon as possible.

The standards apply throughout the programme cycle

The Sphere standards should be used throughout the programme cycle, from assessment and analysis, through strategy development, planning and programme design, implementation and monitoring, to evaluation and learning.

Assessment and analysis

The Sphere Minimum Standards provide a basis for needs assessment and analysis in each sector, with assessment checklists available in each chapter. At the onset of a crisis, Sphere standards help to identify immediate needs and prioritise activities that will address these needs. Planning figures and minimum assistance levels are outlined globally to help formulate minimum response-wide outcomes. The standards therefore also serve to improve coordination across organisations and sectors.

Strategy development and programme design

The Core Humanitarian Standard and the Minimum Standards support the planning of responses to provide the right humanitarian assistance at the right time to those most in need. The full participation of the affected population and coordination with national and local authorities is essential to achieve this across all sectors.

The key actions and indicators provide a framework to identify priorities, determine planning figures and coordinate across sectors. This helps to ensure that sectoral responses reinforce each other and support the population’s own capacity to meet their needs. The key actions and indicators outline the quality of assistance that should be attained. They also provide a basis for conducting a response analysis that identifies the best way to meet identified needs and minimise potential harmful side-effects.

Programme planning usually involves analysis of several response options, such as in-kind provision of goods, cash-based assistance, direct service provision, technical assistance or a mix of these. The specific combination of response options chosen usually evolves over time. The Minimum Standards focus on what must be done, rather than how the assistance should be delivered.

Cash-based assistance, a form of market-based programming, is increasingly used to meet humanitarian needs. Considerations for using cash-based assistance have been integrated throughout the Handbook, in all chapters. Cash-based assistance can be used to meet multi-sector needs as well as sector-specific needs. It can also be used to address discriminatory practices that restrict women’s access to assets and their decision-making around the management of assets. Multi-purpose grants can be an effective way to provide assistance and meet standards across sectors. All cash-based assistance should be informed by a multi-sectoral analysis of needs, dynamics in the context, market functionality and a feasibility assessment.

Not all sectors are well adapted to market-based programming. This is the case particularly for providers of direct services or technical assistance. Health and nutrition providers may choose to support access to existing health service providers and local public health interventions that do not operate as markets.

To determine the way in which assistance can best be delivered, consultations with the population, analysis of the markets, knowledge of the ways services are provided, and an understanding of the supply chain and logistics capacities will be needed. This response analysis should be reviewed over time as the situation changes ⊕ see Appendix: Delivering assistance through markets.

Implementation

If the Sphere standards cannot be met for all or some groups from the affected population, investigate why and explain the gaps, as well as what needs to change. Assess the negative implications, including protection and public health risks. Document these issues and work actively with other sectors and the affected population to identify appropriate ways to minimise potential harm.

Monitoring, evaluation, accountability and learning

Monitoring, evaluation, accountability and learning (MEAL) supports timely and evidence-based management decisions. It allows humanitarian programmes to adjust to changing contexts. All of the Minimum Standards have indicators that can be monitored to determine whether they are being achieved, whether they are being achieved equitably for all segments of a population, or how much more needs to be done. Evaluation supports learning to improve policy and future practice, and promotes accountability. MEAL systems also contribute to broader learning efforts related to effective humanitarian action.

Understanding vulnerabilities and capacities

Throughout the Handbook, the term “people” has been used in a broad sense, to reflect Sphere’s belief that all individuals have a right to a life with dignity and therefore a right to assistance. “People” should be read as including women, men, boys and girls, regardless of their age, disability, nationality, race, ethnicity, health status, political affiliation, sexual orientation, gender identity or any other characteristic that they may use to define themselves.

Not all people have equal control of power and resources. Individuals and groups within a population have different capacities, needs and vulnerabilities, which change over time. Individual factors such as age, sex, disability and legal or health status can limit access to assistance. These and other factors may also be the basis of intentional discrimination. Systematic dialogue with women, men, girls and boys of all ages and backgrounds – both separately and in mixed groups – is fundamental to good programming. To be young or old, a woman or girl, a person with a disability or of a minority ethnicity does not in itself make an individual universally vulnerable. Rather, it is the interplay of factors in a given context that can strengthen capacities, build resilience or undermine access to assistance for any individual or group.

