Humanitarian Accountability HAP Partnership
YEARS ABILITY ACCOUNT RESILIENCE VALUE QUALITY FOR MONEY RESILIENCE ACCOUNTABILITY VALUE FOR MONEY GOOD QUALITY GOOD GOVERNANCE GOVERNANCE DO NO HARM PEOPLE MANAGEMENT TRANSFORMATIVE AGENDA
ORMATIVE DO NO HARM TRANSFREAL-TIME TION EV CERTIFICATION CERTIFICA AGENDAALUATIONS CONTINUAL SELF-REGULATION IMPROVEMENT TION CONTINUAL SELF-REGULA IMPROVEMENT REAL-TIME EVALUATIONS AFFECTED TION POPULA BENCHMARKING COORDINA TIONS COORDINATION PEER REVIEWS PEERBENCHMARKING REVIEWS RISK MANAGEMENT MONITORING & RISK MONIT EV ORING & EVALUATIONS ALUA MANAGEMENT TIONS GOOD PRACTICE
SAFER PROGRAMMING
2013 Humanitarian Accountability Report Acronyms
AAP – Accountability to Affected Populations HRI – Humanitarian Response Index ALNAP – Active Learning Network for Accountability IAAWG – Inter-Agency Accountability Working Group and Performance IA-RTE – Inter-Agency Real Time Evaluation BBC – British Broadcasting Corporation IASC – Inter–Agency Standing Committee BSO – Building Safer Organizations IATI – International Aid Transparency Initiative CAAP – Commitments on Accountability to Affected Populations ICRC – International Committee of the Red Cross CBHA – Consortium of British Humanitarian Agencies ICT – Information and Communications Technology CBO – Community-Based Organisation ICVA – International Council of Voluntary Agencies CDA – Collaborative for Development Action IDP – Internally Displaced Person CDAC – Communicating with Disaster-Affected INGO – International Non-Governmental Organisation Communities JEEAR – Joint Evaluation of Emergency Assistance to Rwanda CRM – Complaints and Response Mechanism CSO – Civil Society Organisation JSI – Joint Standards Initiative DARA – Development Assistance Research Associates MANGO – Management Accounting for Non-Governmental Organisations DEC – Disasters Emergency Committee M&E – Monitoring & Evaluation DFID – Department for International Development MSF – Médecins Sans Frontières (Doctors Without Borders) DG ECHO – Directorate-General for Humanitarian Aid and Civil Protection (formerly known as European NGO – Non-Governmental Organisation Community Humanitarian Office) OCHA – United Nations Office for the Coordination of DRC – Danish Refugee Council Humanitarian Affairs DRC – Democratic Republic of the Congo ODA – Official Development Assistance ECB Project – Emergency Capacity Building Project ODI – Overseas Development Institute ECHO FPA – ECHO Framework Partnership Agreement OFDA – Office of U.S. Foreign Disaster Assistance ELRHA – Enhanced Learning and Research for Humanitarian Assistance PIA – People In Aid FAO – Food and Agriculture Organization RTE – Real Time Evaluation FGD – Focus Group Discussion SCHR – Steering Committee for Humanitarian Response GHD – Good Humanitarian Donorship SRI – Self-Regulatory Initiative Groupe URD – Groupe Urgence Réhabilitation TEC – Tsunami Evaluation Coalition Développement UN – United Nations HAP – Humanitarian Accountability Partnership UNHCR – United Nations High Commissioner for Refugees HAR – Humanitarian Accountability Report UNICEF – United Nations Children’s Fund HC – Humanitarian Coordinator HCT – Humanitarian Country Team USAID – United States Agency for International Development HERR - Humanitarian Emergency Response Review VOICE – Voluntary Organisations in Cooperation in Emergencies HPG – Humanitarian Policy Group WASH – Water, Sanitation and Hygiene HHI – Harvard Humanitarian Initiative WFP – World Food Programme 1 Foreword
Ten years ago, the humanitarian sector was just starting to acknowledge affected populations as a primary stakeholder, one which should be able to hold humanitarian actors to account. For quite some time then, while the word was extensively used in policy discourse, there was little agreement on what being accountable to crisis affected populations actually meant, only a sense that this was the “right thing to do”. Today, it seems unthinkable to plan and lead a humanitarian response without putting crisis affected populations at the heart of programming, demonstrating the great leaps that the sector has taken in a relatively short period of time.
The 2013 Humanitarian Accountability Report, which offers an overview of the progress the humanitarian sector has made and the obstacles it has faced over the past 10 years, comes at an opportune time. Accountability is no longer just a fashionable term, there is now a shared understanding of what it takes to be accountable as detailed in the HAP Standard benchmarks or the IASC Commitments on Accountability to Affected Populations. From changes at policy level, to concrete actions taken in the field, this report documents this sector-wide shift. It also shows that being accountable to the people we aim to serve is not just the right thing to do, it is also the best way to ensure programmes are relevant, effective, efficient and sustainable.
Can we then be satisfied with what we have achieved and consider this mission accomplished? Not quite. On the one hand, as this report also shows, practice is not yet on par with policy. On the other, being accountable is an ongoing task. It commits us to listen to the voices of our stakeholders and strive to ensure our actions are driven by needs as voiced by the people we aim to assist.
Switzerland, as demonstrated by its support of HAP and other quality and accountability initiatives, strongly believes in the need to empower beneficiaries of humanitarian aid and actively include them in decision-making processes. We believe this to be the most responsible way to express our solidarity with crisis-affected populations, and an ongoing duty.
The HAP Standard begins with a request to define commitments and an action plan, and concludes with learning and continual improvement. This report documents what has worked, but also outlines some of the shortcomings and obstacles that have prevented progress. It is now our responsibility to scale up best practice, remove the obstacles, and continue to deliver on our commitments to people affected by crises.
Ambassador Manuel Bessler Vice-Director, Delegate for Humanitarian Aid and Head of the Swiss Humanitarian Aid Unit (SHA)
Foreword Contents
1. Have we lost the plot? Revisiting the accountability debate 4
Background: how the accountability problem is understood 5 Origins of the debate 6 Humanitarianism and political action 8 The accountability relationship: defining responsibilities in the humanitarian sphere 10 Re-focusing on official accountability 12 Lessons from the development sector 14 Where does the accountability agenda go from here? 17
1.7 2.Wh Aereccountability does the accountability 10 agenda Years go from in here? Review: Has the Balance of Power Shifted? 18
Accountability: its origins in the sector 19 The policy landscape 20 Accountability in action 33 HAP Benchmark 1 34 HAP Benchmark 2 38 HAP Benchmark 3 42 HAP Benchmark 4 47 HAP Benchmark 5 51 HAP Benchmark 6 55 The next decade 58
3. Counting on Accountability: Voices of affected communities 60
Introduction 61 Purpose, methodology and limitations 62 Community perceptions on aid: Borena, Ethiopia 63 What next? 71
4. Resources 72
Documents on quality and accountability you should read 73 Websites you should visit 85 Askele Wetango is about 70 years old and a beneficiary of HelpAge’s partner organisation - Mary Joy in Awassa, Ethiopia. Her daughter died of HIV leaving her with three grandchildren to support and she is photographed with them at her home in Awassa, Ethiopia in 2008 © Kate Holt / HelpAge International The elderly of Kyrgyzstan © Kate Holt / HelpAge International
Have we lost the plot? 1 Revisiting the accountability debate James Darcy warns against the dangers of taking too narrow a view of humanitarian accountability, and of privileging voluntary over official accountability. 5 Background how the accountability problem is understood1
Much has changed in the ten years for leading donors. These initiatives potentially distorted – understanding of since the Humanitarian Accountability provided a self-imposed framework the humanitarian accountability agenda. Partnership was established, of responsibility against which the including thinking about accountability actions and decisions of the bodies In this chapter, I would like to itself. The fundamental problem as it concerned might be judged; but question the way in which this appeared to those involved in HAP’s they left open the question of how agenda is framed. Not because foundation was the lack of attention organisations and donors were to the present agenda is in itself the given by humanitarian organisations to be held to account against their wrong one, but because it seems their accountability to aid recipients as commitments, particularly by aid to me to be radically incomplete in compared to ‘official’ stakeholders – recipients. The founders of HAP the way it is currently understood. donor governments and others. were concerned to plug this gap and Specifically, the accountability In 2003 the balance of accountability to define in tangible terms how it of humanitarian organisations to seemed to many aid practitioners was that organisations would hold those they seek to assist tends to to be wrong not only on moral themselves accountable to recipient be seen in narrow programmatic grounds but on practical grounds communities and treat them as the terms; and it tends to be considered too: humanitarians were failing to primary stakeholders in aid delivery. in isolation from the nexus of other learn the lessons from others in (sometimes more fundamental) the public and commercial sectors The attempt to correct the accountability relationships of about client satisfaction, about accountability deficit described which it forms part. Specialised what kept service providers honest above remains (rightly I believe) humanitarian organisations are not and made enterprises flourish. The fundamental to HAP’s rationale and the only humanitarian actors; and lack of ‘downward’ accountability real progress has been made, as they are certainly not the only ones was perceived, in turn, to have a described in the 2011 Humanitarian with humanitarian responsibilities. negative impact on the efficiency and Accountability Report.5 This has a To illustrate this requires stepping 2 effectiveness of aid programmes. number of dimensions, including back a little from the content The reframing in the 1990s of the consultation with and involvement and mechanics of organisational humanitarian agenda in rights terms, of aid recipients in the design and accountability and looking more with ‘beneficiaries’ now understood delivery of aid programmes, and broadly at the contexts where as ‘claimants’, only served to highlight the provision of effective feedback humanitarian action is carried out. 3 this accountability deficit. and complaints mechanisms. But an exclusive focus on accountability This concern led to what some from an agency perspective and referred to a decade ago as an in process terms risks narrowing ‘accountability revolution,’ 4 though the discussion in damaging ways. we might question the term – it For all the progress made over the has sometimes felt more like an past ten years, there has been a industry than a revolution. The tendency to deal with accountability change involved a number of in increasingly technocratic, de- elements, including the definition politicised and self-referential terms by organisations of standards and by humanitarian organisations. Put codes which in part addressed the another way, there has been a shift question: “accountability for what?” in focus from macro- to micro- The ‘Good Humanitarian Donorship’ accountability, in ways that I believe initiative purported to do the same leads to an impoverished – and
1 / As the next chapter shows, definitions of accountability are contested. For the purposes of this chapter, I assume a definition based on an ‘accountability relationship’ model that combines two elements (i) the responsibility of an individual or organisation to account for their actions and decisions, against defined criteria, to another party; (ii) the ability of that other party to call the individual or organisation to account, with the expectation that this will influence future actions or that sanctions for non-compliance will follow. In defining this relationship, the key questions are: accountability of whom, on what basis, to whom, for what, and how? 2 / On this point, see HAP’s current ‘strategic value proposition’: “that quality, accountability and programme results are inextricably linked. By improving organisational accountability in a systemic way, programme quality, impact and outcomes will also be enhanced.”www.hapinternational.org/about.aspx 3 / This shift to ‘rights’ language was reflected particularly in the Sphere Project and the framing of the Humanitarian Charter and Minimum Standards in Humanitarian Response. 4 / See for example http://www.odihpn.org/humanitarian-exchange-magazine/issue-24/editors-introduction-the-accountability-revolution 5 / See http://www.hapinternational.org/pool/files/2011humanitarian-accountability-report.pdf
1. Have we lost the plot? Revisiting the accountability debate 6 Origins of the debate
A decade ago, the accountability failing to reach the neediest, being political sphere of responsibility, this imbalance described above was inequitable, corroding human dignity raises questions about individual only one element in a wider critique and providing poor-quality assistance and collective accountability of of international humanitarianism. in insufficient quantities to people humanitarian agencies and donors Some laid emphasis on the lack in desperate need.” 8 As Davis points for strategic decisions made about of international organisations’ out, these charges may sometimes be engagement or non-engagement.10 accountability for the negative poorly evidenced or based on faulty For this there is no scheme of human and political effects of their reasoning; but they also contain accountability – and indeed it is interventions.6 Industry insiders elements of truth, and deserve to hard to imagine how such a scheme tended more often to stress the lack be taken seriously’. could be devised as things stand.11 of accountability for the effectiveness International organisations and of interventions,7 and to see this – Framed in these terms, the broader donors have no formal responsibility together with the uncoordinated and accountability problem is multi- to respond in particular ways to a unregulated nature of humanitarian layered. At one level it relates to given situation. Even within a given action, highlighted by the Rwanda the absence of political action to crisis response, organisations are crisis – as the fundamental tackle the factors that create the generally accountable only for what accountability challenge. The wider need for humanitarian action in the they do, and how they do it; not for critique of humanitarianism was first place, through such things as what they fail to do (though questions summarised by Austen Davis in effective disaster prevention and of neglect or negligence may form 2007: “Humanitarian action has restraint in the use of force.9 The part of the evaluation of individual 12 been accused of prolonging wars main problem of humanitarian action programmes). and undermining governments’ is how to ensure that appropriate and accountability to their people, effective assistance and protection destroying markets and creating are provided to those who most Petros Abyio grows apples in Boshe-Ilgira, dependency, failing to address need it, when they most need it, Ethopia. Church of Sweden supports several the causes of crisis and so acting without causing too much harm projects in rural Ethiopia to improve as a substitute for ‘real’ action, in the process. Leaving aside the the poor people’s abilities to support themselves and their families © Magnus Aronson /Church of Sweden
2013 Humanitarian Accountability Report 7
WCC delegation at a residential street in Gori, Georgia, damaged in the August 2008 war over South Ossetia. In the foreground is Rev Laszlo Lehel, director of Hungarian Interchurch Aid, a member agency of ACT © Jonathan Frerichs /ACT
We are left, then, with accountability for the fulfilment of commitments that humanitarian actors take on themselves, their conduct in attempting to fulfil those commitments, and the wider consequences of their actions. Translated into management speak, this equates roughly to accountability for outputs, processes and outcomes. In practice, the emphasis lies heavily on the first two of these. To the extent that organisations are held accountable for outcomes, it is very much in relation to the discernible short-term and direct effects of intervention.
The lack of accountability for strategic choices – whether and how to respond to particular crises – is one of the ways in which aid institutions are less obviously accountable than some other public sector bodies, where responsibilities for action are more tightly defined.13 Moreover, the issue of lack of accountability for the more far-reaching outcomes of such choices – including negative effects – remains largely unaddressed.14 But there is a second, even more serious problem with the way the agenda is currently framed. This concerns the de-emphasising of formal, political accountability in favour of informal, voluntary accountability. Consideration of both these issues requires some analysis of the relationship between humanitarianism and politics.
6 / See for example de Waal, A. (1997): Famine Crimes: Politics and the Disaster Relief Industry in Africa; African Rights & the International African Institute; Terry, F. (2002) Condemned to Repeat? The Paradox of Humanitarian Action, Cornell University Press. 7 / For example Jan Egeland (UN ERC) in ‘Humanitarian accountability: putting principles into practice’ (HPN Humanitarian Exchange – Endpiece June 2005). See now the language of the Transformative Agenda: “The IASC Principals are committed to the ultimate objective of accountability to beneficiaries by ensuring that the humanitarian response delivers life‑saving assistance to those in need as the result of effective and timely decision-making and planning.” (IASC Transformative Agenda – Chapeau Document 2012, p.2) 8 / Davis, A. (2007) Concerning Accountability of Humanitarian Action¸ HPN Network Paper No. 58, ODI. 9 / The disaster prevention agenda is not usually considered part of the mainstream humanitarian agenda. 10 / By ‘strategic’ questions I mean specifically, in this context, decisions about whether or not to intervene, the timing of intervention and withdrawal, which areas and communities to prioritise, the choice of programme approach and the ‘mode’ of delivery (how to work, with what types of partner, funding etc.) 11 / As Davis op. cit. points out, this is a serious gap in the humanitarian accountability scheme. 12 / The Guide to the HAP Standard quotes Molière as saying ‘It is not only what we do, but also what we do not do, for which we are accountable’. We may agree with the sentiment, but it is not one reflected in the current scheme of humanitarian accountability. The UN-led cluster system – and specifically the notion of ‘provider of last resort’ – was in part an attempt to address this problem, but it lacks both specificity and sanctions for non-compliance. 13 / Consider, for example, of the responsibility of national health authorities in relation to disease outbreaks, both with regard to prevention and response. 14 / This is in part because of the problems of determining what caused a given outcome (causal attribution) as well as the ambiguity about the scope and nature of organisational responsibility.
