Overseas Development Institute

HPG Report

HUMANITARIAN POLICY GROUP

The Humanitarian Policy Group at the Overseas Development The Politics of Principle: Institute is Europe’s leading team of independent policy researchers the principles of dedicated to improving humanitarian policy and practice in response to conflict, instability humanitarian action in and disasters. practice

Nicholas Leader

HPG Report 2 March 2000 Notes on the Author: 1LFKRODV/HDGHULVD5HVHDUFK)HOORZDWWKH+XPDQLWDULDQ3ROLF\*URXSLQ2',+HKDV ZRUNHGIRU2[IDPLQVHYHUDOFRXQWULHVLQ$IULFD(DVW(XURSHDQG$VLD$W2',KHKDV IRFXVVHGRQLVVXHVDURXQGKXPDQLWDULDQSULQFLSOHVZDUHFRQRPLHVDQGWKHUHODWLRQVKLS EHWZHHQKXPDQLWDULDQLVPDQGSROLWLFV

Acknowledgements: 7KHDXWKRUZRXOGOLNHWRDFNQRZOHGJHWKHKHOSDQGDGYLFHRIDOOWKHSHRSOHZKRKHOSHG ZLWKWKHSURGXFWLRQRIWKLVUHSRUW3DUWLFXODUWKDQNVDUHGXHWRWKHDXWKRUVRIWKHFDVH VWXGLHV 3KLOOLSD $WNLQVRQ 0DUN %UDGEXU\ DQG .DWH 0DFNLQWRVK &ROOHDJXHV DW WKH +XPDQLWDULDQ3ROLF\*URXSKDYHDOVRSURYLGHGLQYDOXDEOHKHOSDQGDGYLFHLQSDUWLFXODU -R0DFUDH7KDQNVDOVRWR'HERUD.OH\QDQG/XF\0RUULVIRUSURGXFLQJWKHUHSRUW

Study Notes 7KLVUHSRUWLVRQHRIIRXUIURP2',VWXG\HQWLWOHG¶7KH3ROLWLFVRI3ULQFLSOH7KH 3ULQFLSOHVRI+XPDQLWDULDQ$FWLRQLQ3UDFWLFH·7KHRWKHUWKUHHUHSRUWVDUH¶7KH-RLQW 3ROLF\RI2SHUDWLRQDQGWKH3ULQFLSOHVDQG3URWRFROVRI+XPDQLWDULDQ2SHUDWLRQLQ/LEHULD6WXG\ ·7KH$JUHHPHQWRQ*URXQG5XOHVLQ6RXWK6XGDQ6WXG\·DQG¶ The Principles of Humanitarian Action in International Humanitarian Law: Study 4’. A critical review, which summarises some key findings and issues in a much shorter from is also available from ODI.

ODI gratefully acknowledges financial support from DfiD for this study.

Please send comments on this paper to: +3* 2YHUVHDV'HYHORSPHQW,QVWLWXWH 3RUWODQG+RXVH 6WDJ3ODFH /RQGRQ6:('3 8QLWHG.LQJGRP

Tel: +44 (0) 20 7393 1600 Fax: +44 (0) 20 7393 1699 Website: www.odi.org.uk/hpg/publications Email: [email protected] A copy of your comments will be sent to the author. Contents

Acronyms 1

Executive Summary 2

1 Introduction 5 1.1 The study 5 1.2 The idea of humanitarian principles 5 1.3 Recent development 5 1.4 Case studies: The Ground Rules, the JPO and the PPHO 7 1.5 The ‘framework of respect’ 7 1.6 Organisations and principles 8 1.6.1 Organisations 8 1.6.2 Rules 8 1.6.3 Accountability 9 1.6.4 Adaptation and Innovation 9 1.7 Method and methodological problems 9 1.8 The problem of counterfactuals 9

2 Humanitarian principles in a changing world 11 2.1 Principles, states and treaties 11 2.2 Humanitarians and their principles 12 2.3 Understanding conflict 12 2.4 New wars, new principles? 13 2.5 The advance and retreat of the international security system 13 2.6 The growth of the humanitarian system 14 2.7 Principles and politics 14