*Understanding context to apply the standards (Figure 1)*

In many contexts, entire communities and groups may also be vulnerable because they live in remote, insecure or inaccessible areas, or because they are geographically dispersed with limited access to assistance and protection. Groups may be under-served and discriminated against because of nationality, ethnicity, language, or religious or political affiliation, which requires special attention to reflect the principle of impartiality.

When diverse groups are involved in programme design, humanitarian responses are more comprehensive, inclusive and can have more sustainable results. Inclusion of, and participation by, the affected population is fundamental to life with dignity.

Data disaggregation

In many situations, population-level data is difficult to find or determine. However, disaggregated data will show the distinct needs and impact of actions on different groups. Disaggregated data can help to identify those people most at risk, indicate whether they are able to access and use humanitarian assistance, and where more needs to be done to reach them. Disaggregate data to the extent possible and with categories appropriate to the context to understand differences based on sex or gender, age, disability, geography, ethnicity, religion, caste or any other factors that may limit access to impartial assistance.

For general data on age, use the same cohorts as in national data-collection systems. If there are no national age cohorts, use the table below. More refined disaggregation may be needed to target specific groups such as infants, children, youth, women or older people.

Children

Children comprise a significant proportion of any crisis-affected population but are often less visible. Children’s capacities and needs vary according to their biological age and stage of development. Special measures must be taken to ensure they are protected from harm and have equitable access to basic services.

During crises, children face specific life-threatening risks, including malnutrition, separation from their families, trafficking, recruitment into armed groups, and physical or sexual violence and abuse, all of which require immediate action.

Protection risks are often compounded by many factors. For example, adolescent and young boys are more likely to be recruited as soldiers by armed forces and groups or to participate in the worst forms of child labour. Adolescent girls are more likely to be recruited as sex slaves or trafficked. Children with disabilities are more likely to be abandoned or neglected. Girls with disabilities require particular attention because they face greater risk of sexual violence, sexual exploitation and malnutrition.

Sex	Disability status	Age
Sex	Disability status	0–5	6–12	13–17	18–29	30–39	40–49	50–59	60–69	70–79	80+
Female	Without disabilities
Female	With disabilities
Male	Without disabilities
Male	With disabilities

Actively seek the views of girls and boys of all ages and backgrounds, so they can influence how assistance is delivered, monitored and evaluated. The Convention on the Rights of the Child states that “child” means every person under the age of 18. Analyse how the affected population defines children, to ensure that no child or young person is excluded from assistance.

Older people

Older people are a fast-growing proportion of the population in most countries, but often neglected in humanitarian responses.

In many cultures, being considered old is linked to circumstances (such as being a grandparent) or physical signs (such as white hair), rather than age. While many sources define old age as 60 years and older, 50 years may be more appropriate in contexts where humanitarian crises occur.

Older people bring knowledge and experience of coping strategies and act as caregivers, resource managers, coordinators and income generators. Older people often embody traditions and history and act as cultural reference points. Isolation, physical weakness, disruption of family and community support structures, chronic illness, functional difficulties and declining mental capacities can all increase the vulnerability of older people in humanitarian contexts.

Ensure that older people are consulted and involved at each stage of humanitarian response. Consider age-appropriate and accessible services, environments and information, and use age-disaggregated data for programme monitoring and management.

Gender

“Gender” refers to the socially constructed differences between women and men throughout their life cycle. This may change over time and within and across cultures and context. Gender often determines the different roles, responsibilities, power and access to resources of women, girls, boys and men. Understanding these differences and how they have changed during the crisis is critical to effective humanitarian programming and the fulfilment of human rights. Crises can be an opportunity to address gender inequalities and empower women, girls, boys and men.

Gender is not the same as sex, which refers to the biological attributes of a person.

“Gender” does not mean “women only”. While women and girls most often face constraints within gender roles, men and boys are also influenced by strict expectations of masculinity. Gender equality programming requires their inclusion for the development of more equitable relationships and equal participation of women, girls, men and boys.