1. Have we lost the plot? Revisiting the accountability debate 8 Humanitarianism and political action
The relationship between in Niger, the 2008 cyclone Nargis More practically speaking, humanitarian humanitarian action and political in Burma, the 2011 Somalia famine outcomes depend in practice to such power lies at the heart of debates – can be explained largely by the an extent on the acts or omissions of about international humanitarianism. deliberate political isolationism of the political actors, and on such a wide Following the end of the Cold controlling powers at the time. variety of social and economic factors, War in 1989, many felt that that the accountability of specialised humanitarian action was in danger In all of these situations, international humanitarian organisations can only of being subsumed by the politics organisations (UN and INGO) be properly understood in a wider 19 of increasingly interventionist were instrumental in delivering political and socio-economic context. foreign policies – most notably in humanitarian services in the context The experience of Rwanda and former Somalia, former Yugoslavia and of agendas that were essentially Yugoslavia should warn us of the trap of Kosovo. The ‘new humanitarianism’ framed by political actors. These thinking that aid organisation-delivered espoused by many organisations cases raise a number of issues aid holds the key, when the fundamental involved setting goals – including the for humanitarian accountability humanitarian problem may be one of protection of rights and contributing understood in a broader sense: protecting civilians, something that to conflict resolution – that went at root can only be tackled by political beyond the confines of traditional actors. Yet even the more politically The accountability of governments humanitarianism and took agencies embedded humanitarian strategies themselves for the security and into more political terrain.15 in transitional contexts such as the well-being of conflict- and disaster- DRC and Afghanistan tend to inflate affected communities, and the the goals of humanitarian action; and The blurring of lines between adequacy of their responses to crisis. to falsely characterise problems that humanitarian and military-political are essentially structural (political objectives, leading to what many saw International political accountability and socio-economic) as problems as a growing threat to ‘humanitarian for the protection of civilians and the that are amenable to short-term space’, became increasingly marked provision of funding for adequate solutions delivered by humanitarian in the post-9/11 era. Humanitarian relief assistance; and for the negative organisations.20 concerns were cited in support of effects of armed interventions. counter-terrorist, counter-insurgency This raises a related point: if we and stabilisation operations; but The accountability of humanitarian focus just on accountability for the the failure to protect civilians – and organisations for the potential immediate effects of our interventions, indeed the harm done to civilians – negative political, social and soon became part of the criticism of we miss the question of accountability economic effects of their engagement for medium and longer-term effects. such operations, particularly in Iraq, – particularly in conflict situations. Afghanistan and DRC.16 At the same In contexts of protracted crisis time, in contexts like Darfur (Sudan), like Darfur and Eastern DRC, aid These aspects of humanitarian organisations have tended to continue Sri Lanka and currently Syria, where accountability feature less in the international community has not the same short-term responses current thinking than they used to, over many years. Much of this may been prepared to intervene with force, and this seems to me a retrograde humanitarian action was severely have been necessary and justified on step. Limiting the discussion of humanitarian grounds; but the mode constrained as governments that were humanitarian accountability to involved in the violent suppression of delivery as well as the package questions of aid organisations’ of assistance delivered often fails of opposition movements proved accountability to aid recipients unresponsive to diplomatic pressures. to develop over time, and few such seriously distorts the broader picture. programmes have defined exit criteria. This has both a formal and a practical Given the inevitable tendency of While these politically complex and dimension. Formally, and in legal protracted aid programmes to become conflict-related crises raised issues terms, the relationship of rights and part of the local political economy, about humanitarian intervention duties is one that exists between with potentially damaging effects, and state sovereignty, international people and the states in which they organisations whose programmes 17 responses to natural disasters live. Humanitarian organisations may fail to evolve or to include plans for remained largely on a consensual take upon themselves responsibilities effective transitions should surely be footing: the international community for the fulfilment of rights, but – at held accountable.21 acting (for the most part) at the least in the case of INGOs – they do invitation of the governments unable so on a voluntary and moral basis, not to cope with the scale and nature of an official and legal one.18 To suggest needs following earthquakes and otherwise is to debase the concept hurricanes, droughts and floods. The of rights as formal claims, and to exceptions to this consensual picture obscure the question of political and – for example the 2005 food crisis governance responsibilities.
2013 Humanitarian Accountability Report 9
A farmer in Masowe, Zimbabwe, in 2009 © Kate Holt / HelpAge International
15 / See Macrae, J. and Leader, N. (2000) Shifting Sands: the search for ‘coherence’ between political and humanitarian responses to complex emergencies, HPG Report no. 8, ODI. 16 / While international forces remain largely unaccountable for harm done to civilians, of for failures of protection, the accountability of individual war leaders for war crimes and other crimes covered by the Rome Statute of the International Criminal Court has attracted growing attention, leading some to hope that the age of impunity for political and military leaders might be coming to an end. 17 / The international community of states, through the UN, has some supervening responsibilities to ensure respect for human rights. See in particular the UN Charter and the (non-binding) ‘responsibility to protect’ commitments adopted by the UN General Assembly in 2005. 18 / The ICRC and the UN organisations have a more formally mandated role, but it is nevertheless a secondary one. The role of international organisations is in that sense substitutory, compensating for the inability or unwillingness of the primary duty bearers to fulfil their responsibilities. 19 / This includes the granting by political and military authorities of secure access for relief services. 20 / I am thinking here in particular of the basic social protection function played by humanitarian aid in parts of DRC, the Occupied Palestinian Territories and elsewhere. These involve tackling what are essentially structural deficits of service provision with short term aid-funded solutions. 21 / One example of this can be found in the aid provided to Palestinian refugees in the Middle East, the political significance of which has sometimes outweighed its economic significance.
1. Have we lost the plot? Revisiting the accountability debate 10 The accountability relationship: defining responsibilities in the humanitarian sphere
Any discussion of accountability has (state-citizen). Aid organisations’ for performance under these voluntary to be rooted in an understanding of accountability to aid recipients arrangements: for example, the the relationships on which it is based. generally has no such basis in a accountability of the Humanitarian Accountability implies responsibility formal relationship: it arises out Country Team and of the Cluster Leads of some kind owed by one party to of self-imposed obligations with to the Humanitarian Coordinator.23 The another, based on a relationship that no formal consequences for non- Inter-Agency Standing Committee’s may be contractual, ‘principal-agent’, compliance.22 As such it represents a ‘Transformative Agenda’ makes political or other. relatively weak form of accountability reference to “enhanced accountability of compared to some of the others the Humanitarian Coordinator (HC) and members of the Humanitarian Country This suggests that at least eight such in this picture. Its significance lies Team (HCT) for the achievement of relationships exist, either mutual or largely in the fact that there may be collective results” and also to the need unilateral (see page 13). Some of these few (if any) means available to those arise from official responsibilities or are to strengthen mutual accountability. 24 affected by conflict and disaster to defined by partnership arrangements, But the means of achieving this hold formal duty bearers to account. others are voluntarily assumed. remain elusive in practice: voluntary Certain accountability relationships responsibilities tend to be ‘trumped’ by are contractually based (e.g. donor- One of the key issues for the more defined forms of accountability, agency relations); while others are humanitarian sector concerns the lack notably of agency staff to their line based on legal and political obligations of mutual and collective accountability managers to deliver on organisational
INTERNATIONAL HUMANITARIAN SYSTEM
Finance Implementation
DONOR GOVERNMENTS UN organisations (Bilateral oda)
COMMON FUNDS Red Cross Crescent Movement PRIVATE INDIVIDUALS
International NGOs CORPORATE
2013 Humanitarian Accountability Report 11
priorities. Accountability for the We acknowledge that it is firstly This acknowledges a hierarchy of former remains (perhaps deliberately) through their own efforts, and responsibility and the distinction between weak. Here, the issue of relative through the support of community official and voluntary responsibility. Yet in practice, the power – and money – is institutional power is a major factor. UN and local institutions, that the basic largely concentrated on the left-hand organisations are intergovernmental needs of people affected by disaster bodies that are ultimately the servants side of the diagram above. In market or conflict are met. We recognise (agents) of UN member states; but terms, the demand for services (from they also represent powerful political the primary role and responsibility donors) and the supply of those services entities in their own right, unlikely of the affected state to provide (from international organisations) is to subordinate their own power and timely assistance to those affected, almost all within the international sphere. In contrast to the development mandates to the collective enterprise. to ensure people’s protection and security and to provide support for sector, donors do not usually fund states to respond to humanitarian crises. In Elsewhere in the accountability picture, their recovery. We believe that a some cases, where the state is party power imbalances are even more combination of official and voluntary to a conflict that is itself the cause of marked. The Sphere Humanitarian action is crucial to effective the crisis, this may be understandable. Charter (2011) says this about the prevention and response[...] Where In the case of natural disasters it may role of humanitarian organisations national capacity is insufficient, be much less so. Yet international in relation to crisis-affected we affirm the role of the wider humanitarian action remains largely communities and host governments: international community, including state-avoiding, despite the statement in the Humanitarian Charter that “As far governmental donors and regional as possible… we will support the efforts organisations, in assisting states to of the relevant authorities to protect fulfil their responsibilities 25 and assist those affected”. 26 This has major implications for the three forms of ‘political’ accountability described earlier.
22 / But see Nicholas Stockton on the duty of care owed by aid organisations to those they seek to assist: The Accountability Alibi, Humanitarian Exchange Issue 34, July 2006, HPN/ODI, London. 23/ See Featherstone, A. (2011) United we stand? Collective accountability in the humanitarian sector, Humanitarian Exchange Issue 52, HPN/ODI October 2011. See also the IASC Real Time Evaluation of the humanitarian response to the Horn of Africa drought crisis response (Somalia 2011-12, page 28) Valid International, 2012. 24 / Transformative Agenda, Chapeau Document op. cit., page 1. More specifically, the document says (page 3) “Mutual accountability will be enhanced within and between the HC, HCT members, Cluster Coordinators and other cluster partners, based on a clear, concise, time-bound and results-oriented strategy to deliver. Individual roles and responsibilities in contributing to the collective humanitarian response will be clearly outlined and can then be better communicated to all stakeholders, including donors[…] Implementation of the plan will be monitored, enabling feedback on the performance of both the HC and the HCT members.” 25 / Sphere Humanitarian Charter, paragraph 2. 26 / Ibid., paragraph 3.
CRISIS CONTEXTS C STATE risis -
National and local government Agents of the State affected Service authorities (health, education, etc.) Coordination mechanisms: Military, police
HCT, Clusters, etc. communities Non-state actors
Civil society (NGO, CBO, religious groups etc.) Commercial Other
1. Have we lost the plot? Revisiting the accountability debate 12 Re-focusing on official accountability
One key problem with unofficial Horn of Africa) and so least likely to proved willing or able to meet the (voluntary) accountability is precisely receive the state assistance they need. needs of all their own people. But that it is not based on formally defined Secondly, in conflict situations, the the ways in which the humanitarian responsibilities. For the most part, ability or willingness of the government system operates globally tend to NGOs – private voluntary organisations to deliver services to all sectors of undermine what chances there are of – are free to come and go as they society impartially is often very much in host governments being effectively held wish, to provide what services they doubt, especially where the population to account by their own people, by by- determine to be appropriate, in ways is divided along the same political lines passing the state and substituting for its that see fit. No official sanction follows that define the conflict. 29 role without being politically accountable for non-compliance with self-imposed for the results. This is not a new charge.30 responsibilities, though organisations So it may be true that the existence of But in a world where the role of the may suffer loss of reputation and a responsive voluntary sector (local, crisis-affected state is increasingly being 27 income. The same is largely true of national, international) is the best chance re-emphasised by states themselves the intergovernmental organisations many victims of crisis have of receiving as well as by donors and aid agencies, of the UN, whose formal mandates the assistance they need and finding I believe it is essential to take it seriously. are not matched by equally formal advocates for their cause. International accountabilities. This is why the NGOs – and indeed UN agencies – are A man carrying fire wood in Treguine definition of voluntary codes and facing growing operational restrictions refugee camp along the Chad-Sudan border. standards for organisations is a in countries like Ethiopia and Sri Lanka, LWF -Chad programme distributes fire necessary but insufficient basis wood for Sudanese refugees and has a well from governments that have not always organised distribution system for greater accountability to aid recipients; and why organisational © Anna Palmén / LWF Chad accountability represents only one part of this agenda.
If we look for a moment to our colleagues in the development sector, the pressing issue is public sector accountability: particularly, state accountability for the delivery of public services like health, education, utilities and welfare. These, along with security, are perhaps the most important aspects of the social contract as far as most people are concerned. The current development emphasis is on making the social contract work through active citizenship, with an emphasis on transparency and on citizens holding governments (local and national) to account. 28 While this presupposes a politically responsive government, there are few – even in the most fragile states – that can afford to ignore the wishes of large parts of the population. From a humanitarian perspective, however, there are two major qualifications to this. Firstly, those communities that are most vulnerable to disaster and the effects of conflict are often the most politically marginal (e.g. pastoralists in the
27 / See Davis op. cit. This is not to suggest that non-compliance by official duty holders is itself always subject to sanction. 28 / See for example Ringold, D. et al. (2012) Citizens and Service Delivery: Assessing the Use of Social Accountability Approaches in Human Development, World Bank, Washington D.C. 29 / Consider, for example, Sri Lanka during the civil war, or Ethiopia under Mengistu in the 1980s. 30 / See for example de Waal, op. cit.
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Key accountability relationships
Official donor assistance 1. Donor to donor public (unilateral): official/political 2. Donor – international agency (mutual): contractual 3. Donor – recipient government (mutual): contractual/political
National/local response 4. Crisis-affected state and local government to affected communities (unilateral): official/political 5. Local/national non-state actors to communities (unilateral): voluntary
International response 6. International agency – agency (HCT, etc.) (mutual): voluntary or MoU-based 7. International agency to affected communities (unilateral): voluntary 8. International agency – national/local government (unilateral or mutual): voluntary or MoU-based
Divided into groups according to nationality, 15,000 refugees from Bangladesh and a number of African countries live at close quarters in Sousha refugee camp, just a few hundred metres from the Libyan border © ACT/NCA/Arne Grieg Riisnaes
1. Have we lost the plot? Revisiting the accountability debate 14 Lessons from the development sector
The nature of aid modalities in the development sector is very different, with the bulk of funds going to recipient country governments who are themselves the primary authors and owners of the aid- related development agenda.31 With the emphasis placed on country ownership, it is perhaps not surprising that accountability is seen rather differently by development actors. A 2009 ODI paper on this topic 32 noted that “as a result of the Paris and Accra declarations, over 100 countries have committed themselves to a new model of partnership, in which donors and partner countries hold one another mutually accountable for development results and aid effectiveness” – although as the authors point out, the practical implications of this have not been fully explored. The development aid effectiveness agenda, further A woman stands near the destroyed Uzbek defined in Busan in 2011, has Bank and others distinguish ‘short’ and quarter in Osh, Kyrgyzstan mutual accountability of donor and ‘long route’ accountability, 35 and serious © Dimitry Motinov recipient governments at its heart. efforts have been made to make aid This extends equally to fragile and agency and government accountability conflict-affected states, as is affirmed mutually reinforcing. In many contexts, between state, aid organisation in the ‘New Deal for Engagement there is no reason in principle why such and aid recipients. Humanitarian in Fragile States’, which proposes approaches should not be applied to the organisations may be uncomfortable new country-owned and -led aid service-delivery role of international with this – and in some contexts they modalities for the very contexts humanitarian organisations. would be right to be. But there is in which the bulk of international no basic contradiction here, as the 33 humanitarian action takes place. There are some suggestions that Red Cross/Red Crescent Movement the current funding balance may recognises through its ‘auxiliary’ Given this, and the points raised above shift and that perhaps crisis- role, and international humanitarian about protracted humanitarian aid, affected states might themselves action has always been based on it seems time to re-visit the question become ‘purchasers’ of the negotiation with the authorities in of humanitarian accountability in the services of aid organisations. 36 question. Meanwhile, advances in the wider context of state accountability In that case, organisations may development of International Disaster to its own citizens 34. Here a good find themselves acting as agents Response Law hold the promise of deal of work has gone into thinking on behalf of the affected state on a more clearly defined scheme of about the nature of this accountability either a partnership or contractual mutual responsibilities as between relationship, particularly with regard basis. This would change the nature affected states and international to the provision of services. The World of the accountability relationship organisations.37
31 / Based on Poverty Reduction Strategy Papers or otherwise. 32 / Steer, L. and Wathne, C. (2007): “Mutual Accountability and Emerging Good Practice”. 33 / See http://www.newdeal4peace.org/wp-content/themes/newdeal/docs/new-deal-for-engagement-in-fragile-states-en.pdf 34 / This point also extends to state accountability for the treatment of refugees and migrants. 35 / This is based on the distinction between direct (‘short-route’) accountability of service providers to service recipients, contrasted with indirect (‘long-route’) accountability via the political authorities for whom the service providers act as agents. See for example the World Bank paper cited above. 36 / See for example the 2009 challenge paper from the World Economic Global Agenda Council on Humanitarian Assistance (A new business model for humanitarian assistance?) which calls for rebalancing of funds towards prevention and recovery and substantial new investment in national and local response capacity. 37 / IFRC (2007): “Law and legal issues in international disaster response: a desk study” (http://www.ifrc.org/PageFiles/41194/113600-idrl-deskstudy-en.pdf). It is worth saying here that humanitarian action is often not state-avoiding as a matter of principle, but rather as a matter of established practice. Colleagues at the ICRC used to refer to a ‘three-pronged approach’ to working with the state: first responsibilisation, holding the duty bearer to account; second assistance, helping the duty bearer fulfil its responsibilities; third (and only third) substituting for the duty bearer in performing vital services. I think we would do well to remember this when talking about our responsibilities and our accountability.
2013 Humanitarian Accountability Report A displaced man digs a trench to install a water distribution point in the eastern Congo village of Nzulu, which is hosting hundreds of families left homeless by war. Norwegian Church Aid, a member of Action by Churches Together, is providing safe water, latrines, and hygiene support for the displaced and residents of the host community © Paul Jeffrey /ACT A woman digs with a machete as she builds a temporary home in a spontaneous camp for quake survivors being established in Croix-des-Bouguets, Haiti, north of the capital Port-au-Prince. Quake survivors continue to move as aftershocks continue, and reports of aid deliveries in one camp will provoke families from other camps to migrate there © Paul Jeffrey /ACT 17 Where does the accountability agenda go from here?