3 Principles and Organisations 17 3.1 Conceptual developments 17 3.1.1 The Red Cross Principles 17 3.1.2 The legal status of the principles of humanitarian action and the obligations of humanitarian actors 17 3.1.3 Principles and other humanitarian organisations 18 3.1.4 Are principles relevant? 18 3.1.5 The problem of neutrality 19 3.1.6 Neutrality and politics 19 3.2 Organisations and principles 20 3.2.1 The political economy of the humanitarian system 20 3.2.2 Regulation, codes and accountability 21 4 Sudan and Liberia Compared 23 4.1 Liberia 23 4.2 Sudan 24 4.3 Common Themes 24 4.3.1 The ‘framework of respect’ 24 4.3.2 Origins 25 4.3.3 Objectives and ideology 25 4.3.4 Strategies 25 4.3.5 Military doctrine and structure 26 4.3.6 External powers 26 4.3.7 The humanitarian system 27 4.3.8 Aid and manipulation 28 4.3.9 The ‘governance gap’ 28

5 A Principled Approach: The Ground Rules, the JPO and the PPHO 31 5.1 The mechanisms 31 5.1.1 The JPO and the PPHO 31 5.1.2 The Ground Rules 31 5.1.3 Common themes and broader issues 32 5.2 Governance and protection 32 5.2.1 Humanitarian conditionality, withdrawal and suspension 33 5.2.2 Capacity-building and governance 34 5.2.3 Human rights monitoring and advocacy 35 5.2.4 Dissemination 36 5.3 Assistance and manipulation 37 5.3.1 Reduction, suspension 37 5.3.2 Food aid and principles 37 5.3.3 Capacity building 38 5.3.4 Food and health agencies 39 5.4 Securing agency space 40 5.4.1 Negotiations, dialogue and access 40 5.4.2 Agency space 41 5.5 Codes and compliance 41 5.6 The role of multilateral and bilateral donors 43

6 Conclusions 45 6.1 A principled approach 45 6.2 Opportunities for promoting respect for principles 46 6.3 Strategies for promoting respect for principles 46 6.3.1 Politics and politicisation 46 6.3.2 Conditionality 47 6.3.3 Human rights monitoring and advocacy 48 6.3.4 Dissemination and civil society 48 6.4 Assistance 48 6.4.1 When to work: suspension and withdrawal 48 6.4.2 How to work: managing principles 49 6.5 Agency space 50 6.6 Codes 50 6.7 Principles and food 51 6.8 The role of bilateral donors 51 6.9 Adaptability and innovation 52 6.10 Humanitarian politics or political humanitarianism 52

End Notes 53

Bibliography 56

Interview List 59 The Politics of Principles: The principles of humanitarian action in practice HPG Report

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HPG at odi 11 The Politics of Principle: The principles of humanitarian action in practice HPG Report

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12 HPG at odi The Politics of Principles: The principles of humanitarian action in practice HPG Report

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:DUKDVDOZD\VEHHQEUXWDOFLYLOLDQVKDYHDOZD\VEHHQ The policy implications of the second model of conflict for NLOOHG DQG SOXQGHU LV KDUGO\ D UHFHQW SKHQRPHQRQ humanitarian agencies are not so clear. However, one +RZHYHU WKHVH WKHRULHV KDYH SURIRXQG FRQVHTXHQFHV consequence is that many humanitarians are questioning IRU WKH LGHD RI KXPDQLWDULDQ SULQFLSOHV $V DUJXHG the principles of humanitarian action. Where the DERYH WKH PRGHUQ QRWLRQ RI KXPDQLWDULDQ SULQFLSOHV belligerents refuse to acknowledge the limits of war, many UHVWV RQ WKH PRGHUQ QRWLRQ RI WKH VWDWH QRW MXVW DV D humanitarians are questioning whether they should still OHJDO HQWLW\ EXW DV D FRQVHQWEDVHG DQG DFFRXQWDEOH respect the condition of non-interference imposed on them. SROLWLFDO IRUPDWLRQ 7KXV UHEHO PRYHPHQWV DLPLQJ IRU Many have decided they should not (hence the debates OHJLWLPDF\ RIWHQ HVSRXVH D IRUP RI KXPDQLWDULDQ about the relevance of neutrality) and are looking for ways SULQFLSOHV DQG LQGHHG KDYH VRPHWLPHV GHFODUHG WKHLU to impose principles themselves; in the short term by LQWHQWLRQ WR DELGH E\ WKH *HQHYD &RQYHQWLRQV coercion (for example strategies such as conditionality and +XPDQLWDULDQSULQFLSOHVDOVRUHVWRQWKH&ODXVHZLW]HDQ ‘shaming’) and in the longer term by attempting to QRWLRQRIZDUDVSROLWLFVE\RWKHUPHDQV$VVXFK restructure conflict-affected societies in order to re- GHVSLWH WKH IUHTXHQW DQG ZLGHVSUHDG YLRODWLRQV RI WKH introduce a political contract (developmental relief, local LGHDWKDWWKHUHLVDPRUDOLW\WRZDU¶WKHWUXWKLVWKDWRQH capacities for peace). This will be examined in more detail RIWKHWKLQJVPRVWRIXVZDQWHYHQLQZDULVWRDFWRUWR VHHPWRDFWPRUDOO\· :DO]HU $QRWKHUZD\RI in Section 3. SXWWLQJWKLVLVWKDWGHVSLWHIUHTXHQWYLRODWLRQV¶:DULVD ´PRUDOWKHDWUHµ· ,JQDWLHII 