Gender-based violence

“Gender-based violence” describes violence based on gender differences between males and females. It underscores how inequality between males and females is the foundation of most forms of violence perpetrated against women and girls across the world. Crises can intensify many forms of gender-based violence, including intimate partner violence, child marriage, sexual violence and trafficking.

Organisations are responsible for taking all necessary steps to prevent the sexual exploitation and abuse of people affected by crises, including in their own activities. When allegations of misconduct are found to be true, it is important that the competent authorities hold the perpetrator to account and that cases are dealt with in a transparent way.

Persons with disabilities

About 15 per cent of the world’s population lives with some form of disability. Persons with disabilities include those who have long-term physical, mental, intellectual or sensory impairments which, in interaction with various barriers, may hinder their full and effective participation in society on an equal basis with others.

In humanitarian contexts, persons with disabilities are more likely to face barriers and obstacles to the physical environment, transportation, information and communications, and humanitarian facilities or services. Response and preparedness programming should consider the capacities and needs of all persons with disabilities and make deliberate efforts to remove physical, communication and attitudinal barriers to their access and participation. Risks to women and girls with disabilities can be compounded by gender inequality and discrimination.

⊕ See References: Washington Group Questions for disaggregation of data by disability status, and the ⊕ Humanitarian inclusion standards for older people and people with disabilities, for more information.

People living with and affected by HIV

Knowing the HIV prevalence in a specific context is important in order to understand vulnerabilities and risks and to inform an effective response. Displacement may lead to increased HIV vulnerabilities, and crises are likely to cause disruption in prevention, testing, care, treatment and support services. Specific measures are often needed to protect against violence and discrimination among high-risk populations. This can be compounded by gender inequality and discrimination based on disability status, gender identity and sexual orientation. In turn, this may discourage people living with HIV to seek services in a crisis, if any are available. Violence, discrimination and negative coping strategies such as transactional sex increase vulnerability to HIV transmission, especially for women, girls and LGBTQI communities. Those at the highest risk include men who have sex with men, people who inject drugs, sex workers, transgender people, persons with disabilities, and people in prisons and other closed settings ⊕ see Essential healthcare – sexual and reproductive health standard 2.3.3: HIV.

Factors such as a reduction in mobility over time and greater access to services for crisis-affected populations can decrease the risk of HIV. Dispel any possible misconceptions about the presence of people living with HIV and an increased HIV prevalence to avoid discriminatory practices. People living with HIV are entitled to live their lives in dignity, free from discrimination, and should enjoy non-discriminatory access to services.

LGBTQI people

People who identify as lesbian, gay, bisexual, transgender, queer or intersex (LGBTQI) are often at heightened risk of discrimination, stigma, and sexual and physical violence. They may face barriers to accessing healthcare, housing, education, employment, information and humanitarian facilities. For example, LGBTQI people often face discrimination in assistance programmes that are based on “conventional” family units, such as for emergency accommodation or food distribution. Such barriers affect their health and survival and may have long-term consequences on integration. Include specific, safe and inclusive protection responses in preparedness and planning. Ensure meaningful consultation with LGBTQI individuals and organisations at each stage of humanitarian response.

Mental health and psychosocial support

People react differently to the stress of a humanitarian crisis. Some are more likely to be overwhelmed by distress, especially if they have been forcibly displaced, separated from family members, survived violence or experienced previous mental health conditions. Providing basic services and security in a socially and culturally appropriate way is essential to both prevent distress among affected populations and address discrimination.

Strengthening community psychosocial support and self-help creates a protective environment, allowing those affected to help each other towards social and emotional recovery. Focused individual, family or group interventions – including clinical interventions – are important, but do not necessarily have to be provided by mental health professionals. They can also be provided by trained and supervised lay people ⊕ see Essential healthcare standard 2.5: Mental healthcare.

Affected populations often express a spiritual or religious identity and may associate themselves with a faith community. This is often an essential part of their coping strategy and influences an appropriate response across a wide range of sectors. There is growing evidence that affected populations benefit when humanitarians take account of their faith identity. Existing faith communities have great potential to contribute to any humanitarian response. A people-centred approach requires humanitarian workers to be aware of the faith identity of affected populations. There is a growing body of tools to help achieve this.