As I argue above, it is important not to state capacity are often misleading, and The ultimate test of any scheme of define the humanitarian accountability in any case the question of capacity is accountability is improved outcomes agenda too narrowly in terms of aid distinct from that of responsibility. There for crisis-affected people, and it organisations’ accountability to aid is a strong case for changing over time is on this basis that any proposal recipients. While this specific agenda the route by which funds are channelled, should ultimately be judged. Aid remains essential, and much remains at least in the case of natural disaster organisations should be able to to be done to achieve it, I have tried responses in ‘non-fragile’ states, so maintain their independence, insist to suggest here that we risk missing that the affected state rather than on core principles of operation, some of the most fundamental international organisations ultimately and at the same time take a more accountability issues unless we locate becomes the recipient of the bulk of realistic and politically-informed it in a wider context. In particular funds. States could thereby be held approach as to how responsibility – this involves locating our own role more directly responsible by affected and hence accountability – should in a wider sphere of responsibilities, communities for the use of aid monies be properly shared. And as regards and observing one key principle: received as well as for their response to their own accountability, all aid that as aid and service providers performance more generally. Such a organisations have to recognise and we should as far as possible act to shift would also require new ways of take responsibility for the short and strengthen – and not undermine – the working to deal with new challenges: longer-term consequences of their own strategic choices. On both counts, accountability of official duty bearers pre-established partnerships and to crisis-affected communities. it is time to see the accountability tri-partite agreements (donor-agency- agenda in a wider perspective. government) could help increase states’ So what does this mean in terms of capabilities to manage responses and policy and practice? First, I suggest avoid the potential for bureaucratic that making aid organisations delays; and greater efforts can and more accountable for strategic and should be made to help build national policy decisions – rather than just and local response capacity. programmatic or operational ones – depends on two things in particular: more clearly defined international Third, with regard to helping commitments and greater transparency strengthen official accountability, concerning the grounds for strategic I believe that organisations should to decisions. This applies as much to the extent possible – in non-conflict UN-led coordination mechanisms contexts – frame their activities in like the IASC, HCTs and Clusters as ‘auxiliary’ terms; that is, in terms of it does to individual organisations. It helping the government concerned has process implications, including do its job. To do otherwise is to de- transparency in communication of link the aid agenda from political situational and needs analysis, better responsibilities in dangerous ways. mechanisms for holding organisations In delivering and coordinating to account for performance of humanitarian assistance, organisations commitments, and change in the should always look for ways of ‘binding kinds of questions that are asked by in’ government, of trying to ensure evaluations. The Transformative Agenda ownership by politicians and civil of the UN is partly an attempt to achieve servants of a problem that is (formally) this and deserves support; but it is only theirs, particularly with regard to the a partial answer to the question. transition from relief to recovery. The humanitarian imperative remains, of Second, the responsibility and course, the core guiding principle. But I accountability of official duty-bearers – believe this is too often used to excuse notably the government and authorities self-serving or unreflective practice by of the crisis-affected state – needs to be aid organisations, which need to ask taken more seriously by international where the medium and longer term actors. Assumptions about a lack of interests of communities lie.
1. Have we lost the plot? Revisiting the accountability debate Tuma Galmuka Uka, 17 years old, engages in a tree planting initiative, which is part of a LWF and DCA, Folkekirkens Nødhjælp project, in Medo village, Borena, Ethiopia © Mikkel Østergaard/DanChurchAid
Accountability 10 Years in Review 2 Has the Balance of Power Shifted?
Jessica Alexander reports on the expansion of accountability discourse and practice within the humanitarian sector over the past 10 years. Drawing on the extensive literature on the subject, she explains how far the sector has come in being more accountable to affected populations – the progress made and challenges faced – as well as the remaining issues to tackle. 19 Accountability Its origins in the sector
As the Humanitarian Accountability The other main rationale for improved constraints in the humanitarian system Partnership celebrates its 10-year accountability is the argument that itself – in particular with regards to anniversary, it is an opportune time when programmes are accountable funding cycles – to explain the limited to take stock and reflect on how to aid recipients, they are ultimately change in practice. These obstacles accountability has evolved within the of higher quality. According to the notwithstanding, with the current humanitarian sector over the past NGOs and Humanitarian Reform study efforts of HAP members to address the decade.1 Much has been accomplished of 2009, empirical evidence exists to evidence gap, the commitment of the during this time to enhance show that accountability to affected Steering Committee for Humanitarian accountability to people affected by populations enhances the effectiveness Response (SCHR) to explore options for humanitarian crisis both in terms of response, mitigates the risk of a wide ranging certification scheme, of policy development and field corruption and positively impacts and the ambition of the Joint Standards 3 application. Since 2003, accountability on people’s lives. A recent study Initiative (JSI) to provide the sector has gained prominence, first in the carried out by Save the Children UK, with a more coherent standards discourse, and then in the practice of Christian Aid and HAP has also found architecture, 2013 has enormous humanitarian actors, transforming evidence of a link between effective potential to further improve the from a vague concept of what seemed accountability systems and improved humanitarian sector. 4 like ‘the right thing to do’ into a programme quality. Therefore not only is increasing accountability to affected This chapter aims to document the more concrete set of commitments populations considered ‘the right developments and milestones that towards affected populations. Today, thing to do’ but there is evidence to have taken place since HAP was these commitments have been suggest that it is a means to improving founded in 2003 while also reflecting acknowledged as drivers of quality efficiency, sustainability, and to better on shortcomings and obstacles, and programmes within the humanitarian meet the needs of those humanitarians offering some suggestions on ways community, from NGOs to the Red aim to assist. forward. The chapter first looks at Cross/Red Crescent Movement, to policy related developments before donors and the United Nations. analysing practice, benchmark by Beyond the rhetoric benchmark, and concludes with reflections on achievements and the Rationale Despite the advancements within the challenges that await the sector on quality and accountability movement its way to improved accountability. The underlying commitment to increase over the past ten years, humanitarian A selection of relevant websites accountability to affected populations response is still faced with significant and articles written on quality and stems from two main rationales. First, shortcomings and those who hoped accountability over the past 30 years the push for greater accountability is that the ‘accountability revolution’ is available in the Resource section informed by humanitarian principles would be the silver bullet for the (from page 72). and a rights-based approach, which sector have been disappointed. holds that the exercise of power without Change has taken place, but slowly responsibility and accountability is an and with less visible impact than the abuse of that power. Accountability to pioneers expected. Some question the crisis-affected people means they can relevance of quality and accountability engage in decision-making processes, initiatives, pointing to the limited have greater voice and influence, and can evidence base for their impact. Others access information, all of which helps complain that there are just too many fulfil their right to life with dignity – a initiatives and no incentive to comply. fundamental human right at the heart Finally, some point towards the very of the international legal framework.2 nature of emergency response and to
1 / Knox-Clarke, Paul and Mitchell, John (2011): “Reflections on the accountability revolution”, Humanitarian Exchange Issue 52.
2 / Borton, John (2009) “Humanitarian Accountability Report”, HAP. 3 / Featherstone, Andy (2009): “Fit for the future? Strengthening the leadership pillar of humanitarian reform”, NGOs and Humanitarian Reform Project. 4 / Featherstone, Andy (2013): “Improving impact: do accountability mechanisms deliver results?”. A joint report by Christian Aid, Save the Children, the Humanitarian Accountability Partnership (HAP).
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 20 The Policy Landscape Wake up call for the humanitarian system
Though the shift in institutional norms Ombudsman systems, the project The timing was opportune. The around accountability cannot be found, only functioned in societies with previous year, another report reduced to a single event, the Rwandan well-established public services and had shocked the public and the genocide was a watershed moment.5,6,7 fair, effective and accessible judicial humanitarian sector when Save the The failure of the international system systems. The project was transformed Children UK and UNHCR reported to protect civilians launched greater into The Humanitarian Accountability sexual exploitation and abuse of scrutiny into the work of humanitarian Project, created to identify, test and disaster-affected people by aid aid organisations overall.8,9 The recommend alternative approaches workers and peacekeepers in shortcomings exposed in the Joint to accountability. After two years of several West African countries.10 Evaluation on Emergency Assistance field studies, pilots and research, it The ensuing scandal highlighted the to Rwanda (JEEAR) of 1996 – including concluded that accountability would dramatic imbalance of power between poor coordination, low accountability best be strengthened and implemented aid workers and crisis-affected to genocide survivors and aid being through the creation of a strong populations, and the resultant directed to perpetrators of violence international self-regulatory body, able potential for humanitarian workers to – provided a strong impetus for to insist on monitoring and compliance engage in extreme abuses of power the humanitarian community to while providing strategic and technical and egregious behaviour. As with professionalise its work, recognise the support to member organisations. This Rwanda, the humanitarian sector potential for abuse and adverse effects, recommendation was endorsed by the formally acknowledged its need to and create mechanisms to promote Chief Executive Officers of fourteen guarantee improved accountability and monitor positive outcomes. humanitarian organisations in January to crisis-affected populations, and The Rwanda experience propelled 2003. Two months later, HAP was numerous efforts were initiated to NGOs and visionary individuals, formally registered as an association address this gap and realign the with the support of donors, to move in Geneva. aid system. Two of the principal accountability beyond just a financial responses were the development of dimension. As a result, between 1997 Inter-Agency Standing Committee and 2003, some pillars of the current (IASC) guidelines to prevent sexual quality and accountability system exploitation and abuse, and the were launched, including the Active establishment in 2004 of the Building A demand for accountability is Learning Network for Accountability Safer Organisations initiative (BSO). and Performance (ALNAP), People In a sign of pathology in the social Hosted by the International Council Aid, the Sphere Project, Management system. Such a demand, each of Voluntary Agencies (ICVA) and Accounting for Non-Governmental time it has occurred during the subsequently by HAP, BSO’s aim Organisations (MANGO), HAP and the past century, has been a sign was to develop capacity within the Good Humanitarian Donorship (GHD) of discontent: those in charge humanitarian system at large to initiative. of services are believed to be investigate allegations of sexual inefficient, insufficiently honest, exploitation and abuse.11 These developments intersected or not self-critical with pre-existing efforts focused on More recently, accountability is back humanitarian accountability. In the Lee J. Cronbach, 1980, Toward Reform of at the forefront of the humanitarian late 1990s, a project had explored the Program Evaluation policy agenda. Discussions in the feasibility of an ombudsman system for development sector about aid the humanitarian sector but concluded effectiveness have crossed into the it was not a realistic approach. humanitarian sphere, with demands
5 / Borton, J., Hallam, A., and Brusset, E. (1996): “Humanitarian Aid and Effects, Study III, International Response to Conflict and Genocide: Lessons from the Rwanda Experience”. 6 / Dabelstein, N. (1996): “Evaluating the international humanitarian system: rationale, process and management of the joint evaluation of the international response to the Rwanda genocide”, Disasters, Vol. 20, No. 4. 7 / de Waal, A., Omaar, R. (1995): “The genocide in Rwanda and the international response”, Current History, Vol. 94, No. 591, p.156-161. 8 / Donini, A. and Niland, N. (1994): “Rwanda: Lessons Learned, A Report on the Coordination of Humanitarian Activities”. 9 / Joint Evaluation of Emergency Assistance to Rwanda (1996): “The International Response to Conflict and Genocide: Lessons from the Rwanda Experience: Synthesis Report”. 10 / Naik, Asmita (2002): “Protecting Children from the Protectors: Lessons from West Africa”, Forced Migration Review. 11 / InterAction (2007): “The Latest Issues and Trends in International Development and Humanitarian Assistance: NGO Accountability”, Monday Developments, Vol. 25, No. 12.
2013 Humanitarian Accountability Report 21
Agencies used to be scared of accountability, but they aren’t anymore. There is a broad interest in finding ways A community health worker for Oganizasyon Sante Popilè to do it well. It would be rare to show up at an emergency (OSAPO), speaks to residents of Montrouis, Haiti, about today and not see some form of accountability in action steps they can take to prevent the spread of cholera, which appeared on the quake-ravaged Caribbean island nation in late 2010. OSAPO’s work is supported by Diakonie Andy Featherstone, author of “Improving Impact: Katastrophenhilfe and the Lutheran World Federation, Do Accountability Mechanisms Deliver Results?” both members of the ACT Alliance © Paul Jeffrey /ACT
Public response from UN Officials on accountability “Our ultimate accountability as humanitarians is to the people we serve. to demonstrate ‘value for money,’ And we must serve them as people, in a manner that affirms individual something made even more pressing dignity […] ‘accountability’ must manifest itself in results on the ground by the global financial crisis. Alongside that protect and improve the basic quality of life for those at risk from the growing concern about value for conflict or disasters.” Jan Egeland, Emergency Relief Coordinator, money there is also a resurgence of Humanitarian Exchange, 2005 interest in demonstrating results and The UN system of funds, programmes and specialized agencies must all 12 impact. This has been accompanied be clearly accountable “to both their governing bodies and the people they by questions about how well the serve.” Kofi Annan, In Larger Freedom: Towards Development, Security humanitarian sector learns from and Human Rights for All, 2005 its mistakes: although the sector is certainly not short of evaluations – “Let’s not forget that refugees and other persons of our concern there are over 1200 reports in ALNAP’s come – always – first. Everything else should be a function of that […] Evaluative Reports Database (ERD), Accountability takes many forms, but our first responsibility is of course to many of which are based on ALNAP’s the refugees, stateless, and internally displaced persons we are charged landmark methodology13 – experience with caring for and protecting.” Antonio Guterres, UN High Commissioner shows that lessons are more often for Refugees, 2005. ‘identified’ rather than ‘learned.’
12 / Knox-Clarke, P. and Mitchell, J. (2011): “Reflections on the accountability revolution”, Humanitarian Exchange Number 52. 13 / ALNAP (2006): “Evaluating Humanitarian Action Using the OECD-DAC Criteria”.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 22
GRAPH 10 years later A VOICE members involvement in Q&A Progress to date 2006 As the demand for greater Note: This graph only counts 2008 accountability has grown, so too has ‘sign-ups’ to different initiatives 96 associated with quality and 2010 the commitment of humanitarian 93 accountability. VOICE members 2012 actors to improve their practice. VOICE, also report wide use of Sphere, 87 but this is not quantifiable by a network representing 82 European sign-up, and therefore not NGOs active in humanitarian aid reflected here. worldwide, has tracked its members’ involvement in accountability initiatives
– ALNAP, HAP, and People in Aid – 57 from 2006 to 2012 and has seen a 55 49 notable increase over the years. 42 38 39 The 2010 ALNAP State of the 34 32 31 Humanitarian System report and results 27 27 from the annual HAP Accountability Perceptions Survey both demonstrate 16 18 that humanitarian organisations have made progress towards greater accountability to the people they aim Red Cross Code of ALNAP member HAP member People In Aid to assist, although ALNAP describes Conduct signatory member progress as ‘patchy,’ and the results are based on perceptions, which are only indicative of reality. Nevertheless, the Accountability Perceptions Survey The annual HAP perception survey showed that the level of perceived The “Perceptions of Accountability in Humanitarian Action” survey, the only one accountability towards all ‘assisted of its kind in the aid sector, is a tool designed by HAP to monitor the evolution of populations’ has increased over the perceptions regarding the accountability to affected populations of humanitarian and development aid organisations. The surveys have been conducted since 2005 last 8 years, as shown in graph B. and been answered by almost 4,000 humanitarian professionals in total. Though In particular, the results highlight only indicative of a trend in the sector due to changing sample, the survey gives that while accountability to donors a sense of how perceptions of accountability have changed over the years. remained high, perceived accountability Number of respondents per year: 2012 (509); 2011 (756); 2010 (781); 2009 (377); to affected populations has increased 2008 (658); 2007 (291); 2006 (165); 2005 (320); Total (3857) significantly between 2005 and 2012.
GRAPH Evolution of the share of respondents who perceived a high level B of accountability to assisted populations and to o fficial donors *Unit in percentage
81 79 80 76 74 74
Official 59 donors 57 51
39 41 37
25
16 13 Assisted 8 population 2005 2006 2007 2008 2009 2010 2011 2012 Graph based on data from the HAP Perceptions of Accountability in Humanitarian Action Survey
2013 Humanitarian Accountability Report 23
The increased prevalence of policy and documents, it certainly looks As recently as 2010, a Peer Review discussions around accountability that way. But does everyone agree on of the Steering Committee for and the popularity of quality and what accountability means and what Humanitarian Response (SCHR)20 came accountability initiatives does not it is meant to achieve in practice? to the conclusion that “staff across all guarantee immediate results, as the organisations called for a more findings from responses to major crises precise discourse on accountability to of the past decade have demonstrated. disaster-affected persons, unpacking The past ten years have also seen a Defining and unpacking the term and using explicitly the dramatic increase in media coverage of accountability specific component elements that natural disasters and conflicts, placing ‘accountability’ implies.”21 Although there are many definitions humanitarian work under increasing of accountability, one that is levels of global scrutiny. Media This issue is critical because, more specific to crisis-affected criticism of large-scale humanitarian as Paul Knox-Clarke and John communities says that “accountability responses has prompted demands for Mitchell of ALNAP explain: “For the is the responsible use of power,”18 greater oversight within the sector. For humanitarian system to be accountable highlighting the imbalance between aid example, after the Indian Ocean tsunami everyone within that system must organisations and local communities of 2004, the New York Times drew have a common understanding in the context of natural disaster and attention to humanitarian organisations of what accountability to affected crisis. A key achievement of the 2007 for doing more harm than good during populations means. This requires a HAP Standard, and also of ECB’s the highly funded and widely publicised common understanding and set of 14 2007 Good Enough Guide For Impact response. Similar remarks were commitments, as well as a practical aimed at the responses to the 2007 Measurement And Accountability way to take these commitments earthquake in Pakistan or the 2010 In Emergencies, was to unpack forward. Such commitments would earthquake in Haiti. In all cases, the accountability by defining benchmarks provide […] coherence and a clear magnitude of the crises and the highly and commitments respectively. understanding of what accountability to public media coverage exposed the In 2012 the IASC adopted similar affected populations really means.” 22 inability of the system to work under commitments, thereby further Statements such as these indicate that certain circumstances, and highlighted reinforcing the coherence around while accountability is much discussed, the need for improvement. what the sector understands by further action is needed to demystify accountability to affected populations. what best practice actually is, and then As can be seen in Table A, these communicate this. benchmarks and commitments An ‘accountability are hardly ground-breaking or revolution’? controversial. An entire industry has developed to service the call for greater Despite this, many point out that the humanitarian accountability. multiple definitions of accountability Certification and rating systems, make it difficult to know how to transparency schemes, evaluation implement it and what success techniques and audit schemes have looks like. As one interviewee put it, multiplied. The expansion has been “accountability has now become part so prolific that it has been called an of our day-to-day jargon, but that’s a “accountability revolution”15,16 and disadvantage in many ways. Once you the trend has gained considerable start asking staff from humanitarian momentum, to the extent that it is agencies what they understand by now considered a well-established accountability you quickly discover approach to improving humanitarian that comprehension varies a lot action.17 Looking only at initiatives depending on who you are talking to.”19
14 /Wright, Tom (2005): “UN Failed to Coordinate Tsunami Relief, Red Cross Report Says”, NY Times, October 2005; and Rosenberg, Tina (2013): “When Food Isn’t the Answer to Hunger”, NY Times, April 2013. 15 / Davis A. (2007): “Concerning accountability of humanitarian action”, Humanitarian Practice Network, Paper No. 58. 16 / Andy Featherstone, interview. 17 / Borton J., Hallam A., Brusset E. (1996): “Humanitarian Aid and Effects. International Response to Conflict and Genocide: Lessons from the Rwanda Experience”. 18 / HAP definition. 19 / Jock Baker, interview. 20 / More information at www.schr.info 21 / SCHR (2010): “SCHR Peer Review on Accountability to Disaster-Affected Populations: An Overview of Lessons Learned”.