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HPG at odi 13 The Politics of Principle: The principles of humanitarian action in practice HPG Report

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14 HPG at odi The Politics of Principles: The principles of humanitarian action in practice HPG Report

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HPG at odi 15 The Politics of Principle: The principles of humanitarian action in practice HPG Report

16 HPG at odi The Politics of Principles: The principles of humanitarian action in practice HPG Report

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24 HPG at odi The Politics of Principles: The principles of humanitarian action in practice HPG Report

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56 HPG at odi The Politics of Principles: The principles of humanitarian action in practice HPG Report

Endnotes armed escorts. The same agencies, but different people, argued for and against the same positions.

1 7KHRWKHUUHSRUWVDUH%UDGEXU\HWDO  RQWKH 12 Nicholas Stockton, pers comm. *URXQG5XOHV$WNLQVRQDQG/HDGHU  RQWKH-32 DQG33+2DQG0DFNLQWRVK  RQWKHOHJDOLVVXHV. 13 An example might be Keen, 1994

2 Where significant, reference is made in this report to the 14 Though it was probably the invention of the telegraph, specific study and section number where the detail of the rather than the television, that marked the real shift in the research can be found. popular and political impact of journalism. ‘The Crimean war, though fought far away in ‘the East’, was literally 3 Humanity, impartiality, neutrality, independence, brought to the breakfast tables of Western Europe by the universality, voluntary service and unity. telegraphed reports of journalists in their new role as war corespondents’. Hutchinson, 1996: 26. 4 The Code of Conduct for the International Red Cross and Red Crescent Movement and NGOs in Disaster Relief 15 ‘An army which fails to maintain good discipline gets (shortened hereafter to ‘Red Cross/NGO Code of into opposition with the popular masses, and this by its Conduct’) is a 10 point, voluntary code that seeks ‘to own actions dries up the water’ from Mao’s Military guard our standards of behaviour’. It is sponsored by Principles, quoted in Freedman, 1994: 321. members of the Steering Committee for Humanitarian Response (SCHR), Interaction, and ICRC (SCHR, 1994). 16 In the First World War ICRC’s ‘role became that of a clearing house for gifts, correspondence and information 5 The Humanitarian Charter and Minimum Standards in about not only the wounded but prisoners of war’ Disaster Response, known as the Sphere project, is a (Hutchinson, 1996: 282). project of SCHR and Interaction, supported by ICRC, VOICE and ICVA. It aims to promote the rights of people 17 See UNHCR’s annual ‘State of the World’s Refugees’ affected by disasters through specifying minimum for statistics on forced displacement. standards in disaster response that those providing humanitarian relief should aim to uphold (Sphere Project, 18 See for example DAC,1997. 1998). See http://sphereproject.org/ 19 In Kosovo, for instance, war was not formally declared 6 Formed in 1997, ALNAP is a network that aims to by NATO, though it was by Former Yugoslavia. improve the quality and accountability of humanitarian assistance by providing a forum for the identification and 20 Despite some striking similarities in ethical dilemmas, dissemination of best practice and the building of there has been little published by humanitarian agencies consensus on common approaches. The secretariat that consciously attempts to draw on the large body of function is provided by ODI. literature that has developed around the ethics of war. The problem of unintended impact, for example, is a question 7 The Ombudsman Project, currently in the pilot stage, is a long debated by those interested in military ethics (Walzer, non-governmental, inter-agency initiative to establish a 1977). It might be a little unfair to argue that ‘Almost the Humanitarian Ombudsman to act as an impartial and only coherent ethical defence of the agencies’ actions [in independent voice for people affected by disaster and response to the 1994 Rwanda crisis] has been given by conflict. See http://oneworld.org/ombudsman. Hugo Slim’ (de Waal, 1997: 197), but not by much.