Understanding the operational setting

Humanitarian response takes place in vastly different contexts, ranging from urban to rural, and conflict to rapid-onset disaster, and often a combination of these over time. The effectiveness of the response in meeting the needs of the affected population will depend on geographic, security, social, economic, political and environmental factors. While the Minimum Standards have been developed to focus on immediate life-saving assistance, they are applicable in humanitarian responses that last a few days, weeks, months or even years. The humanitarian response should change and adapt over time and avoid creating aid dependency. A continuous analysis of the context and situation will signal when programmes should adapt to a changing environment, such as new security issues or seasonal constraints such as flooding.

An ongoing evaluation of how the response affects local dynamics such as procurement of goods and services or hiring of transport is essential to make sure humanitarian action does not fuel conflict dynamics ⊕ see Protection Principle 2. When crises become protracted, underlying systemic weaknesses may intensify needs and vulnerabilities, requiring additional protection and resilience-building efforts. Some of these will be better addressed through or in cooperation with development actors.

Coordination mechanisms such as the cluster system are required to establish a clear division of labour and responsibility and to identify gaps in coverage and quality. It is important to prevent the duplication of efforts and the waste of resources. The sharing of information and knowledge between stakeholders, along with joint planning and integrated activities, can also ensure that organisations manage risk better and improve the outcomes of a response.

Supporting national and local actors

Recognising the primary role and responsibility of the host state, the Handbook guides all those involved in humanitarian response and the role that humanitarian organisations can play in supporting this responsibility. In a conflict, the willingness of state or non-state actors to facilitate access to the population will have a determining effect.

The state’s role in leading or coordinating a response will be shaped by many factors, including:

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the existence of a government body specifically charged with the coordination or implementation of humanitarian response (often referred to as a National Disaster Management Authority or Organisation);
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the role and strength of line ministries to set standards such as nutrition standards and standards for essential drugs and medical staff; and
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the lack of functioning state institutions, such as in contested areas. In such extraordinary cases, humanitarian actors may need to set up their own coordination mechanisms.

Protracted crises

When it is evident that a humanitarian response will last more than several months or years, consider different means of meeting needs and supporting life with dignity. Explore opportunities to work with existing service providers, local authorities, local communities, social protection networks or development actors to help meet needs. Assessments need to consider the context and the protection concerns, and how the rights of the affected population will be impacted. Involve individuals of both sexes and all ages, disabilities and backgrounds, including self-defined communities, in the analysis, assessment, decision-making and monitoring and evaluation. Pursue long-term and permanent solutions as early as possible. When humanitarian actors have the opportunity to establish long-term solutions, those should take precedence over temporary measures.

Recognise that affected people are often the first to respond to their own needs and protect themselves. National and local authorities, civil society organisations, faith-based organisations and others provide critical assistance. Be aware of these pre-existing assistance networks and identify ways to support rather than undermine or duplicate them.

Urban settings

As more and more of the world’s population moves to towns and cities, humanitarians must be prepared to respond in urban contexts. Urban areas typically differ from other contexts in terms of:

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Density: a higher density of people, houses, infrastructure, laws and cultures in a relatively small area;
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Diversity: social, ethnic, political, linguistic, religious and economically diverse groups live in close proximity; and
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Dynamics: urban environments are fluid and changing, with high mobility and rapidly shifting power relationships.

The municipality will often be the key government authority, with links to other government actors and departments, such as line ministries. Access to basic services, food security and livelihoods should be carefully assessed, including any discrimination. People in cities and towns use cash to pay rent, buy food and access healthcare. The Minimum Standards for life with dignity apply, regardless of how the assistance is provided.

The Sphere Minimum Standards can be used to support multiple entry points for providing assistance in urban areas, including through settlement, neighbourhood or area-based approaches. Established groups with shared interests, such as schools, clubs, women’s groups and taxi drivers, can provide useful entry points. Working with local actors (such as the private sector, local government, neighbourhood leaders and community groups) can be vital in restarting, supporting and strengthening existing services instead of replacing them. Be mindful of how humanitarian assistance may support municipal investment planning, creating value during the crisis and in the longer term.

