THE INTERVENTION STRATEGIES of HUMANITARIAN AGENCIES in a COMPLEX POLITICAL EMERGENCY: the CASE of SRI LANKA Marit Haug Phd Lond
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THE INTERVENTION STRATEGIES OF HUMANITARIAN AGENCIES IN A COMPLEX POLITICAL EMERGENCY: THE CASE OF SRI LANKA Marit Haug PhD London School of Economics Department of Social Policy 2001 UMI Number: U159171 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. Dissertation Publishing UMI U159171 Published by ProQuest LLC 2014. Copyright in the Dissertation held by the Author. Microform Edition © ProQuest LLC. All rights reserved. This work is protected against unauthorized copying under Title 17, United States Code. ProQuest LLC 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, Ml 48106-1346 Abstract This research attempts to answer the question of how humanitarian agencies engage with the combatants in a complex political emergency. The thesis has been designed as a case study of four non-governmental organisations, two Norwegian and two British, which have been working in Sri Lanka in the ongoing war. I focus on the period from 1995-1998 and build mainly of interview data with agency staff. Drawing on research literature on non-governmental organisations, I identify three roles which agencies can play in a complex political emergency: service delivery, advocacy and institution building. Ways in which agencies combine these roles are analysed, both in terms of their strategies in relation to actors in their environments, particularly the government and the LTTE, and in terms of the organisational challenges involved. When agencies move beyond a service delivery role issues relating to neutrality and impartiality often arise. Research literature on humanitarian assistance is applied to analyse how humanitarian agencies operationalise neutrality and impartiality and ways in which the agencies may be drawn into the conflict dynamic. My theoretical framework is organisational theory and, more specifically, research literature on organisations and their environments, and organisational strategy. In particular, I explore aspects of this literature which deal with situations in which organisations are subjected to pressure from their environments. This framework is then applied to identify the sources and types of constraints which agencies operate under and agency responses to these constraints, as well as the ways in which organisations develop strategies for managing their environments. I conclude that it is possible for agencies to combine different roles, but that in doing so, foreign humanitarian agencies have to actively manage their environments in order to ensure that their actions are perceived as legitimate by actors in the country in which they work. 2 Acknowledgements I would like to thank all the agencies which have been part of this research for giving me the opportunity to carry out the work required to do this PhD. Thank you to all the staff who have taken time off from their busy schedule to discuss their exciting, but often stressful, work with me. I am also grateful to all the other aid workers, former aid workers, donors, academics, diplomats and other experts who have provided valuable information and insights. Dr. David Lewis at the Centre for Civil Society, LSE, my supervisor, has been patient, supportive and has always come back with encouraging feed-back, while being able to keep a ‘down to earth’ perspective on this undertaking. Finally, I have greatly appreciated the opportunity provided to me by the Norwegian Research Council through their funding for this research. It has been a great privilege to be able to focus on one piece of work for an extended period of time. 3 LIST OF CONTENTS Map of Sri Lanka 12 Chronology of political and military events 13 List of abbreviations 15 1. HUMANITARIAN AGENCIES: CHALLENGES AND DILEMMAS 16 1.1 Research question and theoretical framework 16 1.2 The Sri Lankan context and humanitarianassistance 21 Sri Lanka 21 Defining the concepts: NGOs, complex political emergencies, internally displaced people (IDPs), humanitarian assistance and protection 22 1.3 Methodology 28 Design 28 The case study approach 30 The scope o f the study: organisations, sites and timeframe 32 Access and ethics 34 Data collection 36 Data analysis 38 Confidentiality 39 1.4 Chapter outline 41 4 1.5 Summary 43 2. HUMANITARIAN AGENCIES IN COMPLEX POLITICAL EMERGENCIES 45 2.1 The conflict in Sri Lanka 45 The government and the LTTE: background to the conflict 45 Internally displaced in Sri Lanka: the people left behind 48 2.2 Humanitarian agencies in conflict situations 49 Models for delivering humanitarian assistance: towards engaging with both sides 50 The critique: becoming a part o f the conflict dynamic 51 Responses to the critique: ‘stick to the knitting’or widening the focus53 2.3 The basis for humanitarian access: neutrality and impartiality 57 2.4 An overview of the case study organisations: Forut, Oxfam, SCF and Redd Barna 59 Forut 60 Oxfam 63 Save the Children 66 Redd Barna 69 UNHCR 72 Coordination of relief and rehabilitation 7 5 2.5 Summary 77 5 3. THEORETICAL FRAMEWORK: STRATEGIES FOR MANAGING THE ENVIRONMENT 80 3.1 Organisations and their environments 81 Conceptualising the environment: networks and fields 81 Organisational theory: approaches to the organisation-environment relationship 83 Institutional theory: the needfor legitimacy 86 3.2 NGOs and their environments 89 NGOs and governments: ‘uneasy closeness ’ 90 Service-delivery: a goal in itself? 91 Support for institutions and organisations: strengthening civil society92 Advocacy: influencing the environment 95 Understanding the govemment-NGO relationship: goals and interests 101 Inter-organisational relationships: collaboration and confrontation 102 3.3 Strategy in a context of multiple pressure 104 Organisational strategy: positioning the organisation vis a vis its environment 104 Strategy as a response to pressure from the environment: acquiesce, compromise, avoid, defy and manipulate 106 Strategies in situations o f multiple, conflicting pressure: decoupling, staggering and inaction 109 Building legitimacy for a new activity: building the sector and creating new constituencies 113 6 3.4 Summary 115 4. DUAL ADMINISTRATION IN THE NORTH: LTTE POWER AND GOVERNMENT RESOURCES 119 4.1 Government policies towards the North: avoiding a break up 119 Embargo: crippling the enemy and an obstacle to peace 120 Between the government and the LTTE: the Government Agent 122 Provision o f food supplies to LTTE held areas: ‘winning their hearts and minds ’ 125 Organisation o f relief at the local level: mobilising resources 128 Resettlement and rehabilitation: giving the appearance o f normality 130 Government policies towards humanitarian agencies 132 4.2 LTTE: the power behind the government administrators 136 The LTTE administrative system: ‘We are running a government here’ 136 Relief delivery: building up the TRO 139 LTTE policies towards NGOs 141 4.3 Summary: the Government and the LTTE: agreement on the framework for assistance to the displaced 143 5. FACING CONTRADICTORY PRESSURE: AGENCY RESPONSES TO THE COMBATANTS 147 5.1 Agencies and the LTTE: at ‘arm’s length’ 147 7 The battle for resources 148 Limitations on partnerships in the North: LTTE influence on local organisations and lack o f capacity and competence 150 LTTE pressure on agencies to implement through local organisations 153 Mechanisms for influencing the agencies: NGO consortia, bilateral meetings and pressure on local staff 156 A working relationship: defining the limits 159 5.2 Agencies and the government: between the Government Agents and the Ministry of Defence 161 Access and permits: the main constraint on agency operations 162 Co-ordinating with the government: whom do you talk to? 165 When exchange works: linking up with the Government Agent 166 Engaging with the government: funding, scaling up and getting things started 168 5.3 Summary: agency responses: withdrawal, avoidance, compromise, closer collaboration and dialogue 171 6. CONFRONTING THE COMBATANTS: IMPLEMENTING AN ADVOCACY MANDATE 175 6.1 Mandate and policies: moving beyond the right to food 176 Humanitarian law and human rights law: defining the principles 111 Children's rights: a new advocacy instrument 180 Peace: people’s priority 183 Opening up for advocacy: balancing advocacy and access 184 6.2 Strategies for ‘getting the message across’: the limitations on 8 lobbying the combatants 186 Protection by presence: keeping the dialogue open 187 Confronting the combatants: lobbying the government and the LTTE leadership 190 The power and limitations o f information: authoritative reporting and going public 192 6.3 International lobbying: ‘decoupling9 advocacy and service delivery 197 The NGO-forum: linking Sri Lankan and European NGOs 197 The annual meeting o f the NGO forum November 1995: a watershed event 199 Using others: passing on information to relevant organisations or more powerful players 201 6.4 Summary 203 7. THE DILEMMAS OF HUMANITARIAN AGENCIES 208 7.1 Agency strategies 208 Relationships with the combatants: compromise, collaboration or confrontation? 208 Negotiations and compromise 213 Managing the relationships: a ’ balancing ’ act 215 Building civil society: support for local organisations and institutions 219 7.2 Advocacy 223 Advocacy: the needfor a cognitive framework 224 9 Criticisms and attacks: the need to be prepared