22 / Knox-Clarke, P. & Mitchell, J.(2011): “Reflections on the accountability revolution”, Humanitarian Exchange Number 52.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 24
TABLE A Three perspectives on accountability
HAP first published its Standard in 2007, and revised it in 2010 A to reflect the learning that took place in the first three years it was used by its members. The Standard comprises six benchmarks. The Emergency Capacity Building Project’s five key elements of accountability B were formalised in their current form in 2010, and are mirrored by the IASC Commitments on Accountability to Affected Populations adoptedC in 2011. While the terminology referring to the different benchmarks and commitments differs, the requirements behind them are very similar and offer a common framework for the sector.
Commitments on accountability 2010 HAP Standard benchmarks Elements of accountability (ECB) to affected populations (IASC)
Benchmark 1 Establishing and delivering Leadership / governance: Leadership / governance on commitments
The organisation sets out the The extent to which leaders and managers in Leaders and managers commitments that it will be agencies articulate what accountability means demonstrate their commitment held accountable for, and how to them and to the organisation; the extent to accountability to affected they will be delivered. to which policy and practice is explicit about populations by ensuring feedback expectations around accountability and the and accountability mechanisms are extent to which accountability is modelled and integrated into country strategies, Benchmark 2 demonstrably valued by leaders and managers. programme proposals, monitoring Staff competency and evaluations, recruitment, staff inductions, trainings and performance management, The organisation ensures partnership agreements, and that staff have competencies highlighted in reporting. that enable them to meet the organisation’s commitments.
Benchmark 3 Transparency Transparency Sharing information
The organisation ensures that The provision of accessible and timely Provide accessible and the people it aims to assist information to stakeholders and the opening timely information to affected and other stakeholders have up of organisational procedures, structures populations on organisational access to timely, relevant and and processes that affect them. To be procedures, structures and clear information about the transparent an organisation needs to do processes that affect them organisation and its activities. more than disclose standardised information. to ensure that they can make It also needs to provide stakeholders informed decisions and choices, with the information they require to make and facilitate a dialogue informed decisions and choices. In this way between an organisation and transparency is more than just a one-way its affected populations over flow of information; it is an on-going dialogue information provision. between an organisation and its stakeholders over information provision.
A / www.hapinternational.org/pool/files/2010-hap-standard-in-accountability.pdf B/ www.ecbproject.org/downloads/resources/keyelements-of-accountability-forecbagencies-final.pdf C / www.humanitarianinfo.org/iasc/downloaddoc.aspx?docID=6514&type=pdf
2013 Humanitarian Accountability Report 25
Commitments on accountability 2010 HAP Standard benchmarks Elements of accountability (ECB) to affected populations (IASC)
Benchmark 4 Feedback (a subset of which Feedback and complaints Handling complaints is dealing with complaints)
The organisation enables the The systems, processes, attitudes and behaviours Actively seek the views of people it aims to assist and other through which an organisation can truly listen to affected populations to stakeholders to raise complaints its stakeholders. Feedback is an essential part improve policy and practice and receive a response through of the above three dimensions and essential for in programming, ensuring an effective, accessible and organisations to understand whether they are that feedback and complaints safe process. meeting the agreed needs / wishes or wants mechanisms are streamlined, of their stakeholders. An organisation that appropriate and robust enough actively seeks to improve policy and practice to deal with (communicate, on the above three dimensions will decrease, receive, process, respond to significantly, the number of complaints it and learn from) complaints receives. Organisations should ensure that they about breaches in policy and have feedback mechanisms in place throughout stakeholder dissatisfaction. their programmes, and that these are robust enough to support complaints about breaches in policy and stakeholder dissatisfaction. Oversight of these mechanisms allows the study of trends and/or areas of concern that will then allow appropriate corrective ‘corporate’ action to be triggered.
Benchmark 5 Participation Participation Participation
The organisation listens to The process by which an organisation Enable affected populations the people it aims to assist, enables key stakeholders to play an active to play an active role in the incorporating their views and role in the decision-making processes decision-making processes analysis in programme decisions. that affect them. It is unrealistic to that affect them through expect an organisation to engage with all the establishment of clear stakeholders over all decisions all of the guidelines and practices to time. Therefore the organisation must have engage them appropriately clear guidelines (and practices) enabling it and ensure that the most to prioritise stakeholders appropriately and marginalised and affected are to be responsive to the differences in power represented and have influence. between them. In particular, mechanisms need to be in place to ensure that the most marginalised and affected are represented and have influence.
Benchmark 6 Design, monitoring Design, monitoring and evaluation Learning and continual and evaluation improvement
The organisation learns from Encompasses the processes through which Design, monitor and evaluate experience to continually an organisation, with involvement from the goals and objectives improve its performance. key stakeholders, monitors and reviews of programmes with the its progress and results against goals and involvement of affected objectives; feeds learning back into the populations, feeding learning organisation on an on-going basis; and back into the organisation on an reports on the results of the process. To on-going basis and reporting increase accountability to stakeholders, on the results of the process. goals and objectives must be designed in consultation with those stakeholders.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 26
Too much of a good thing?
Is the sheer number of accountability of actors often in parallel to, and with has resulted in weak synergies. Yet initiatives, standards, guidelines limited engagement with, initiatives the multiplication of new initiatives and frameworks part of the that are quite closely related. Given can also be a benefit. Competition problem? Many humanitarians – and the apparently high level of activity triggers innovation and pushes particularly those working at the field and effort underway, it is legitimate to everyone to perform at their best. level – say they are confused by the It also provides a wider diversity 23 ask what factors may be contributing variety of approaches. As the 2009 of approaches, better able to fit to the ‘disjointedness’ and what steps HAR reported: “New initiatives seem the needs and sensitivities of aid might be considered for improving to be established with little apparent organisations and the different the situation.”24 It can be argued reference to, or coordination with, contexts in which they operate. existing initiatives and programmes. that a lack of communication within Similarly, existing initiatives are being organisations and, sometimes, poor carried forward by different groups coordination between organisations
GRAPH Initiatives C Evolution of Q&A initiatives And Instruments Standards & guidelines Codes of conduct & charters
10 11 12 15 20 23 25 33 35 39 42 46 50 60 74 88 103 114 127 136 145 146 147
42 42 42
40
36
34
34 41 39 40
34 32 32
28 29
24
28 64 64 64 62 17 59
23 52 21 12 45 20 19 39 18 8 17 33 14 7 7 24 7 14 6 20 12 5 18 5 15 10 3 14 12 6 6 7 11 8 3 3 2 2 2 2 5 6 2 3 3 3
1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
For the complete data from which this graph was derived, visit www.hapinternational.org/pool/files/total-number-of-q&a-initiatives-per-year.xlsx
23 / Knox-Clarke, P. and Mitchell, J. (2011): “Reflections on the accountability revolution”, Humanitarian Exchange Number 52. 24 / Borton, John (2009): “Humanitarian Accountability Report”, HAP.
2013 Humanitarian Accountability Report 27
Policy GRAPH developments Do you feel that your organisation is doing D enough to ensure humanitarian accountability? The accountability movement is situated within a decade of evolving policies Percentage of and approaches to humanitarian work. respondents that answered ‘Yes’ In March 2005, the Paris Declaration was signed by over 100 countries and organisations. The declaration identified five fundamental principles for improving aid effectiveness: ownership, alignment, harmonisation, results, and mutual accountability.25 Although the Paris Declaration and subsequent
Accra Agenda for Action pertained more 63% 66% 71% 39% to development than humanitarian interventions, this was an important advance in acknowledging the link between improved aid effectiveness and accountability.
Accountability has featured prominently HAP Agencies partnering Certified HAP Agencies with members with a HAP member members no relationship in publications over the past few years. with HAP In 2011, The Humanitarian Practice Graph based on data from the HAP Perceptions of Accountability in Humanitarian Action Survey, 2012 Network dedicated an entire issue of its Humanitarian Exchange Magazine to it. Monday Developments, InterAction’s responsibility and partnership. Explicit of clusters actively promoting magazine, also had a full issue devoted reference to accountability to affected participatory or community-based approaches among their members. to accountability in 2007, and VOICE also populations was not included in this The review also found that clusters examined quality and accountability in policy; it focused more on accountability had not “been active or effective one of its monthly newsletters, VOICE between cluster agencies (both within in strengthening participatory Out Loud, in October 2012. In addition, the cluster and among cluster lead approaches, either by promoting many academic institutions are studying agencies) and to host governments. participatory or community based accountability and its application in approaches among their members, the humanitarian and development A year later the IASC Interim Self- or through including affected spheres. These include the Institute Assessment of the Implementation of populations in their own activities,” 31 for Development Studies,26 the the Cluster Approach acknowledged and that most clusters failed to Overseas Development Institute,27 the this gap, stating that “there is concern communicate their work effectively. Harvard Humanitarian Initiative28 and among field staff that more needs to be the Feinstein International Center at done to ensure greater accountability 29 One year after the evaluation findings, Tufts University. to recipients of assistance and that this the 76th IASC Working Group has not been adequately addressed meeting in New York included a within the cluster approach, to date.”30 session on accountability to affected This sentiment was reiterated in the populations and concluded that “all Accountability and the UN NGOs and Humanitarian Reform study IASC organisations, Clusters and of 2009, which strongly criticised the Humanitarian reform IASC subsidiary bodies should give humanitarian reform process for the priority to exploring accountability to In 2005, the UN introduced the limited attention given to accountability affected populations in their guidance Humanitarian Reform Process to affected populations. and practice, in particular through to improve the effectiveness of better information sharing, increased humanitarian response through The second IASC cluster evaluation participation and feedback complaints greater predictability, accountability, in April 2010 found little evidence mechanisms.”32
25 / The Paris Declaration on Aid Effectiveness (2005) and the Accra Agenda for Action (2008). 26 / Publications include: Newell, P. & Bellour, S. (2002): “Mapping Accountability: Origins, contexts and implications for development”, IDS Working Paper 168; Newell, P. & Wheeler, Joanna (2006): “Making Accountability Count”, IDS Working Paper; Eyben, R. (2008): “Power, Mutual Accountability and Responsibility in the Practice of International Aid: A Relational Approach”. 27 / Publications include: Davis, A. (2007): “Concerning Accountability of Humanitarian Action”, Humanitarian Policy Network Paper 58. 28 / HHI has been conducting research specifically on quantitative indicators and impact of humanitarian accountability. A formal research collaboration between the Harvard Humanitarian Initiative and the Humanitarian Accountability Partnership (HAP), has been created. 29 / The Feinstein International Center is pursuing three critical lines of applied research. First to understand the role of empirical evidence in driving humanitarian assistance programming including researching how institutions evolve and adapt and how to promote better accountability and professional competency in the humanitarian field. 30 / IASC (2006): “IASC Interim Self-Assessment of Implementation of the Cluster Approach in the Field”. 31 / Steets, Julia, François Grünewald, Andrea Binder, Véronique de Geoffroy et al. (2010): “Cluster Approach Evaluation: Synthesis Report”. 32 / Borton, John (2010): “Humanitarian Accountability Report”, HAP.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 28
Transformative Agenda national level, many social services effective aid. Many large international that traditionally were in the purview NGOs have adopted accountability The Transformative Agenda is of government are today delivered frameworks,implemented information broadly seen as the successor to the through NGOs. In recent years, sharing practices, participatory Humanitarian Reform process. In 2011, however, the legitimacy of NGOs has methods, and complaints and the IASC Principals adopted the five been challenged by the media and feedback mechanisms. Some have Commitments on Accountability to the general public, and questions had greater success than others, Affected Populations (CAAP) as part about NGO effectiveness and and a body of literature capturing of this agenda, and an Operational appropriateness as social service NGO lessons and experiences Framework developed by the Sub- providers have called into question implementing accountability Working Group on Accountability to their levels of accountability. 37 There mechanisms is featured on HAP’s Affected Populations. The Operational has been increasing pressure on and ALNAP’s websites. An analysis Framework is aimed at field NGOs to provide evidence that they of these reports shows that there practitioners and structured around are having a positive impact and are have been many perceived benefits different phases of the programme effectively representing those they of accountability including increased cycle. It provides guidance to improve claim to support.38 sustainability, empowerment, participation, information provision, efficiency through better targeting, and handling feedback and complaints In response to these concerns, a staff security, recipient satisfaction 33 from crisis-affected people. number of watchdog organisations and ownership, reduced corruption, have arisen to monitor the work of and improved organisation-recipient The Sub-Working Group also NGOs. These include NGO Watch, relations. However, with the exception developed a set of tools to assist NGO Monitor (on the Arab-Israeli of a few studies such as the Save organisations in meeting their AAP conflict specifically), Accountability the Children, Christian Aid and commitments34 based on HAP, the Alert (in Sierra Leone), as well as HAP research on the effectiveness Sphere Core Standards, the People In rating systems such as Charity of accountability mechanisms, the Aid code, the Do No Harm framework Navigator, Charity Watch, Guidestar, evidence linking accountability and and the ECB Good Enough Guide. Philanthropedia and GiveWell. These quality of response is still minimal. The CAAP and the tools go a long have attempted to promote greater way in articulating a shared vision of financial transparency within the what an accountable humanitarian NGO community. Charity Navigator Donor policy system would look like. However, is rolling out a Results Reporting despite this rhetoric at policy and dimension (referred to as Charity Balancing accountabilities global level,effective communication Navigator 3.0) which among other is lacking, the roll out is slow and few aspects, includes ‘constituent voice’ Traditionally, accountability has meant UN staff have noted change in UN as one of the criteria by which accounting for funding to donors. action or even heard of these policies agencies are rated. It will assess However, donors are increasingly at field level. As one interviewee close whether and how well a charity supportive of mechanisms that seek to the development of the tools said: collects and publishes feedback from input from crisis-affected people. 39 “It’s a positive step, but it hasn’t been its primary constituents. Although at Many have instituted funding policies disseminated at all. If you go to the the time of writing this has not been that prioritise accountability to field, I would wager 99% of field fully implemented, this initiative has affected populations and request staff haven’t heard of it. So it’s still the potential to push organisations to evidence of participation in project 35 a rhetorical instrument.” gather feedback from communities, reports. Major donors such as use it to inform their programming OFDA, ECHO and DFID all have clear and openly share it. policy links between humanitarian NGOs and accountability intervention and accountability to An array of approaches affected populations, which frequently NGO legitimacy in question refer to participation as part of the Amidst this climate, NGOs have made means to achieve these objectives.40 As a de-facto partner in the strides in advancing accountability establishment of global norms and to disaster-affected populations. In Although donor rhetoric has changed standards, negotiating, influencing the past decade, they have become for the better, it remains to be and proposing policy solutions to more professionalised and instituted seen how much these policies are major international crises, NGOs a multitude of tools, mechanisms, and influencing organisations’ behaviour wield significant power.36 At the standards to provide principled and and how these statements have
33 / IASC: “Key Messages: IASC Transformative Agenda”. 34 / The tool was developed by FAO in consultation with the IASC Sub Group on Accountability to Affected Populations and with the input of participating quality and accountability initiatives and humanitarian agencies. For more details see 35 / Zia Choudhury, interview 36 / Jordan, Lisa (2005): “Mechanisms for NGO Accountability”, GPPI Research Paper Series No. 3. 37 / Ibid. 38 / Lloyd, Robert and de las Casas, Lucy (2005): “NGO self-regulation: enforcing and balancing accountability”.
39 / Charity Navigator (2013): “Results Reporting Concept Note: The Third Dimension of Intelligent Giving”.
2013 Humanitarian Accountability Report 29
made any contribution to altering DFID: Support to information of affected populations.42 While some the uneven power structure within and feedback work by CDAC and donors have incorporated flexibility of the aid industry. One donor initiative Infoasaid, a Danish Refugee Council grants into their funding approaches, put into practice is the U.S. Agency (DRC) mobile phone aid recipient it is not always easy for agencies to be for International Development feedback project in Somalia able to enact programme changes that (USAID)’s five-year partnership may emerge as a result of consultation with Transparency International OFDA: Capacity building for with affected communities. This preparedness of Tearfund’s Pakistan (TIP) to establish an “Anti- requires a good relationship with the local partners Fraud Hotline” project to ensure donor, and to some extent depends transparency and the prevention of on the level of risk that the donor is corruption in projects. Other donors DG ECHO: Capacity building in the Global WASH Cluster which includes prepared to take in the initial stages such as DFID are conducting their of a proposal or programme. 43 own research on the effectiveness of participation, pre-disaster and complaints handling. The 2012 Review needs surveillance/contingency 41 of Existing Practices to Ensure planning in Afghanistan Donor commitments Participation of Disaster-Affected Communities in Humanitarian Aid While donors have improved policy, There have been a number of initiatives Operations reported a number of in practice, humanitarian staff over the past decade to create examples of donors supporting an often cite time consuming reporting greater donor accountability towards increasing diversity of initiatives requirements, financing constraints and aid recipients. In 2003, the Good that focus on different elements of tight deadlines for proposal submissions Humanitarian Donorship (GHD) meeting participation. These included: as factors which hinder participation resulted in 23 Principles of Good Practice.