As in any setting, a context analysis in urban environments should look at the existing resources and opportunities, such as commerce, cash, technology, public spaces, people with specialised skill sets, and social and cultural diversity, alongside risks and protection aspects. The analysis should inform response options and the final choice of delivery mode, such as deciding to provide in-kind or cash-based assistance (and the best way for doing so). The cash-based economy of towns and cities provides opportunities for partnerships with actors in markets and technology, which may facilitate the use of cash-based assistance.

Communal settlements

Planned communal settlements and camps, as well as collective centres and spontaneous settlements, are home to millions of people who have been forcibly displaced. The Sphere standards can be used to ensure the quality of assistance in community settings. They can also help identify priorities for multi-sectoral programmes to address public health concerns, and for access to basic services in spontaneous settlements.

In communal settlements, dedicated camp management capacity can contribute to greater accountability and coordinated service delivery. However, communal settlements also pose specific protection risks. For example, when the right to freedom of movement to leave the settlement is denied, people may not be able to access markets or pursue livelihoods. Special attention should also be paid to host communities, because real or perceived differences in treatment may lead to escalating tensions or conflict. In such cases, advocating for an alternative to camp-like settings and addressing host community needs too can help to ensure that affected populations are able to live with dignity.

Settings with domestic or international military forces

When humanitarian organisations respond in the same area as domestic or international military forces, it is important to be aware of each other’s mandates, modus operandi, capacities and limits. In disaster and conflict settings, humanitarian organisations may find themselves working closely with a range of militaries, including host government forces, non-state armed groups and international peacekeepers. Humanitarian actors should note that host governments are obliged to provide assistance and protection to people affected by crisis in their territory. Domestic military forces are often mandated to do this.

Humanitarian principles must guide all humanitarian–military dialogue and coordination at all levels and stages of interaction. Information sharing, planning and task division are three essential elements of effective civil–military coordination. While information sharing between humanitarian and military actors can occur, it must depend on the context of operational activities. Humanitarian agencies must not share information that gives one party to a conflict a tactical advantage or endangers civilians.

At times, humanitarian organisations may need to use the unique capabilities of militaries to support humanitarian operations. Military support to humanitarian organisations should be limited to infrastructure support and indirect assistance; direct assistance is a last resort.

Cooperation with militaries has an actual or perceived impact on a humanitarian organisation’s neutrality and operational independence, so must be carefully considered in advance. Internationally agreed guidance documents should inform any humanitarian–military coordination arrangements ⊕ see Core Humanitarian Standard Commitment 6 and References.

Environmental impact in humanitarian response

The environment in which people live and work is essential for their health, well-being and recovery from crisis. Understanding how affected people are dependent on the environment for their own recovery can also inform programme design and lead to more sustainable responses to cope with future shocks and reduce future risk.

Humanitarian operations affect the environment both directly and indirectly. Effective humanitarian response should therefore carefully assess environmental risk alongside wider assessments and situational analysis. Programmes should minimise their environmental impact and consider how procurement, transport, choice of materials, or land and natural resource use may protect or degrade the environment further ⊕ see Shelter and settlement standard 7: Environmental sustainability.

Countries and regions facing poverty as well as fragile institutional capacity and ecology are at higher risk of natural disasters and instability, creating a vicious circle of social and environmental degradation. This has an impact on health, education, livelihoods and other dimensions of security, dignity and well-being. Environmental sustainability is an important component of a good quality humanitarian response ⊕ see Core Humanitarian Standard Commitments 3, 9 and Shelter and settlement standard 7: Environmental sustainability.

Appendix
Delivering assistance through markets

This appendix complements The Sphere Handbook introduction, providing further information and guidance on using markets to attain the Minimum Standards and help people meet their needs in the aftermath of a crisis. It builds on the foundation chapters and is referenced in the technical chapters. As such, it is an integral component of The Sphere Handbook. To respond effectively, humanitarian actors should understand what the needs are as well as how to practically meet them. Part of this analysis is understanding how markets are functioning and what goods and services are available at the local, national, regional and international level. This understanding also allows humanitarian programmes to support – or at least not disrupt – markets during the response.

