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The State of the Humanitarian System, Inception Report, Fifth Edition 2018 - 2021

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SUMMARY

The ALNAP State of the Humanitarian System Report (SOHS) is an independent study that analyses the size and scope of humanitarian entities and activities, and assesses the overall performance and progress of humanitarian policies and responses. This Inception Report describes the aims and scope of research for the fifth edition of the SOHS.

The fifth edition will assess performance over the period January 2018–December 2021. It will also compare its findings with the four previous editions, in order to capture key trends covering a 12-year period. The main objective of the Report remains the same as previous editions: to gather and synthesise evidence to form an overall picture of the global humanitarian system, and indicate how well it is serving the needs of people affected by conflict and crises. As with previous editions, the report will be primarily descriptive and evaluative, rather than prescriptive.

The fifth edition retains core elements of the existing methodology in order to support meaningful longitudinal comparisons across previous SOHS editions. This study will continue to use an adapted version of the evaluation criteria for humanitarian action (Beck, 2003; EHA Guide), and many of the research components – field research, evaluation synthesis, descriptive statistics of the system – will remain.

This Inception Report also details new approaches and components introduced to improve the study framework. First, new thematic research components will be introduced in order to provide a greater depth of analysis on particular trends and issues in humanitarian performance. The balance of these new components and the existing research components will be calibrated towards providing insights based more on statistical analysis and process or outcome data than on perception-based data, such as key informant interviews.

Second, the performance criteria used in this the fifth edition will be modified based on the recent revision of the DAC (Development Assistance Committee of the Organisation for Economic Cooperation and Development, OECD) evaluation criteria and ongoing discussions on updating the adapted version of these criteria for humanitarian action. This will include a particular focus on how best to assess performance on localisation and connectedness to development and peacebuilding efforts.
Third, the fifth edition will incorporate a participatory method to solicit views from crisis-affected people on how humanitarian entities should be assessed. This is in addition to existing participatory research methods (focus group discussions and aid recipient survey), and will enable the research questions to better reflect the mental models of crisis-affected populations.

Finally, the exceptionally dynamic issues shaping the humanitarian context at present – in particular the effects of COVID-19 – will necessitate a highly adaptive research approach.
In line with the changes to approach and method, the fifth edition of the SOHS will not only seek to reach organisations that work directly in, or with, the international humanitarian community but also be aimed at a broader audience.

This Inception Report outlines the research framework and approach for the fifth edition of the SOHS. It does not present an outline of the structure and content of the final report, as this will emerge from the findings. The structure of the final report will largely follow the evaluation criteria and will be framed by an introductory chapter setting out the major trends in crisis patterns and geo-political shifts in the study period. The analysis and drafting process will also identify specific thematic sections to be included, drawing together findings on cross-cutting issues and/or pivotal crises and systemic challenges.