GRAPH E Participation and the project cycle D egree o egree f participation
Diagnosis Design Implementation Monitoring Evaluation
Participation is Very rare Frequent instrumental Rare in Extremely rare in mainly linked to involvement of the participation where the monitoring evaluation, even data collection population at the populations are requested if the current design phase and to contribute in kind, trend is to push project preparation in labour if not cash for beneficiary involvement at this stage
Graph adapted from Grünewald, F., and de Geoffroy, V. ‘Principle 7 of the Humanitarian Donorship Initiative,’ Groupe URD, 2008
40 / Barry, N & Barham, J (2012) Review of existing practices to ensure participation of disaster affected communities in humanitarian aid operations 41 / Ibid. 42 / Ibid. 43 / Ibid.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 30
Major donor policy statements relating to accountability to affected populations
Adapted from: Barry, N & Barham, J (2012) Review of existing practices to ensure participation of disaster affected communities in humanitarian aid operations The Australian Government Overseas Aid Program’s (AUSAID) Humanitarian Action Policy 2011 states that humanitarian assistance: “requires the active participation of people affected by disaster in order to be effective” (p. 49). The core policy outcome is one that “meets the need and is accountable to affected populations.” Performance evaluation on any accountable and inclusive humanitarian action will be judged on “detailed evaluations and external reviews of individual humanitarian responses that will include questions on the extent to which affected populations and vulnerable groups were involved in planning.” (p. 58) Furthermore, their policy states that “Australia supports the involvement of affected people in the design, implementation, monitoring and evaluation of humanitarian action. We recognize that the best people to determine what is needed are the affected people themselves. Implementing agencies need to provide sufficient information, use participatory methods and offer opportunities for affected people to have their complaints heard and resolved safely.”
The Canadian International Development Agency’s (CIDA) Guidelines for Emergency Humanitarian Assistance Project Proposals and Reports 2006 explicitly states the value of participation which, “Seeks to to significantly involve targeted, affected populations in decision making relating to needs assessment, programme design and implementation. Special measures may be needed to gain the views and perspectives of minority groups, and of women and youth given that they are often excluded from decision making forums.” (p.13)
Denmark’s Strategy for Danish Humanitarian Action 2010-2015 Addressing Vulnerability, Climate Change and Protection Challenges states: “Denmark is committed to focusing on the impact of its humanitarian action and to ensuring accountability to its stakeholders. These include in particular those affected by humanitarian action but also parliamentary and public stakeholders in Denmark, as well as other national and international partners[…] Demark will[…] help strengthen accountability towards beneficiaries.” (p.35)
European Commission Humanitarian Aid Office (ECHO) established conditions that NGOs must meet in order to receive funding. ECHO requires all potential partners to sign a Framework Partnership Agreement, which commits them to meeting minimum standards in their internal procedures and programming before they can apply for funding. ECHO’s Single Form 29 expects a stakeholder analysis to be carried out and asks the contracted organisation to “describe to what extent and how the direct beneficiaries were involved in the design of the Action.” (p 2)
The Netherlands Ministry of Foreign Affairs Aid for People in Need: Policy Framework for Humanitarian Aid 2012 includes a section on accountability to aid recipients. “Traditionally we associate accountability primarily with donors. The Netherlands will make humanitarian organisations more accountable for their communications with aid recipients. If these organisations fail to account for themselves adequately, ultimately the Netherlands’ financial contribution will be called into question.” (p.12)
The Swedish International Development Agency’s (SIDA) Strategy for Humanitarian Assistance 2011-2014 has as its 7th goal the increased participation of the affected population. “To achieve this goal, support will be provided to efforts that aim to enhance the capacity of the affected population to demand accountability from local and national authorities and institutions as well as humanitarian organisations. Through agreements with partner organisations, SIDA will ensure in particular that the affected themselves – vulnerable women, men, young people, boys and girls – are, as far as possible, involved in the design, implementation and evaluation of the support they are expected to receive.” (p.10)
The Swiss Agency for Development and Cooperation (SDC) is committed to enhancing its results orientation, learning and effectiveness through more responsive and accountable programming. Encouraging a culture in which citizens participate in the planning, monitoring and evaluation of programmes and country strategies is essential for achieving these aims. SDC uses beneficiary assessment (BA), an evaluation approach used to increase its responsiveness and accountability to the citizens who are the intended direct and indirect beneficiaries of its work. The policy has three essential ingredients – participation, learning and responsiveness. Therefore, at minimum, any BA exercise must seek to better understand different groups of peoples’ perspectives on programme relevance and results to learn about effectiveness. Learning should lead to responses that improve SDC’s and its partners’ support for citizens’ development initiatives.
United Kingdom’s Department for International Development (DFID) Humanitarian Policy 2011 One of DFID’s primary humanitarian policy goals acknowledged: “The people who are on the receiving end of our assistance are rarely, if ever, consulted on how best their needs can be met or able to choose who helps them and how [...] This has long been recognised as a problem, but little has been done about it.” (p.16) DFID’s new Humanitarian Policy of 2011 looks to upward and downward accountability; under policy 5, point 19 they aim to: “Make beneficiary accountability a core element of DFID’s humanitarian work.” (p. 21) Further, DFID state that it will focus on improved evaluations that include the views of affected populations.
The United States Agency for International Development (USAID) Field Operations Guide for Disaster Assessment and Response 2005 stresses the important role of local participation: “Shelter needs should not be derived or assumed based on damage assessments alone, but also through interaction with affected populations. Therefore, timing, participation, and needs are critical elements of any intervention.” (2005 pp. iii-93) The current USAID Policy Framework (2011-2015) aims to “build in sustainability from the start” (p. IV) and “develop best practices for evaluations to assess impact and effectiveness.”(p. iii). USAID also places focus on improved evaluation via a new policy that states: “Evaluation in USAID has two primary purposes: accountability to stakeholders and learning to improve effectiveness.”
2013 Humanitarian Accountability Report 31
The principles provide both a framework The latest report from 2012 found standard for publishing information. to guide official humanitarian aid limited progress in consolidating The emergence of a comprehensive and a mechanism for encouraging good donor practices and reforming and workable data standard made greater donor accountability. The the sector.47 The report further stated it possible to turn rhetoric on donor GHD initiative includes two principles that since 2007, most donors have not transparency into reality. The IATI related to participation of crisis- significantly altered their approaches notes that once humanitarian funds affected populations: to apply good practices. It found that pass from donors to their first the current pace of reform efforts recipients, there is little transparency Principle 7. Request implementing is too slow for the humanitarian about the routes through which they humanitarian organisations to ensure sector to be able to adequately meet pass to reach affected populations. to the greatest possible extent, current needs, much less prepare for, Without better information on adequate involvement of beneficiaries anticipate, mitigate and respond to a the flow through subsequent in the design, implementation, trend of increasingly complex crises transactions, there is little scope to 48 monitoring and evaluation of in the coming decade. assess the efficiency of the system humanitarian response.44 or to meaningfully hold the chain of Furthermore, the HRI’s research in delivery of assistance to account. As one respondent from the Time to Principle 8. Strengthen the Colombia, Haiti, Pakistan, Somalia Listen (see section on information capacities of affected countries and Sudan in 2012 found that sharing below) consultations said: and local communities to prevent, decisions around aid allocations “International aid is like a large ice prepare for, mitigate and respond were not sufficiently transparent, cube. As it gets passed through many to humanitarian crises, with the and that donor governments are still hands, it becomes smaller. Some goal of ensuring that governments inconsistent in reporting assistance. beneficiaries get only a few drops.” 52 and local communities are better The research also found that able to meet their responsibilities funding decisions were not guided and co-ordinate effectively with by humanitarian objectives, and that humanitarian partners.45 accountability was largely perceived From self-regulation to by donors as an exercise on fiscal management and control of the certification? Three years after the launch of partners they fund, rather than about the GHD principles, however, the meeting the needs, priorities and In response to these shifts in the Tsunami Evaluation Coalition (TEC) aspirations of affected populations. 49 policy environment, there has been found the international appeals a corresponding growth in codes, system to have delivered funding standards and self-regulatory that bore little correlation with real Similar trends were found by another mechanisms that aim to verify the needs on the global level. The TEC organisation monitoring donor quality of humanitarian assistance. reported that “most donors did little transparency, Publish What You Fund, HAP and People in Aid are the to strengthen regulation and proved which was launched at the Accra High most recognised at an international lax in delivering on their GHD pledges Level Forum on Aid Effectiveness level. Other initiatives specifically especially with regard to promoting in 2008. In 2010 it published its first address accountability to affected accountability to beneficiaries.”46 assessment of donor behaviour on aid populations at a more local level. For transparency, the Aid Transparency example, the NGO Code of Conduct Assessment, concluding that the aid for Ethiopia and the NGO Code of information currently made available Conduct for Afghanistan both state Rating donor performance 50 by donors is poor. Two years later, that accountability to crisis-affected Every year since 2007, Spain-based the assessment (by then changed to people means involving them at all Development Assistance Research an index) found that although aid was stages of a decision-making process, Associates (DARA) has published becoming more transparent, progress from design to implementation to 51 the Humanitarian Response Index was slow and uneven. evaluation.53 Other codes such as (HRI). The HRI ranks donors on the Nigerian Code of Conduct go their performance in relation to In response to donor commitments even further, identifying the need principles and practice of the GHD, made in Accra, a group of donors for greater transparency to affected with the aim of improving the quality, launched the International Aid populations, and the importance effectiveness, transparency and Transparency Initiative (IATI). By early of having complaints mechanisms accountability of governments’ aid. 2011, IATI had developed a common through which concerns can be
44 / For more details, see Groupe URD (2008): “Principle of Good Humanitarian Donorship: A Policy Paper”. 45 / Good Humanitarian Donorship (2003): “23 Principles and Good Practice of Humanitarian Donorship”. 46 / Tsunami Evaluation Coalition (2007): “Synthesis Report, Expanded Summary: Joint evaluation of the international response to the Indian Ocean tsunami”. 47 / DARA (2011): “DARA/HRI Executive Summary/Summary of Key Findings”. 48 / Ibid. 49 / Ibid. 50 / Publish What You Fund (2010): “Aid Transparency Asssessment”. 51 / Publish What You Fund (2012): “Aid Transparency Index”. http://www.publishwhatyoufund.org/index/2012-index/executive-summary 52 / Anderson, Mary B., Danya Brown, Isabella Jean (2012): “Time to Listen”, p. 44. 53 / de las Casas, Lucy and Robert Lloyd (2005): “NGO self-regulation: enforcing and balancing accountability”.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 32
raised and addressed.54 The Pakistan the viability of a certification scheme large-scale disasters, also poses a NGO Forum Code of Conduct even for humanitarian organisations. The challenge to effective coordination and goes so far as to commit NGOs to project, which commits to build on the equitable distribution of assistance. communicate financial information in experience of HAP and the outcome John Holmes, the former Emergency a way that is accessible and intelligible of the Joint Standards Initiative, aims Relief Coordinator, noted this after the to the people they aim to assist.55 to identify the realistic components of Haiti earthquake response, stating: a certification system and then pilot “The influx of many hundreds of However, some have questioned and test these different options. The humanitarian organisations, many of whether accountability can truly be ultimate objective of the certification whom, while well-meaning, were not achieved through self-regulation system is to demonstrate which necessarily professional and well- and what has been achieved by these organisations are credible, reliable informed in their approach, posed a initiatives. As one interviewee stated, and trustworthy partners, committed huge challenge to coherence. A new “A key challenge is that Self Regulatory to effectively meeting current and system of certification of capacity and 60 62 Initiatives claim improved efficiency, future humanitarian needs. experience needs to be looked at.” effectiveness, and stakeholder satisfaction, and there are plenty of This is particularly important given Although there are still many issues case studies that show that they do the emergence of multiple new to resolve and many challenges in just that. However, I think in terms actors in the humanitarian sphere, potentially undertaking a humanitarian- of moving forward, we need to better many with little or no knowledge of wide certification scheme, the mere understand what and how SRIs achieve, humanitarian principles or experience fact that the weaknesses in the before we try to create new initiatives in humanitarian crises.61 In addition, humanitarian sector are being publically and ask CSOs to invest more time and the involvement of the military noted and efforts are being made to find money meeting their standards.”56 – particularly the militarization solutions to address them is a positive of UN peacekeeping operations development. The results of the SCHR certification project will provide further In 2010, shortcomings of the large- in Somalia, DRC and Mali – and insight into whether an independent scale humanitarian interventions private contractors in humanitarian certification system for the sector can in response to the Haiti earthquake operations has contributed to an ensure that aid efforts meet minimum and the Pakistan floods resulted in erosion of ‘humanitarian space’ in requirements for quality, effectiveness calls for more rigorous certification some situations. The growing numbers and accountability. within the humanitarian sector. of new and existing actors on the The main argument behind this is humanitarian stage, especially in that self regulation doesn’t go far enough and that certification would ultimately improve the quality of humanitarian response. Opponents to certification believe it would add another bureaucratic layer and inhibit innovation. Given the wide range of humanitarian actors, they say, a one- International agencies can give information to the people and size-fits all approach is not realistic. 57 tell the whole village so all the people will have the information Furthermore, certification systems about the projects and budget. When so many people know may be unaffordable for small the project, no one can manipulate it or do corruption. The NGOs with limited resources, and information is open to everyone create a barrier to entry. Finally they point out the lack of hard evidence Anderson, Mary B., Brown, D., Jean, I., 2013, Time to Listen: Hearing People on demonstrating certification systems the Receiving End of International Aid CDA Collaborative Learning Projects improve quality of aid delivery. 58
SCHR certification project
Recognising these deficits in 2012 the Steering Committee for Humanitarian Response (SCHR) 59 launched a two- year certification project to explore
54 / Ibid. 55 / Ibid 56 / Christina Laybourn, interview 57 / Antoine-Hoffman, Charles (2011): “NGO Certification: Time to Bite the Bullet?”, Humanitarian Practice Network Issue 52. 58 / Ibid. 59 / The SCHR is an alliance of nine of the world’s leading humanitarian organisations. Members include: Care International, Caritas Internationalis, International Committee of the Red Cross, International Federation of the Red Cross and Red Crescent Societies, Lutheran World Federation, Oxfam International, Save the Children, ACT Alliance, and World Vision International. 60 / SCHR (2013): “Overview of the SCHR Certification Project”. 61 / Ibid. 62 / Holmes, John (2010): “Learning the lessons of Haiti”.
2013 Humanitarian Accountability Report 33 Accountability in action
This section examines the progress made around accountability in light of practical tools and action. It is organised around the HAP benchmarks and provides a synopsis of the developments for each.