Market analysis as part of response analysis

Once needs and capacities have been assessed to identify priorities, the different ways to respond and meet those needs should be analysed. Response analysis should ensure that operational, programmatic and contextual risks and opportunities are systematically considered when determining how assistance will be provided. This is sometimes called the “choice of modality”.

Identifying the best way for assistance to meet needs requires:

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disaggregated information on priorities and how people want to access assistance, across sectors and over time; and
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an understanding of economic vulnerabilities, both pre-existing and those created by the crisis.

As part of response analysis, market analysis helps to identify what may be the most effective way to meet priority needs: in-kind assistance, service provision, cash-based assistance or a mix of these in context. Market analysis will help identify any constraints on markets, including supply and demand issues, or policies, norms, rules or infrastructure that limit market functioning.

Whichever response option is chosen, it should be market-sensitive and strive to protect livelihoods, local jobs and businesses. Sphere is based on a fundamental respect for people affected by crisis and on supporting their choices for their own recovery. By considering how people interact with local markets to get goods, services and income, market analysis supports a people-centred approach.

Programming and markets

Assistance can be delivered through markets in many ways at the local, national or regional level. Market-based programming can be used directly to deliver assistance, or markets can be supported to better serve the affected population.

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Local and regional procurement of commodities and non-food items supports the supply side of markets.
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Cash-based assistance, helping people to buy locally available goods or services, supports the demand side of markets.
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Support to infrastructure, such as improving road access to markets, or reforms such as laws to prevent price fixing, support the market so it can better serve the affected population.

Sex, ethnicity or disability often directly influence physical, financial and social access to markets. How do men, women, youth and older people access markets differently? Are traders from a specific ethnicity able to access credit facilities? These and other factors influence the degree to which individuals can actively participate in markets.

Ethical and environmental considerations should be weighed when developing market-based programmes. Ensure that markets that over-exploit natural resources, ecosystems and the environment are not developed in a way that puts people at further risk.

Goods, services and markets: When responding to priority humanitarian needs, consider both goods and services. Most Sphere standards involve providing some kind of commodity or access to goods. Social sectors such as health and education, however, are characterised by providing or improving access to services, and delivering through markets may not be an option. When working with third-party service providers or sub-contractors, take steps to closely monitor the quality of services and products with them ⊕ see Health systems standard 1.4: Health financing.

In some cases, market-based programmes that indirectly support access to services are appropriate. Cash-based assistance can support transport to healthcare facilities or access to education (buying uniforms and materials). Tracking household expenditures provides clear data on the cost of accessing services, including those that should be free. Household expenditure monitoring should always be supported by outcome monitoring of cash assistance.

Service-based sectors can also consider market-based programming for goods such as insecticide-treated bednets, supplementary feeding supplies and pharmaceuticals if they meet quality criteria ⊕ see Health systems standard 1.3: Essential medicines and medical devices.

In most contexts, a combination of market-based interventions will be needed. Market-based programmes will likely need to be supported by other activities such as those providing technical assistance. This combination will also evolve over the course of the programme and may shift from in-kind to cash or vouchers or vice versa. Along with programme monitoring, market monitoring is important to confirm or adjust the form of assistance.

Collaboration between supply chain, logistics and programme functions is needed at all times. For further guidance on tools that support this choice and analysis ⊕ see References.

Checklists

Checklist for cash-based assistance

This section presents a list of considerations for delivering assistance through markets. It follows the programme management cycle and includes other important elements to consider when adopting this approach to meet the Minimum Standards. Each context will be different, and the options for delivery mechanisms will vary based on infrastructure, data protection, cost-effectiveness and financial inclusion.