8 The Strategic Framework for Afghanistan is a 21 See for instance Disasters, Vol 22, No 4, 1998, for a mechanism that is attempting to develop greater coherence number of papers on this issue and papers by Jackson and between the UN’s assistance and, political and human Walker (1999), Macrae (1998a), Slim (1996, 1997a, 1999) rights objectives in Afghanistan (UN 1998b). and Weiss (1999).

9 See for example Disasters Vol 22, No 4, 1998, for a 22 Humanity, impartiality, neutrality, independence, number of papers on this issue and papers by Jackson and universality, voluntary service and unity. Walker (1999), Macrae (1998a), Slim (1996, 1997a, 1999) and Weiss (1999). 23 See Plattner, 1996 for a detailed account of ICRC’s approach to neutrality. 10 This notion has been adapted from the notion of ‘framework of consent’ in Lautze et al, 1998. 24 See Study 4: Mackintosh, 2000: 14

11 In Liberia in 1995 and Sierra Leone in 1998, for 25 It goes on to say ‘It will be agreed, generally speaking, example, agencies argued about the pros and cons of that the contribution represented by authorised consignments should be limited: in the majority of cases,

HPG at odi 57 The Politics of Principle: The principles of humanitarian action in practice HPG Report

such consignments will be hardly sufficient to meet the authorities, who have the responsibility for protection most urgent needs and relieve the most pitiable distress; it themselves (ICRC, 1998: 22), indeed ‘only international is hardly likely, therefore, that they would represent military or police forces can act as substitutes for the assistance on such a scale that the military and economic authorities in this sphere’ (Bonard, 1999: 25, fn 40). What position of a country was improved to any appreciable seems to be happening to the idea of protection though is extent.’ that it is becoming a responsibility of humanitarian agencies, a parallel process to the assumption by agencies 26 See, for example, a remark by an ICRC delegate to the of state welfare responsibilities. second Wolfsberg forum: ‘we cannot remain silent when international humanitarian law is blatantly flouted. This is 37 Capacity building for relief provision is dealt with in a form of advocacy that does not involve politicisation’ section 5.3.3 below. This section will concentrate on (ICRC, 1997b: 2). capacity building in terms of civil society and governance.