Benchmar k 1: Establishing and delivering on commitments The organisation sets out the commitments that it will be held accountable for, and how they will be delivered
Benchmar k 2: Staff competency The organisation ensures that staff have competencies that enable them to meet the organisation’s commitments
Benchmark 3: Sharing information The organisation ensures that the people it aims to assist and other stakeholders have access to timely, relevant and clear information about the organisation and its activities
Benchmar k 4: Participation The organisation listens to the people it aims to assist, incorporating their views and analysis in programme decisions
Benchmark 5: Handling complaints The organisation enables the people it aims to assist and other stakeholders to raise complaints and receive a response through an effective, accessible and safe process
Benchmar k 6: Learning and continual improvement The organisation learns from experience to continually improve its performance
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 34
HAP Benchmark 1
Establishing and delivering on commitments
Country evaluations conducted by the Transparency can be improved UNDP Evaluation Office have emphasized through a commitment by response actors to proactive learning over accountability and have not measured performance against stated transparency, not just passive publication of operational data, intentions. Validation occurs only through accounts and reports infrequent audits
Joint Evaluation of the International Evaluation of Results-Based Management Response to the Indian Ocean at UNDP, 2007 Tsunami: Synthesis Report, 2006
Early promises were made that tens of thousands of houses would be built in a few months’ time […] Disaster- The culture will only reach affected people have shown a readiness to be patient in full maturity when the senior waiting for permanent housing, but they have been angered managers set the tone at the by false promises and the failure to plan for an inevitably top, bolstered with examples protracted transitional period. This state of affairs is a reflection of how agencies’ struggle for ‘turf’, by making for all to see of holding grand promises, has superseded accountability to the themselves accountable. […] affected populations In all of the organizations interviewed the study identified Links Between Relief, Rehabilitation and Development a gap in perception between the in the Tsunami Response, 2006 staff perception of the strength of their culture of accountability and management leadership and management’s view on the culture of accountability. The review concluded that transparency and a culture of accountability were a necessity Rather than merely forwarding recommendations / for the framework to move from complaints from the field, clusters need to improve their paper to implementation accountability systems so that they can monitor whether they have been acted upon and provide regular feedback Accountability Frameworks in the to their counterparts in the field and communities United Nations System, 2011
Inter-Agency Real-Time Evaluation of the Response to Cyclone Nargis, 2008
2013 Humanitarian Accountability Report 35
Successful management requires difficult for an organisation not to find for organisations working through identifying stakeholders, defining a suitable way to map and report on partners and to be usable for objectives, planning activities commitments given the many existing organisations working on development to meet these objectives and standards and codes of conduct programs. A Guide to the 2010 HAP disbursing resources accordingly. An organisations can subscribe to. Standard, which explains the links accountability framework does just between the different benchmarks and that by providing an overview of the In 2006, the INGO Accountability the rationale for adopting them as a standards, codes of conduct and other Charter was created. This codifies coherent quality assurance system, 64 commitments of an organisation. practices for INGOs in the areas of was published in 2013. Such a tool should be reported upon respect for universal principles, annually and be made public, in independence, responsible Humanitarian organisations can also order to allow internal and external advocacy, effective programs, non- chose to improve their quality and stakeholders to assess progress. discrimination, transparency, good accountability through a wide variety governance, ethical fundraising, and of systems such as ISO 9000, the professional management.63 The next SGS NGO benchmarking certification A range of frameworks year, HAP launched the 2007 Standard audit, Quality COMPAS, the People in Humanitarian Accountability in Aid Code of Good Practice in the Over the past ten years, the humanitarian and Quality Management, after a Management and Support of Aid sector has seen a multiplication broad consultation with staff from Personnel, or the European Foundation of new certification schemes and humanitarian organisations, donors, for Quality Management (EFQM).65 self-regulatory bodies, each with disaster survivors and quality reporting formats for both internal initiatives. The Standard was updated in and external regulation. It would be 2010 in order to include requirements
Southern-based initiatives Adapted from previous Humanitarian Accountability Reports, HAP
DENIVA – Development Network of Indigenous Project (GPP) since 2004, which aims to promote Voluntary Associations (DENIVA) and the NGO Quality professionalism and good practice within NGOs Assurance Mechanism (QuAM) have been working operating in Cambodia. CCC has become widely in Uganda since 1989, making DEVINA the oldest supported throughout the NGO community, both national platform in Uganda. The Network has within Cambodia and internationally. 800 members, 40 of which are certified. Pakistan Center for Philanthropy (PCP) – In 2003 Tanzanian National Council of NGOs (NACONGO) – PCP developed a framework for promoting regulation In March 2008, NACONGO published an NGO Code among national philanthropy organisations in of Conduct setting out the core values of member Pakistan. The centerpiece is a certification regime. organisations and the standards they will be expected By 2013, 200 organisations were certified. to maintain in relation to: financial transparency and accountability; human resources; communication and Philippine Council for NGO Certification – information sharing; relationships and networking. Established in 1998, the certification process involves Responsibility for assessment against the Code the review of audited financial reports, proof of rests with individual members. compliance with government rules and regulations and field visits to the programmes of applicant NGOs Viwango – An independent, standards setting and which are undertaken by trained volunteers. certification organisation for CSOs in Kenya. Viwango is Swahili for “Standards”. Their primary role is to Credibility Alliance – A consortium of Voluntary promote the adoption of minimum quality standards Organisations (VOs) committed towards enhancing by Civil Society Organisations (CSOs). Viwango aims Accountability and Transparency in the Voluntary Sector to improve the performance of a community of CSOs through good governance, the Credibility Alliance through the promotion and application of minimum aspires to build trust among all stakeholders through standards and voluntary, independent certification. improving governance and accountable practices within the voluntary sector. It has developed an Accreditation Cooperation Committee for Cambodia (CCC) – System and Peer Group Review Model based on its The CCC Executive Committee first drafted the Norms and Standards of Governance to strengthen and original Code of Ethics for NGOs in Cambodia in enhance the legitimacy and the credibility of individual 1995. CCC has implemented the NGO Good Practice organisations in the sector.
63 / International Non-Governmental Organisations Accountability Charter (2005). 64 / HAP (2013): “Guide to the 2010 HAP Standard in Accountability and Quality Management”. 65 / For a comprehensive list, refer to the One World Trust online database of civil society self-regulatory initiatives: http://www.oneworldtrust.org/csoproject
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 36
Information overload? As one interviewee noted, “the objective place, plans and allocates resources isn’t that you take them and mush towards achieving its objectives, While frameworks may exist on paper, them into one. The important notion and makes itself accountable by implementing them at field level can is to create an architecture using publicising its framework and be challenging. High staff turnover, the strengths of each that moves reporting on it, change can happen. the need to rapidly train new staff in the accountability initiative forward However, some note that the an emergency, and the wide variety and creates a framework for greater humanitarian sector has to go beyond of humanitarian organisations make professionalisation.” 70 At a joint just setting standards and creating it difficult to reliably and consistently meeting of the boards of the three frameworks. As a 2010 review from apply the main standards across the initiatves on May 16 in Geneva, the JSI Pakistan stated: “Standards alone system. Some note confusion by the initiatives agreed to the following: are not enough. For accountability number of handbooks, indicators and to be meaningful, it needs to be an approaches, potentially leading to The three initiatives will deliver a approach – a guiding framework – a ‘pick and choose’ attitude. Others verifiable Common Core Standard and not simply a set of mechanisms, observe inconsistent application of by the end of 2013. This Common forms and statistics, no matter how 71 the standards due to competing time Core Standard will be based on efficient these may be.” This was pressures and lack of accessibility humanitarian principles, will reiterated in the SCHR review, which and awareness.66 promote coherence and improved stated that “a systems approach to usability and access for aid workers accountability is insufficient. It only and agencies, and will put the voices takes an organisation so far down With the ever-increasing number the road to being more accountable. of frameworks, some argue that of affected populations at the heart of humanitarian action. Accountability is best addressed by humanitarian accountability is becoming inserting and embedding it in existing the victim of its own success and that procedures and tools – to make it part HAP, People In Aid and the Sphere the multiplication of standards has of how an organisation works in all Project will, through their global resulted in duplication and an overload its facets, not just programming.” 72 67 reach, provide joint awareness- of information for practitioners. The Turning the rhetoric into practice is the raising and support activities 2006 ECB-hosted conference in Rome biggest hurdle and where much of the around the Standard, aimed at aid on humanitarian accountability and accountability progress ends to date. standards acknowledged this problem, workers and humanitarian agencies. stating: “There are several quality and accountability initiatives, each with The three initiatives will collaborate its own standards for accountability. with other humanitarian actors The humanitarian sector needs better to develop a new standards integration of these initiatives architecture. This architecture will and standards.” 68 enable aid workers and agencies around the world to easily navigate Greater coherence and consolidation and put humanitarian principles, of standards and certification may the Common Core Standard and be coming in the near future. In 2009 technical standards into practice. the Sphere Project published Taking the Initiative: Exploring Quality And Linked to the JSI initiative, and due Accountability In The Humanitarian to present its conclusions mid 2013, Sector: An Introduction To Eight is the SCHR certification project, Initiatives. This publication aimed to presented earlier in this chapter, which address the “dearth of materials that has the potential to make certification introduce the initiatives in an integrated more mainstream and recognised in manner, describing how they differ the sector. from one another, how they can be used together and/or how they overlap.” 69 Two years later, HAP, People In Aid Necessary, but not and the Sphere Project embarked on sufficient a project called the Joint Standards Initiative (JSI) with the stated objective Frameworks are a useful tool. to explore ways to achieve greater When an organisation defines and coherence between their standards. summarises its commitments in one
66 / Schofield, R. (2012): “Joint Standards Initiative Introductory Materials for JSI Consultation”. 67 / Knox-Clarke, P. & Mitchell, J. (2011): “Reflections on the accountability revolution”, Humanitarian Exchange Issue 52. 68 / ECB (2006): “Translating Standards into Practice: NGO Accountability and Impact Measurement In Emergencies.” 69 / Sphere Project (2009): “Taking the Initiative: Exploring quality and accountability in the humanitarian sector (an introduction to eight initiatives)”. 70 / Peter Walker, director of Feinstein International Center (Tufts University), interview. 71 / Featherstone, A. (2010): “It’s the thought that counts: Humanitarian principles and practice in Pakistan,” ActionAid International. 72 / SCHR (2010): “SCHR Peer Review on Accountability to Disaster-Affected Populations: An Overview of Lessons Learned”.
2013 Humanitarian Accountability Report Kisumu Leonida Anyango, 84 years old, lives with five children and had been targeted as a beneficiary, but had not yet received any help, in 2007 © Kate Holt/HelpAge International
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HAP Benchmark 2 Staff Competency
The constant turnover of international Particularly during the first months of the emergency staff created difficulties for local response, staff turnover was officials and communities in terms of extremely high... [which] maintaining relationships and getting compromises the creation of context specific institutional earlier promises implemented memory Joint Evaluation of the International Inter-Agency Real-Time Evaluation in Response to the Indian Ocean Tsunami:
Haiti: 3 Months After the Earthquake, Synthesis Report, 2006 2010
Some of the staff deployed through these mechanisms did not have the necessary expertise, training and experience. Further, the high-volume of short-term assignments, from both internal and external surge capacity rosters, led to high turnover, which was disruptive to programming and created a heavy administrative burden that detracted from other tasks, such as identifying longer-term staff... It had also become clear that increasing numbers of staff were not necessarily resulting in better service delivery and programming, largely due to the lack of experience and knowledge amongst some staff... Although the team observed improvements over time in the living conditions of staff, their psychological welfare remained unaddressed, resulting in a high level of burnout, reduced productivity and tense working relationships. The needs and concerns of national staff were especially overlooked
Inter-Agency Real-Time Evaluation of the Humanitarian Response to the Darfur Crisis, 2006
Interviews with national organizations and national staff High turnover of staff in key of international organizations indicated that many lessons positions was a problem learnt from earlier humanitarian responses were re-learned after the cyclone, something that could potentially have been reduced if more experienced emergency responders had been From Early Warning to involved from the outset Reinforcing Resilience: Lessons Learned from the 2011-2012 Inter-Agency Real-Time Evaluation of the Response to Cyclone Nargis, 2008 Sahel Response, 2012
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Staff: an organisation’s management and support of staff during The Consortium of British the Rwanda crisis. Beginning in 1995, Humanitarian Agencies (CBHA) was biggest asset 12 organisations led a sector-wide founded in 2010 to increase the number collaboration and consultation from and competencies of potential leaders, An organisation is only as good as which the People In Aid Code of Good as well as increase the skills and its staff. The competencies they Practice was published in 1997 and knowledge base of humanitarian staff bring – knowledge, skills, attitudes revised in 2003. 74 The code is a quality already working in emergencies. In and behaviours – are critical to the tool which helps agencies improve their early 2012, the CBHA board approved success of any organisation. Aid accountability to various key stakeholders a framework for core and leadership organisations need to ensure they and contains seven key principles: competencies 76 with the intention to recruit people who have the required improve human resource efficiencies, 1.Human Resources Strategy skills, or provide them with the contribute to professionalisation in the necessary training and an enabling 2.Staff Policies and Practices sector, reduce the cost of staff turnover, environment. As highlighted in the and assert an operational perspective 3.Managing People Guide to the 2010 HAP Standard: “The on the design of academic and non- competency of staff will greatly affect 4.Consultation and Communication academic training programmes. To the quality of services received by support the competencies framework, crisis-affected people and determine 5.Recruitment and Selection ActionAid, People In Aid and other to what extent the intentions of the 6.Learning, Training and Development CBHA members developed a guide that organisation are reflected in practice. facilitates the use of the humanitarian Good people-management processes 7.Health, Safety and Security core competencies framework. are therefore critical to the delivery of quality and accountable services.” 73 People in Aid has also been a driving Individual organisations are also force in the sector to organise investing in leadership development. training, learning events and Save the Children has developed a The structure is in place research, covering issues directly Humanitarian Leadership Programme impacting accountability, such as with Deakin University in Melbourne, When compared to other benchmarks, staff turnover, surge capacity and Australia, which offers humanitarian it may seem there are fewer initiatives staff management. professionals from the Asia-Pacific working towards staff capacity, best region and beyond the opportunity to practice and training specific to the Continued professionalisation partake in a university-level graduate humanitarian sector, however, those programme and receive an Endorsed that do exist are well established. In 2009, the ELRHA was created with Programmed Certificate. The programme People In Aid provides a widely endorsed a vision of facilitating academic and is designed to enhance the skills, Code of Good Practice against which humanitarian partnerships in order to knowledge and leadership capability organisations can be certified, while focus research skills on issues relevant of current and future humanitarian initiatives such as RedR, the Consortium to aid organisations, and help develop leaders, and is run in conjunction with of British Humanitarian Agencies highly professional responders. In 2010 a number of large INGO partners. (CBHA), and Enhanced Learning and ELHRA commissioned a study entitled Research for Humanitarian Assistance Professionalizing the Humanitarian (ELRHA), together with dozens of Sector: A scoping study. The paper Still some way to go masters degrees and specialised documented the humanitarian sector’s training courses, offer both practitioners uneven provision of capacity building Investing in national capacity and students opportunities to acquire and fragmented and uncoordinated or reinforce the skills they need to be approaches to developing people and Aid organisations have long recognised successful humanitarians. Expectations teams. Tellingly, in spite of everything the need to train and develop. The towards staff behaviour have also been that has already been done, over 90% tendency to work under short-term codified. Since the adoption of theCode of the 1,500 people providing input to contracts, and the resulting high staff of Conduct for the International Red the study wanted to see humanitarian turnover (in particular for expatriates) Cross and Red Crescent Movement work further professionalised. The has however been a disincentive for and Non-Governmental Organizations study’s two main proposals were that investing in staff training. In the past (NGOs) in Disaster Relief in 1994, most a system of certification be developed few years, the sector has tried to aid organisations have adopted their to be applied at the international address this challenge by increasingly own or subscribed to a regional or level with capacity for national relying on local staff to deliver on its national code of conduct. implementation; and that a truly commitments. National staff have international professional association always comprised the majority of aid for humanitarian workers and the personnel, providing continuity in The People In Aid necessary supportive academic and protracted crises where expatriate aid framework training infrastructure be established. 75 workers seldom remain more than one The study also recommended further or two years. Today, national staff are People In Aid emerged as a result support to enhance the promotion and also increasingly being promoted to of a specific research project on the professionalisation of national staff. roles outside of their own country and
73 / HAP (2013): “Guide to the 2010 HAP Standard in Accountability and Quality Management”. 74 / People In Aid website: http://www.peopleinaid.org/code 75 / Walker, P. & Russ, C. (2010): “Professionalising the Humanitarian Sector”, ELRHA. 76 / The Competency Framework as well as the Guide can be found at: http://www.peopleinaid.org/cbha
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in more senior roles, thus leveraging Towards a common reinforced by situations where insecurity their institutional memory, familiarity framework limits the presence of international staff, with organisational culture, systems and perhaps also by the difference in and procedure, and often longer-term In spite of the work of CBHA and others remuneration levels. The result of this commitment to the organisation. to agree on a joint set of skills and a gap is that it is increasingly difficult However, although the sector is more standard curriculum for aid workers, for young graduates to find work, reliant than ever on local human there is still insufficient agreement while there is still a lack of training capacities, the 2013 People in Aid around what common skills, knowledge opportunities in the global South. Year in Review mentions frustration and competencies humanitarian aid amongst local professionals who are workers should possess and a lack of In response to the lack of agreed overlooked for jobs while witnessing established professional pathways. humanitarian occupational standards, aid organisations hire foreign staff and Additionally, while organisations can several NGOs, INGOs, learning consultants that are paid high fees as certify their human resources systems, providers and universities have “experts”, even though they are often there is no individual certification or developed their own personnel training 77 not familiar with the local context. universally recognised professional and capacity building approaches, association for aid workers. The and a number of independent The Listening Project also cites disconnect between the offering of initiatives have been created that numerous cases of local people being academic training and the needs of provide training to humanitarian disturbed by this recurring trend. the sector has grown over the past ten professionals. However, without an A community member in Sri Lanka years. Today, academic programmes are overarching framework to tie such expressed it concisely, saying: “Why don’t mostly offered in the form of full time initiatives together, the result has been you value local knowledge and capacity? master’s degrees in the global North, ad hoc training offerings, with gaps in We have engineers and experts too.” 78 while aid organisations increasingly provision and a lack of pathways and rely on their experienced national staff progression routes, both for those to provide leadership and respond to wishing to enter the sector and those Finding the right people emergencies. This tendency has been wishing to develop professionally.83
Participants at a 2009 ELHRA meeting recognised that the effectiveness of humanitarian services was negatively impacted A boy plays on a tank captured by rebel forces in Misrata, the besieged Libyan city where civilians and rebel forces were surrounded on three by an ‘immaturity’in the way the sides by forces loyal to Libyan leader Moammar Gaddafi sector invests in the learning © Paul Jeffrey /ACT and development of aid workers. OCHA also acknowledged this gap and has called for “getting the right individuals in place – with the requisite levels of knowledge, skills, experience and motivation” 79 The 2011 Humanitarian Emergency Response Review (HERR) report declared the“uneven quality of personnel” as a “major limiting factor in humanitarian response” and that “overall the level of professionalism in the humanitarian sector needs to be raised through better investment in skills and training.”80 People in Aid’s Year in Review noted that often, the wrong people are sent to do the job. 81 This skills gap is most prevalent when responding to emergencies, when the system struggles – and organisations compete – to find people with the right skills, experience and availability.82
77 / People In Aid (2013): “The State of HR in International Humanitarian and Development Organisations”. 78 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, CDA Collaborative Learning Projects. 79 / OCHA (2009): “HC strengthening: unfinished agenda”. 80 / Ashdown, Lord (Paddy) (2011): “Humanitarian Emergency Response Review”. 81 / People In Aid (2013): “The State of HR in International Humanitarian and Development Organisations”.82 / Baker, J. & Mbogha, E. (2009): “Final Evaluation of Oxfam’s North Kivu Emergency Response”, Oxfam. 83 / Russ, C. (2012): “Global Survey on Humanitarian Professionalism”, ELRHA.