Programme design

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Base targeting criteria on programme objectives and include cash-based-assistance-specific considerations.
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Carefully consider who within the household should receive cash-based assistance, informed by a clear risk assessment and weighing any protection concerns.
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Identify safe, accessible and effective mechanisms to deliver assistance based on the context, objectives and size of the programme as well as on recipients’ financial literacy and preferences.
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Calculate the transfer amount based on the needs to be covered and the cost of meeting these needs.
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Set the transfer frequency and duration based on needs, seasonality, the financial service provider’s capacity and protection risks.
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Where possible and feasible, adopt a multi-sector perspective.
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Define key issues and related indicators to monitor process, activity, output and outcome levels.

Implementation

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Include context-specific considerations and any other relevant dimensions in financial service provider tenders and establish clear criteria for selection.
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Consider using existing familiar delivery mechanisms already in place for social protection.
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Set up recipient registration and identification systems that are appropriate to the delivery mechanism and for the protection of personal data.
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Ensure that registration and identification cover data required by the financial service provider.
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Apply and document data protection measures.
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Set up mechanisms for digital data in collaboration with different organisations to the extent possible (“inter-operable systems”).
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Clearly define the procedures, roles and responsibilities for the cash delivery process, as well as risk management mechanisms.
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Ensure that the process delivering cash-based assistance is accessible and effective.
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Make sure all affected groups can access the chosen delivery mechanism throughout the project’s lifespan.
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Ensure recipients have information on programme objectives and the duration of cash-based assistance, so they can make informed spending decisions.
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Ensure financial service providers are accountable to recipients through contractual management and monitoring ⊕ see Core Humanitarian Standard Commitments 4 and 5.

Monitoring, evaluation and learning

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Monitor cash-based-assistance-related processes, activities, outputs and risks, including through post-distribution monitoring.
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Monitor whether the cash or vouchers were received by the right person, safely, on time and in the correct amount.
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Monitor markets and their supply chains consistently, beyond price monitoring.
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Monitor household expenditure and triangulate with market monitoring data to assess whether needs can indeed be met through cash-based assistance and negative coping strategies reduced.
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Monitor potential risks of cash-based assistance, including protection risks and any negative impact on natural resources.
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Evaluate outcomes related to cash-based assistance.
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Regularly evaluate whether the choice of cash-based assistance is effective in meeting changing needs, adapt the programme accordingly and support continuous learning for future programmes.

Checklist for supply chain management and logistics

This section presents a list of considerations for supply-chain management and logistics. It follows the programme management cycle and includes other important elements to consider.

Supply chain management (SCM) starts with the choice of commodity or service. It includes identifying the source of what is needed, procurement, quality management, risk management (including insurance), packaging, shipping, transportation, warehousing, inventory management, delivery and distribution. SCM involves many different partners, and it is important to coordinate activities ⊕ see Core Humanitarian Standard Commitment 6.

Specific SCM expertise is required. Particular types of relevant expertise include contract management, transportation and warehouse management, inventory management, pipeline analysis and information management, shipment tracking and import management. Management and monitoring practices should ensure that commodities are safeguarded to distribution points. However, humanitarian organisations are also responsible for ensuring that products and services (including cash-based assistance services) reach the people who need assistance.

Local and regional purchasing stimulates local markets, which may give farmers and manufacturers an incentive to produce more and may in turn boost the local economy. However, when supplies are already relatively limited, local or regional purchasing could cause problems in other markets or disrupt existing commercial networks. Conversely, importing can crowd out local or regional producers and also disrupt existing commercial networks.

Programme design

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Assess the local availability of needed goods and services before sourcing them from outside the area.
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Consider working with reputable local or regional transporters who have valuable knowledge of local regulations, procedures and facilities and can help to ensure compliance with the laws of the host country and to expedite deliveries.
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In a conflict environment, apply a particularly rigorous vetting process to service providers.
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Carefully ensure that sourcing locally does not cause or exacerbate hostilities.
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Consider whether any use of natural resources is sustainable and whether use may lead to further conflict over resources.
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Establish a transparent, fair and open procedure for awarding contracts, considering local, national and international options.
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If several organisations are involved, coordinate local sourcing to the extent possible.