27 This study itself is an example of that process. 38 Article A6 of the ‘Statement of Humanitarian Principles’ in the Ground Rules. 28 The sole reference to principles is in the ‘Provisions’ section: ‘To this end , the humanitarian interventions 39 Dissemination to the SPLA/M is dealt with below. envisaged by this contract will acknowledge humanitarian principles, the right of victims to assistance, and the right 40 See Study 3: Bradbury et al, 2000, Section 4.11.7 for a of impartial organisations to initiate humanitarian discussion on the relationship between the Ground Rules operations.’ (ECHO 1993: 4). What ECHO understands by and south Sudanese institutions. these principles is not made clear. 41 The special significance of food in terms of affecting 29 For example ‘The Movement’s mission and its activities the course of a conflict was recognised by the drafters of are built on the Principles’ (ICRC, 1989) the Geneva Conventions. Article 23 of the Fourth Convention makes a distinction between medical supplies, 30 In South Sudan, for example, the rejection of Islamic which are for all civilians, and food, which is only for law from Khartoum is an important factor in the war. ‘children under fifteen, expectant mothers and maternity cases’. 31 E.g. Article 23, Fourth Convention. 42 The SRRA was officially separated from the SPLA/M 32 This included visa restrictions and threats to freeze bank in 1994 but retains significant influence. accounts and set up a war crimes tribunal for Liberia. 43 In a separate study of UN co-ordination in Afghanistan, 33 Due to insecurity, the Sudan case study was only able to the present author heard the frequent phrase ‘we agree examine the working of the Ground Rules in SPLA/M about the principles, just not on their implementation’. areas, and not in areas controlled by the other movements which signed them. This section thus concentrates on the 44 This contrasts with the highly detailed commitments SPLA/M. entered into by government signatories to the Geneva Conventions where the opposite strategy was adopted and 34 The exception would seem to be ICRC, which by the general commitment to observe humanitarian common consent generally has the best understanding of principles has been spelt out in enormous detail. military issues. This comes from recognition that neutrality requires this type of understanding. More 45 The PCVC, despite a reference to agency compliance in practically, it comes from the regular contact ICRC has the text, was used to monitor compliance by faction with military forces through activities such as leaders and the government, not agencies. Only once was dissemination, prison visiting and prisoner exchange. it used in reference to an agency, WHO. Many UN and NGO personnel will have an understanding of the political economy of a conflict but are often 46 ‘Do No Harm’, for instance, tends towards a ignorant of basic military concepts and structures. condemnation of the use of violence, compared with the ICRC position which explicitly takes no position on the 35 The changing and changeable nature of political and use or justice of violence. military objectives (politics as the art of the possible) make an interesting contrast with the apparently 47 A classic example of the differences between the two immutable and changeless objectives of humanitarian approaches is the attitude to amnesty for abusers as part of action (humanitarianism as the art of the impossible?). a peace deal. Humanitarian and human rights actors will usually call resolutely for no amnesty while political 36 ICRC’s approach to its protection work consists mostly actors are prepared to accept one in the interests of peace. in bringing violations of IHL to the attention of the

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48 I.e. conditionality applied by humanitarian agencies for 56 See also the findings of a report by WFP into recurring humanitarian goals. This is contrasted with political challenges in food provision which pointed out that ‘There conditionality. has been little formal discussion of these issues [i.e. principles and ethical dilemmas] within WFP and staff 49 It is interesting to quote from the ICRC commentary on who are regularly confronted with them in the field have Article 23 of the Fourth Convention in this regard. This received little guidance.’ (Ockwell, R, 1999: 64). Article is to do with conditions under which relief supplies are to be allowed through a blockade, but the spirit is of 57 In Sudan in the 1980s and in Goma in 1994 respectively non-interference, i.e. neutrality. ‘Supervision .... must be carried out on the spot, at the very place where the goods are handed over to the beneficiaries: constant surveillance is necessary to ensure that the articles are in actual fact received by those for whom they are intended and that any illegal trafficking is made impossible. Receipts for individual consignments, frequent spot checks in depots and warehouses, periodical verification of distribution plans and reports and other measures of supervision will make it possible to avoid abuses, the consequences of which would be borne in the first instance by those categories in the greatest distress and who could not possibly be held responsible for any unlawful acts which may have been committed.’ (Pictet, 1958). Thus is a principle turned into a procedure.

50 ‘There is little real knowledge of and reflection on the Code of Conduct in most agencies’ (Slim, 1998:3). This finding was confirmed by the field studies.

51 For example medical or food economy analysis.

52 For instance: a compulsory, post-hoc, independent, evaluation has recently been written into the procedures of the Disaster Emergency Committee (DEC), the collective fundraising mechanism British agencies use for fundraising from the public in the event of major emergencies.

53 The Baby Milk Action Group, for instance, funded in part by SCF UKand Oxfam GB, monitors the compliance of baby milk producers with the WHO code on the marketing of milk powder. Similarly, the World Development Movement has argued for an International Investment Agreement with an independent monitoring body and an enforcement mechanism to regulate Transnational Companies: ‘meaningful self-regulation is still the preserve of only a few companies. Moreover its enforcement is dependent on the continued vigilance of consumers, investors and campaign groups. Increasingly ‘ethical’ companies are also concerned that lack of mandatory regulations allows less scrupulous competitors to undercut them.’ (WDM, 1999).

54 Avant summarises this as ‘Institutional theory assumes that actors will behave so as to ensure (or enhance) their institutional power’ (Avant, 1994: 2)

55 For instance in the Joint Evaluation of Rwanda (Eriksson, 1996) and in de Waal, (1997).

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