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Challenges to Turnover in the sector has often represent a variety of professions, professionalisation been at least partly blamed on short from medical staff to engineers to funding cycles and the resulting job managers, whose jobs often have Numerous factors have contributed insecurity, and some donors have little in common except for their to the sector’s difficulty in improving tried to address this, in line with adherence to a shared set of values. staff competency. International their Good Humanitarian Donorship personnel may lack contextual commitments towards “longer term Nevertheless, the sector must 88 knowledge and appropriate language funding arrangements.” continue to professionalise, as well skills, as noted by OCHA in 2010. 84 as limit and mitigate the effects of Many aid organisations are still staff turnover. While preserving the perceived as ‘amateurish’ when it Possible ways forward identity and organisational culture of comes to preparing staff about the individual organisations, the sector should work to improve the coherence political contexts in which they are Structural issues specific to the 85 of approaches to make interagency going to work. On a more systemic humanitarian sector still pose a dialogue easier and shorten the level however, evaluations repeatedly challenge to truly investing in staff learning curve of staff when they move point to high staff turnover as a competencies. One proposal is to from one organisation to another. To critical contributor to shortcomings move towards individual certification achieve this, aid organisations need in major humanitarian responses in the same way professionals within over the last ten years. It has negative to continue building up the capacity of more established industries must their staff, in particular national staff, impacts on institutional memory and be certified. This would provide a and keep supporting efforts to work relationships forged at community baseline minimum requirement that towards a more harmonised set of level. The rapid turnover of all aid workers must achieve. It could skills. Academic institutions should expatriates is also cited by partners be a way to not only improve the skills better adapt their offer to the changing and local staff as being demotivating and knowledge in the sector, but also realities of the job market by targeting and having a negative impact on the demonstrate to affected populations more of their programs to field staff, quality of programmes.86 that people working on their behalf and making them more accessible to have certified expertise. Yet applying a national staff through distance learning Staff turnover not only makes it uniform certification across countries and short-term programmes. difficult to cultivate a professional would potentially exclude those workforce, it also allows people members of national staff lacking the to easily move onto another job educational background or technical without taking responsibility for expertise required, despite their past failures, something clearly considerable local knowledge and linked to People In Aid’s observation skill. Furthermore, there isn’t a clear that “organisations (particularly indication that this is feasible or even major international organisations) needed. While specific professions are not good at handling poor or such as doctors, engineers, or inadequate job performance.”87 architects are regulated, aid workers
In order to ensure you can be accountable to beneficiaries and donors you have to be accountable to staff
Jonathan Potter, Executive Director, People In Aid
84 / OCHA (2011): “OCHA Evaluations: Synthesis Report, 2010”, OCHA Occasional Policy Briefing Series Brief No. 5. 85 / Taylor, G. (2012): “The State of the Humanitarian System”, ALNAP. 86 / People In Aid (2013): “The State of HR in International Humanitarian and Development Organisations”. 87 / Ibid. 88 / Good Humanitarian Donorship (2003): “Principles and Good Practice of Humanitarian Donorship”.
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HAP Benchmark 3 Sharing Information
Information flow to communities was quite weak. The evaluation With few exceptions, there was little team’s extensive consultation evidence during FGD with communities that with affected communities clearly they were aware of what agencies were showed that communities did not planning to do with the information they know what they could expect to had collected from assessments or indeed receive or from whom which organizations were planning longer-
Inter-Agency Real-Time Evaluation of term engagements the Response to the February 2007 Floods and Cyclone in Mozambique, Inter-Agency Real-Time Evaluation of the Response 2007 to Cyclone Nargis, 2008
Communication has been a general issue in the response as many affected people If not aid, they at least wanted – and deserved – reliable were not properly informed about what information about recovery plans, they were expected to receive, when, by resources and methods to allow whom and for how long them take their own decisions. […] Reliable and timely information on programme criteria and content, Inter-Agency Real-Time Evaluation of the planned activities, beneficiary Humanitarian Response to Pakistan’s 2010 rights and entitlements, budgets, Flood Crisis, 2001 expenditure, staffing, office location and accessibility and the expected duration of an agency’s presence was rarely shared, despite having great potential impact on people’s lives. Poor information flow is undoubtedly the With the exception of the Red Cross Movement, biggest source of dissatisfaction, some NGOs, private groups, and the church, few anger and frustration among organisations consulted the affected population affected people on what their needs were, and even fewer
Joint Evaluation of the International provided feedback or information to the affected Response to the Indian Ocean Tsunami: population on what, how and when assistance Synthesis Report, 2006 would eventually be provided
Inter-Agency Real-Time Evaluation of the Humanitarian Response to Typhoons Ketsana and Parma in the Philippines, 2010
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Information is aid demanded by the communities organisations, and technology and individuals that humanitarian providers have worked to increase Increasingly, information and two-way organisations serve. The freedom engagement with crisis-affected communication is recognised as a to seek, receive and impart populations. Initiatives by CDAC key humanitarian deliverable. Indeed, information is part of the Universal Network members including Frontline sharing basic information with crisis- Declaration of Human Rights.”89 SMS and BBC Media Action, and more affected populations is a central Information shared with affected technology focused initiatives such tenant of humanitarian accountability. populations should typically include as Crisis Mappers, ICT4Peace, and This is not just about passing on life-saving information and risk Ushahidi are some of the key initiatives information about aid programmes, mitigation strategies, notification of that have advanced the agenda on this but about the humanitarian duty organisations working in an area, issue, often leveraging technological to share information that is life- their stated mission, the duration advances to do so. Since the 2004 saving and helps affected people to they will be present, specific plans, tsunami, Internews, for example, has mitigate risks during a crisis. It is selection criteria and entitlements, worked in major crises to establish widely recognised that organisations progress reports, financial summary, links between affected populations, should ensure that the people they and plans for transition at the local media outlets, and humanitarian aim to assist and other stakeholders conclusion of the project. service providers to ensure provision have access to timely, relevant of and access to life-saving information and clear information about them A number of noteworthy and the effective set up of two-way and their programmes not only to developments have taken place communication mechanisms. Thanks be more accountable but also as to improve practice in sharing to these and other communications- a way to empower crisis-affected information with disaster-affected focused initiatives, such as the communities, build trust and prevent people. The Communicating with infoasaid project which closed in or identify fraud. As was recently Disaster-Affected Communities December 2012, there is a better noted by OCHA: “Humanitarian (CDAC) Network, a cross-sector understanding of the need to use a mix organisations have an operational initiative between aid agencies, of the most appropriate communication and moral obligation to incorporate UN organisations, the Red Cross channels and tools for analysis. information into their work. It is Movement, media development A woman receiving a free eye examination at a camp in Port-au-Prince, Haiti © Frédéric Dupoux / HelpAge International
89 / OCHA (2013): “Humanitarianism in the Network Age”.
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Progress to date needs in Daadab refugee camp, which summarises the experiences Kenya.95 The assessment concluded of nearly 6,000 people in 20 aid- Despite this progress crisis-affected that serious communication gaps receiving countries over four people’s knowledge of the aid process between humanitarian actors and years (2005-2009) highlights the is often still inadequate, and people refugees in Dadaab were increasing importance of information sharing in lack access to vital information about refugee suffering and putting lives at the accountability debate: “Improved aid, such as who is entitled, what they risk.96 Two years later, similar results accountability is one of the most are entitled to, how they can access were observed after five pilot projects frequently discussed outcomes it and who to contact if they encounter were implemented in East Africa in of improved information sharing. problems accessing it. Humanitarians response to the drought emergency. Many people note that they need full struggle to share the most basic Infoasaid, a project funded by DFID information to hold aid providers information about their interventions that was implemented through two and their partners accountable for and generally don’t share life-saving media development organisations where the money goes. They also note and risk-mitigation information. – Internews and BBC Media Action – that knowing what aid organisations This problem was first highlighted deployed a team to assist the projects claim to be doing for them in their in the tsunami response of 2005, with communications. They found in all proposals, reports, and publicity where recipients told the consultants cases that communication mechanisms would enable them – the receivers undertaking the Tsunami Evaluation were slow and labour intensive; that – to hold these donors accountable Coalition (TEC) that they were not systematic, timely mechanisms to relay when they do not fulfil their claims.” 98 adequately consulted and that large urgent information were lacking; that information gaps existed between mechanisms for soliciting feedback These findings suggest that too little organisations and communities.90 from recipient communities were has changed in the eight years since The TEC report stated that “poor underutilised; that there was limited the TEC identified the lack of two-way information flow is undoubtedly the engagement with communities; that communication as a common and biggest source of dissatisfaction, communication focused on extracting glaring deficiency and a persistent anger and frustration among affected data on project outputs rather than problem that has been observed in people.” 91 The World Disasters listening to needs or concerns; and that many disasters. 99 The Humanitarian Report of 2005 urged organisations to there was a general lack of access to Response Review undertaken by DFID 97 focus less on gathering information information, particularly among women. reiterated this in 2012, stating: “The for their own needs and more on people who are on the receiving end exchanging information with intended Most recently, in 2012 the CDA of our assistance are rarely, if ever, beneficiaries to promote transparency, Collaborative Learning Project consulted on what they need or are accountability and trust.92 published Time to Listen: Hearing able to choose who will help them People on the Receiving End of or how […] Whilst this has been long Year after year, evaluations have International Aid, which makes recognised as an issue, too little frequently noted bad practice with similar observations. This publication, has been done about it.” 100 regards to sharing information with affected populations. A study from Afghanistan in 2007 found disaster- affected populations to be hugely ill- informed about their entitlements and 93 about the work of aid organisations. People also say that aid providers often do not communicate In 2008, a similar finding emerged clearly about decision-making processes, project plans, the in a Bangladesh evaluation, which selection of beneficiaries or participants, and actual results found that households participating in an assistance programme were not achieved—and that this leads people to speculate about what informed about basic selection criteria.94 is being hidden and why
In August 2011, Internews conducted Anderson, Mary B., Brown, D., Jean, I., 2013, Time to Listen: Hearing People on the Receiving End of International Aid CDA Collaborative Learning Projects an assessment of humanitarian communications and information
90 / Telford, J. Cosgrave, J. & Houghton, R. (2006): “Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report.” 91 / Ibid. 92 / IFRC (2005): “World Disasters Report”. 93 / Savage, K., Lorenzo D., Martin, E. & Ulfat, G. (2007): “Corruption perceptions and risks in humanitarian assistance: an Afghanistan case study”, HPG Working Paper. 94 / HAP (2008): “HAP initiatives in Concern Worldwide: A Case Study of Bangladesh”. 95 / Internews (2011): “Dadaab, Kenya: Humanitarian communications and information needs assessment among refugees in the camps (findings, analysis & recommendations)”. 96 / As reported in: Borton, J. (2011): “An Overview of Humanitarian Accountability in 2011”, in Humanitarian Accountability Report, HAP. 97 / Chapelier, C. & Shah, C. (2013): “Improving communication between humanitarian aid agencies and crisis-affected people: Lessons from the infoasaid project”, HPN Network Paper. 98 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, CDA Collaborative Learning Projects. 99 / OCHA (2013): “Humanitarianism in the Network Age”. 100 / Ashdown, P. (2011): “Humanitarian Emergency Response Review”, DFID.
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Technology’s potential monitoring, and evaluations of approach not only has potential to humanitarian responses.106 A review of make aid delivery more efficient The growing recognition of the the 2010 cholera outbreak in Haiti found and limit fraud, it can also help importance of communication in that reports from Twitter and news those on the receiving end of aid by disaster response has prompted an websites not only correlated well with directly integrating their feedback upsurge in discussions, publications official government statistics, but that and making follow-up on complaints and initiatives aimed at better they were available up to two weeks easier and more transparent. View understanding how organisations earlier.107 World, a private company, has initiated communicate with the people a smart phone-based platform for M&E they aim to assist and, ultimately, Technology offers the potential to activities, which has already been used how this enhances the quality and communicate with and get real-time by the Red Cross and Oxfam. Their accountability of humanitarian feedback from people in affected platform allows for real-time data and assistance. The ability to effectively communities in a way that was information to be streamed seamlessly, communicate with crisis-affected previously difficult or impossible ultimately increasing information flow people has expanded significantly, to achieve. Aid organisations are and transparency. These technological advances also reduce work being done driven by the increased and changing experimenting with different types on paper, creating more efficiencies role of media, use of social media of communication tools, for different within organisations. However, to and developments in information and uses and in a variety of contexts. 101 date these technologies tend to be communication technology (ICT). Aid organisations make more use applied with an internal, systems and of Short Message Services (SMS) to processes focus, and so far there are The past decade has witnessed share information and seek feedback. few examples of them being used with a dramatic increase in the The spread of mobile phone services the specific objective of increasing availability and uptake of ICTs also makes it easier to inform accountability to crisis-affected people. worldwide, providing unprecedented communities of the exact date and opportunities for individuals to access time of aid delivery, which allows information, connect with one another people to minimise time spent away With the advent of new technologies, and have their voices heard.102 In 2012, from their daily activities. Finally, now it is easier than ever to share global mobile phone subscriptions that tablets, smart phones and other information and communicate with topped 6 billion – including more than mobile data devices have become communities, leaving organisations 1 billion smart phones.103 The GSM more mainstream and affordable, with few excuses not to do so Association estimates mobile phone it is bound to turn around the way systematically. While the application penetration in Africa to be about 70%, organisations register and manage of technology has exciting implications reaching 735 million subscribers in lists of aid recipients. for monitoring, gathering and analysing 2012 – up from 4 million in 1998. One data, humanitarian organisations must equally recognise and make use of its third of the world’s people are now Last Mile Mobile Solutions (LMMS)108, a online, and it is estimated that 50% potential to increase accountability World Vision supported initiative, uses through two-way communication with of people in developing countries mobile data devices that allow people will use the Internet by 2015.104 disaster-affected communities. In to be registered for assistance directly the age of connectivity, the concept of According to the UN’s International from their location and subsequently Telecommunications Union (ITU), the information sharing with communities integrated into humanitarian projects. – about humanitarian programmes total number of Internet users went This approach, to date primarily used from 44% of the global population and life saving information – can no to support food distributions, but with longer be considered unimportant or in 2006 to 62% in 2011. This rapid potential uses for other humanitarian extraneous, even in the initial phases development is forcing a paradigm services, reduces long wait times of a sudden-onset disaster. shift in how the humanitarian industry for beneficiaries, minimises fraud or uses communication tools to better errors in allocation to families and understand and service crisis- diminishes inaccuracies in reporting or 105 affected communities. tracking supplies. In Haiti, World Vision has used it with good results, including Social media has also penetrated many greater accuracy in monitoring and developing countries, and techniques reporting, decrease in fraud and such as crowdsourcing are now included corruption, and more efficient and as part of disaster assessments, effective distributions.109 Such an
101 / Chapelier, C. & Shah, C. (2013): “Improving communication between humanitarian aid agencies and crisis-affected people: Lessons from the infoasaid project”, HPN Network Paper. 102 / Borton, J. (2011): “An Overview of Humanitarian Accountability in 2011”, in Humanitarian Accountability Report, HAP. 103 / OCHA (2013): “Humanitarianism in the Network Age”. 104 / “Ibid. 105 / Borton, J. (2011): “An Overview of Humanitarian Accountability in 2011”, in Humanitarian Accountability Report, HAP. 106 / ALNAP (2013): “Evidence & Knowledge in Humanitarian Action: Background Paper”. 107 / Chunara, R., Andrews, J. & Brownstein, J. (2012): “Social and News Media Enable Estimation of Epidemiological Patterns Early in the 2010 Haitian Cholera Outbreak”, American Journal of Tropical Medicine and Hygiene, Vol. 86, No. 1. 108 / Last Mile Mobile Solutions website: http://www.lastmilemobilesolutions.com 109 / World Vision (2010): “Using the Last Mile Mobile Solution Device in Haiti”.
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Technology is not the humanitarian sector110 and the uptake organisations must adapt to the of new technology certainly lags changing landscape and learn how silver bullet behind that in the private sector. to harness the increasing volume A 2010 review of the use of information and complexity of information that Transparency and access to and communication technologies is brought on through technological information is a hallmark of in response to the Pakistan floods advances.112 In order to do this, the democratic societies. While aid found that regardless of technological humanitarian community will also organisations advocate for the advances, information remained have to build its internal capacity very principles that underpin in silos (partly due to the cluster to analyse, understand and use democracy, they often fail to be as system) and that disaster-affected information and new technologies transparent as the standards they communities were not engaged in to improve strategic planning and promote. While it is true that in some two-way communication or involved decision-making. situations confidentiality and security in decision-making.111 If humanitarian concerns may justify restricting the assistance is to become more Technological progress has the potential dissemination of some information, accountable in the era of mass to increase the accountability and such cases do not explain all of communication, organisations must transparency of humanitarian assistance the gaps between aspirations and not only improve their capacity to in a crisis. However, these advances are reality. Technological developments gather information, but also their not in themselves sufficient to alter the offer opportunities in that respect, information-sharing practices, and way aid organisations communicate with yet applying new technologies and be better at integrating and tracking disaster-affected communities. For that advances offered by the network age feedback from the communities to occur, organisational cultures and staff has not been consistent across the they aim to assist. Humanitarian attitudes must also evolve.
Diama Hassimi of the Farha Group separates the rice harvest from the husk. Niger is one of the poorest countries in the world. Again and again droughts lead to famines © Christoph / ACT / Brot fuer die Welt
110 / OCHA (2013): “Humanitarianism in the Network Age”. 111 / Nethope (2010): “Information and Communication Technology Usage in Response to the 2010 Pakistan Floods”. 112 / OCHA (2013): “Humanitarianism in the Network Age”.