Implementation

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Build good relationships with suppliers, local traders and service providers.
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Enforce the appropriate quality of goods and services through contracts as well as ethical and environmentally sustainable practices.
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Train and supervise staff at all levels of the supply chain to maintain product quality and adhere to, safety procedures (for recipients and staff) as well as ethical and environmentally sustainable practices.
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Include staff of partner organisations and service providers in training and conduct training in the local language.
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Set up accountability procedures, including supply, transport and storage planning, inventory management, reporting and financial systems.
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Avoid using food to pay for logistics operations such as unloading at warehouses. Such costs should be included in the core budget.
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Separate warehouses for food and non-food items are recommended. When selecting a warehouse, establish that it has not been used to store hazardous goods and that there is no danger of contamination. Factors to consider include: security, capacity, ease of access, structural solidity and absence of any threat of flooding.
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Assess and manage risks to the security of transport routes and warehouses.
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In conflict situations, establish control systems and supervise all stages of the supply chain to minimise the risk of looting or requisitioning by warring parties.
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Analyse and address broader political and security implications, such as the possibility of diverted stocks fuelling an armed conflict ⊕ see Protection Principle 2.
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Minimise and report product losses at all levels of the supply chain.
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Have damaged or unsuitable commodities inspected by qualified inspectors (such as food safety experts and public health laboratories) and certified for disposal.
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Dispose of damaged commodities quickly, before they become a health or security hazard. Methods of commodity disposal include sale (for example or food for animal feed) and burial or incineration that is authorised and should be witnessed by relevant authorities. In all cases, unfit commodities must not re-enter the supply chain, harm the environment or contaminate water sources ⊕ see WASH Solid waste management standards 5.1 to 5.3.
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Day-to-day management needs include prompt and transparent reporting of any delays or deviations in the supply chain. Make sufficient documentation and forms available in the local language at all locations where goods are received, stored and/or dispatched. Doing so maintains a documented audit trail of transactions.

Monitoring, evaluation and learning

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Monitor and manage commodity pipelines to avoid diversion of and interruption to distributions, as well as to avoid market distortion.
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Inform stakeholders regularly about the performance of supply chain efforts.
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Share relevant information on stock levels, expected arrivals and distributions among supply chain stakeholders. Use the tracking of stock levels to highlight anticipated shortfalls and problems in time. Information sharing among partners may facilitate loans that prevent pipeline breaks. If there are insufficient resources, commodities will need to be prioritised. Consult stakeholders when considering solutions.
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Ensure that accountability and communication mechanisms reflect the specificities of delivery processes.
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Ensure commodity tracking and information management systems are in place from the beginning of the intervention.
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Evaluate regularly if the assistance is effective in meeting changing needs, adapt the programme accordingly and support continuous learning for future programmes.

References and further reading

Understanding vulnerabilities and capacities

Humanitarian Inclusion Standards for Older People and People with Disabilities. Age and Disability Consortium as part of the ADCAP programme. HelpAge, 2018. www.helpage.org

Faith-based programming

A faith-sensitive approach in humanitarian response: Guidance on mental health and psychosocial programming. The Lutheran World Federation and Islamic Relief Worldwide, 2018. https://interagencystandingcommittee.org

Market analysis and market-based programming

Minimum Economic Recovery Standards (MERS): Core Standard 2 and Assessment and Analysis Standards. The Small Enterprise Education and Promotion Network (SEEP), 2017. https://seepnetwork.org

Minimum Standard for Market Analysis (MISMA). The Cash Learning Partnership (CaLP), 2017. www.cashlearning.org

Cash-based assistance

CBA Programme Quality Toolbox. CaLP. http://pqtoolbox.cashlearning.org

Supply chain management and logistics

Cargo Tracking: Relief Item Tracking Application (RITA). Logistics Cluster. www.logcluster.org

HumanitarianResponse.info: Logistics references page. UNOCHA. https://www.humanitarianresponse.info

Logistics Operational Guide (LOG). Logistics Cluster. http://dlca.logcluster.org

Oxfam Market Systems and Scenarios for CTP – RAG Model 2013. Logistics Cluster. www.logcluster.org

Toolkit for Logistics in C&V. Logistics Cluster. www.logcluster.org

Further reading

For further reading suggestions please go to www.spherestandards.org/handbook/online-resources