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HAP Benchmark 4 Participation
Some community leaders in Dadaab and in Affected individuals felt Mogadishu stated that they are not included and ‘assessed to death’, too consulted when programs are designed, planned frequently interviewed and or implemented yet not truly consulted IASC Real-Time Evaluation of the Humanitarian Response to the Horn of Africa Drought Crisis: Somalia Joint Evaluation of the 2011-2012, 2012 International Response to the Indian Ocean Tsunami: Synthesis Report, 2006
With some notable exceptions, where beneficiary participation did constitute an aspect of the programming, UN agencies and NGOs alike tended to consult primarily with the traditional male leadership structures within IDP camps, and did not fully explore or build on either women’s leadership and The affected population organizational capacities, or leadership structures outside of the camps. There was also little evidence that programming was rarely consulted took into account the differential impact of the crisis on in any effective way. women and men, girls and boys Consultation mainly took place with male Inter-Agency Real-Time Evaluation of the Humanitarian Response to the Darfur Crisis, 2006 leaders and not with the broader population or with women. The lack of consultation led to some inappropriate assistance
Inter-Agency Real-Time While the potential for beneficiary consultation tends to be more Evaluation of the limited during the initial phase of the response, the IA RTE team was Humanitarian Response surprised to learn that the original design of the Post-Nargis Recovery to Pakistan’s 2009 and Preparedness Plan (PONREPP) exercise that will develop plans for the next two to three years of recovery activities contained little scope Displacement Crisis, 2010 for beneficiary participation during the design phase
Inter-Agency Real-Time Evaluation of the Response to Cyclone Nargis, 2008
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Empowering people participation of disaster-affected for Humanitarian Field Workers, which communities in humanitarian makes participation more explicit for Participation is the process through programming brings significant humanitarian aid workers with the which crisis-affected people can benefits. In particular, organisations support of examples and tools.115 actively exercise their right to report that the inclusion of aid informed consent, from the design recipients in decision-making helps Not only are organisations increasingly through to the evaluation of a project. to address issues of Do No Harm, trying to use participatory approaches, Information, empowerment and protection, human rights, inclusion, they are also seeking feedback to participation are closely linked, as equity, and dignity and improves understand how they are perceived, people first need information to make the appropriateness, effectiveness so they can adapt accordingly. MSF for their own choices, then a vehicle by and efficiency of humanitarian example, in 2012 published In the Eyes of which to speak out, and finally the programmes.114 Participation also Others, the result of an extensive effort ability to participate in decisions that supports and provides natural links to understand how the organisation was affect their lives. In practice, many between emergency programming perceived by the people it has tried to ‘models’ of participation comprise and disaster risk reduction, and assist. MSF says the process uncovered a progression which starts with helps link relief, rehabilitation many lessons, and changed MSF’s the provision of information to the and development. There is a great modus operandi as a result. affected community and moves deal of momentum, at least in through a series of steps towards rhetoric, towards more participatory This is not to say that participation greater ownership of the project or programming in humanitarian aid. should be encouraged blindly and 113 intervention by the community. Since its first edition, the Sphere risks such as managing expectations, Handbook has moved towards being acknowledging traditional forms of more specific about participation by communication and leadership, and Progress to date including it as a core principle. working at scale should be considered.116
Unsurprisingly, there is almost French-based Groupe URD also Although it is difficult to quantify unanimous opinion within the developed, in collaboration with whether there has been greater community of practice that the ALNAP, the Participation Handbook participation of disaster and crisis-
GRAPH Do you think the views of the assisted population are given sufficient consideration by your organisation when it monitors F and evaluates its performance, both now and in the future?
CURRENT FUTURE
77 70 70 68 64 62 61 61 60 57 53 54
*Unit in percentage
Deterioration No change Improvement
2007 2008 2009 2010 2011 2012 2007 2008 2009 2010 2011 2012
Graph based on data from the HAP Perceptions of Accountability in Humanitarian Action Survey
113 / Barry, N. & Barham, J. (2012): “Review of existing practices to ensure participation of disaster-affected communities in humanitarian aid operations”. 114 / Ibid. 115 / Groupe URD (2009): “Participation Handbook for Humanitarian Field Workers”. 116 / Barry, N. & Barham, J. (2012): “Review of existing practices to ensure participation of disaster-affected communities in humanitarian aid operations”.
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affected communities in humanitarian assistance over the past decade, the annual HAP Perceptions Surveys show that between 2009 and 2012, respondents have not noticed a significant increase in We arrive in an emergency and say ‘here, this is what you need, the consideration given to affected this is what is good for you.’ As long as we don’t accept that populations when monitoring and opening the participatory process is opening ourselves up to evaluating performance. The 2010 things that are not in our recipe book, we won’t be participatory. ALNAP State Of The Humanitarian As long as we remain in that culture and don’t move to one of System report also notes that no exposing ourselves to new challenges, we won’t be accountable organisations were found to have established criteria of success through dialogue with communities.117 François Grünewald Executive and Scientific Director, Groupe URD
Consultations with affected communities repeatedly show that people want more meaningful participation in planning and implementation. But as the SCHR Peer Review of 2011 noted, “‘Participation’ is rarely fully realised. Meaningful participation emerges from the two-way dialogue that accountability to ‘beneficiaries’ characterises feedback procedures. NGO and donor perspectives, Keystone, 2006 It requires that affected persons are involved in key decision-making, In 2006, Keystone undertook a web-based survey to explore how NGOs, including validating operational donors, and other capacity building institutions in development view successes and identifying failures.”118 and practice accountability to the people meant to benefit from their Yet on the whole, participation work. 404 individuals completed the survey from organisations in 20 tends to be extractive and limited to countries across Europe, Asia, Africa and North and Latin America. assessment processes. Much less Of these 238 responses were from civil society organisations, NGOs, effort is made to provide affected social enterprises and activists, and 166 were from donors, philanthropy populations with feedback. support organisations and other social finance providers. Findings reveal a great deal about the perceived importance of affected population views. Most recently, Time to Listen Although this survey was conducted in 2006, it seems that little has reiterated the need for a far greater evolved since then. commitment to recipient-driven programming: “After ‘participating’ Many donors admitted that they generally do not know how accountable in many assessments, meetings, their grantees are to ‘beneficiaries.’ and activities planned by aid providers, recipients often say 72% of NGOs and 65% of donors think it is ‘critically important’ to take they are disillusioned. In virtually the views of ‘beneficiaries’ into account when NGOs design strategy and every conversation, they ask what plan activities. these supposedly ‘participatory’ approaches have achieved. They see Only 26% of donors routinely ask that NGOs design their indicators of little evidence that their involvement performance with ‘beneficiaries’. Also, only 30% of donors expect to shapes decisions or actions. They regularly see ‘beneficiaries’’ views translated into final reports. say that most externally initiated participatory processes fall short of what they, as aid recipients, would Only 22% of donors say they routinely discuss the feedback from consider meaningful and constructive ‘beneficiaries’ with their grantees. Only 5% of NGOs say that donors engagement.”119 show an interest in doing so.
77% of NGOs wanted support from their funders on how to incorporate the views of their ‘beneficiaries’ into their evaluation of projects.
117 / Gostelow, L. (2010): “SCHR Peer Review on Accountability to Disaster-Affected Populations: An Overview of Lessons Learned”, SCHR. 118 / Ibid. 119 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”.
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Meaningful participation a needs assessment, they are looking humanitarian response, and for problems that they can fix, whether harmonise reporting requirements, is challenging or not they are the most relevant to now seems like an opportune time the given context. As one respondent for concerned stakeholders to review A number of factors hinder the use of put it, “we have hammers, so we look the system. These efforts should participation to strategically improve for nails,”123 an approach which by make it easier to assess performance humanitarian response. First, definition limits participation. and address issues, diminish the although participation is recognised workload associated with reporting as critical, competing priorities requirements, and allow field workers may impede organisations’ efforts to spend more time on accountability at gathering input from affected Changing mindsets to affected populations processes. populations. In emergency situations staff may be under pressure from While donors support coherence in While institutional donors can help donors or headquarters to meet quality assurance and compliance drive the process, aid organisations tight deadlines, limiting the time mechanisms – as evidenced through also have work to do. A 2012 study they have to meaningfully engage support for the JSI and the SCHR on participation found that the with the people they aim to assist. project on certification – organisations development and application of specific Communicating with people also continue to feel strain that the requires appropriate skills, which tools and guidelines for participation different donor requirements put on 124 some technical experts may not have. are no guarantee of good practice. their resources. Some managers Genuine participation of affected at field level justify the little time communities relies on a fundamental From 2006-2008, Concern Worldwide they spend in direct interaction with shift away from the traditional role and Mango carried out a research local communities by the time they of aid agencies as a ‘benefactor’ to project called “Listen First” to have to spend reporting to while one that transfers responsibility, develop systematic ways of managing some progress in this regard has decision-making and programme accountability to affected populations. been made with the ICRC and UN direction from the organisation to the The project found that managers agencies, INGOs largely operate affected community. In reality this is had many other priorities, such as under the same conditions as a considerable challenge for many getting project plans and budgets prevailed when the Good Humanitarian agencies to embrace at an institutional approved, completing activities laid Donorship commitments were level.125 The humanitarian community out in project plans, and spending endorsed 10 years ago. Given the must therefore go beyond creating budgets within fixed timescales. GHD commitments to both ensure further standards and tools around Accountability to affected populations adequate involvement of beneficiaries participation, to a change in mindset was sometimes in active opposition in the design, implementation, that truly embraces the input of to these, as it required more time monitoring and evaluation of crisis-affected people. and bottom-up decision-making.120 Many staff also note they are handed project plans that have already been agreed to by their organisation and the donor, and thus have limited ability for flexibility when considering inputs from communities. While some donors try to show more flexibility, humanitarian assistance is Just because you’re busy during an emergency response doesn’t mean generally still characterised by short term planning cycles, pressure to that participatory approaches aren’t possible. It just means you can’t demonstrate quantifiable measures have everything that you’d like. We’ve found that it’s always possible and “value for money” to meet to involve people in some way and to improve the level of community donor funding requirements.121 Staff participation over time may therefore be incentivised to prioritise accountability to the system Jock Baker, Former Programme Quality & Accountability Coordinator over the accountability to affected for CARE International and now an independent consultant populations.122
A related structural issue is that organisations tend to come to emergencies with a ready-made toolbox of solutions. When they do
120 / Jacobs, A. & Wilford, R. (2010): “Listen First: a pilot system for managing downward accountability in NGOs”, Development in Practice, Vol. 20, Nr. 7. 121 / Barry, N. & Barham, J. (2012): “Review of existing practices to ensure participation of disaster-affected communities in humanitarian aid operations”. 122 / Ibid. 123 / François Grünewald, Executive and Scientific Director of Groupe URD, interview. 124 / Barry, N. & Barham, J. (2012): “Review of existing practices to ensure participation of disaster-affected communities in humanitarian aid operations”. 125 / Ibid.
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HAP Benchmark 5 Handling Complaints
Accountability and complaints There has been a general lack mechanisms were initially of communication with the established in only a few locations. affected population – and despite (…) Despite these mechanisms, individual project or sector or accountability and complaints geographic efforts to improve mechanisms overall were not accountability, there are no commensurate with the scale of effective channels for people to the funding. They were largely voice their needs, suggestions ineffective in addressing the and complaints. Ministries worst cases of inappropriate aid, are consulted but there is no wastefulness and negligence feedback to authorities once among internationally, nationally they have given their views. and locally managed recovery Authorities and national NGOs programmes. However, there is alike feel that there is no room evidence that accountability has for either genuine partnership or improved with time and agencies real participation are now paying more attention to the views of affected populations Inter-Agency Real-Time Evaluation of the Humanitarian Response to the Joint Evaluation of the International Earthquake in Haiti, 2012 Response to the Indian Ocean Tsunami: Synthesis Report, 2006
The majority of international aid agencies, together with their local partners, established feedback mechanisms to ensure accountability to targeted communities. Such mechanisms enabled the recipient communities to voice their own concerns and submit complaints on the quality of service they received, selection criteria and so on. That said, the agency focus on outputs rather than outcomes may mean that wider effects of aid interventions (positive and negative) are not adequately accounted for in the feedback mechanisms
IASC Real-Time Evaluation of the Humanitarian Response to the Horn of Africa Drought Crisis: Somalia 2011-2012, 2012
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 52
Complaints and response mechanisms
The purpose of complaints and Years ago it was rare to see a complaints mechanisms as a standard response mechanisms (CRMs) is to provide context-appropriate practice for communities working with aid providers. There was no way channels for affected communities for them to say if the staff of an organisation was mistreating them or to safely raise complaints about a not working in a way that was good for the community. People assumed program and receive a response. that since no one complained, there were no problems. But there was A community-based feedback no way to make a complaint in the first place mechanism is a process through which an organisation can get positive Katharina Samara, Project Coordinator, ICVA or negative feedback from the community, enabling them to redress issues that arise. These issues may relate to fraud and corruption, sexual exploitation, or the abuse of power. An effective complaints-handling Genesis of humanitarian organisations and communities.128 procedure should be accessible Effective complaints mechanisms to and safe for all stakeholders, complaints mechanisms can also increase security for staff: including staff and humanitarian in a 2011 study carried out by CDA partners, as power dynamics will be Since 2006, and following Save Collaborative Learning Projects, at play within organisations as well. the Children’s report From Camp several organisations noted that To this end, a grievance procedure to Community: Liberia Study on instances of violence against staff should be in place to deal with staff Exploitation of Children, there has working in difficult environments complaints, and a system for dealing been an overall increase in attention were reduced after they improved with problems and concerns between to the importance of effective their communication and feedback the organisation and its humanitarian 129 CRMs, not only for preventing and processes with communities. partners should also be instituted. responding to sexual exploitation and The CDA study also found that abuse, but for reporting on all forms organisations that have maintained on- of abuse and exploitation, including going primary stakeholder feedback corruption.126 In 2008 HAP published mechanisms throughout the cycle of To Complain or Not to Complain: Still a project reported greater results and the Question, a study in which 295 higher satisfaction compared to prior humanitarian aid recipients in Kenya, projects that did not include as much feedback. Often, changes made to I am concerned that although Namibia and Thailand participated in project operations based on feedback accountability is gaining consultations about their perceptions of prevention of and response to sexual were not difficult to incorporate, and prominence in programme exploitation and abuse. The study changes to some small details led to design, it remains an ‘add on’, and found that although aid recipients significant improvements in recipient I fear that it may become reduced know sexual abuse and exploitation satisfaction.130 to ‘tick-box’ mentality: we have is going on around them and perceive our complaints boxes in place so the risks, the vast majority of them Ten years ago, complaints that’s our accountability sorted said they would not complain about mechanisms were essentially misconduct. Consequently, at the unheard of within humanitarian HAP 2012 Accountability time, complaints were rare and response. Now, organisations have 127 Survey respondent investigations even rarer. created entire departments to effectively deal with complaints. There is an increasing body of Monitoring and evaluation units evidence demonstrating that when have incorporated feedback and complaints and response mechanisms complaints into their scope of work, do work well, they have benefits and despite the varying effectiveness for humanitarian action. A 2009 of complaints mechanisms, study commissioned by HAP found their growing prominence that in cases where complaints shows considerable progress mechanisms were well-managed, in the approach and thinking of they could foster trust between humanitarian organisations.
126 / Martin V. (2010): “Literature Review: Complaints Mechanisms and Handling of Exploitation and Abuse”, Protection from Sexual Exploitation and Abuse Taskforce. 127 / Lattu, K. (2008): “To Complain or Not Complain: Still the Question”, HAP. 128 / Banos Smith, H. (2009): “The right to say and the duty to respond: the impact of complaints and response mechanisms on humanitarian action”, HAP. 129 / CDA Collaborative Learning Projects (2011): “Feedback Mechanisms In International Assistance Organisations”. 130 / Ibid.
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Complaints with far-reaching consequences. be met.134 As Paul Knox-Clarke and Some organisations are unsure how John Mitchell of ALNAP noted: “The mechanisms – to manage feedback that brings up more we take the voices of affected what result? issues beyond the organisation’s populations into account, the more control, or how to address we are confronted by diverse needs Despite this progress, in 2010 the expectations raised by community and expectations.” 135 Finally, staff SCHR found that aid recipients still members who provide input, may be reluctant to seek out feedback lack a basic understanding about and then mitigate their potential because they interpret complaints as how the mechanisms work, do not disappointment when they cannot a criticism of their performance. trust the security of the process, fear retaliation for making a complaint, and have doubts about access and utility of the process.131 These findings were reiterated in ALNAP’s 2010 State of the Humanitarian System report which highlighted that: “Evaluations continue to note limited effectiveness of the complaints mechanisms established (such as boxes that go untouched) as well as the capacity to properly follow up on and redress complaints. Complaints mechanisms in IDP camps in Uganda, for example, were found to be inadequate and inappropriate, where they existed at all. Beneficiaries often find it difficult to complain or communicate concerns to organisations and are reluctant to do so; partly because there are fears that this will negatively impact on assistance or just will not be acted upon.”132
Challenges to complaining
Even though aid organisations have explored a variety of ways to register complaints, from human interaction to hotlines or SMS-based systems, too many in the sector still equate complaints handling (and sometimes even accountability) with setting up complaints boxes, an approach that fails to recognise the diversity of individuals in a given community as well as cultural and educational specificities. Such approaches hinder the potential effectiveness that complaints or feedback mechanisms can have.133
Another obstacle towards progress is the fear some organisations have that allowing people to complain will open a ‘Pandora’s box’ of concerns Eight-year old Caitland Dirocher carries water home in a camp for families left homeless from Haiti’s January 12 earthquake. The camp, in the Martissant section of Port-au-Prince, houses hundreds of displaced families who are receiving medical care and other services from Dominican solidarity groups supported by the ACT Alliance © Paul Jeffrey /ACT
131 / Gostelow, L. (2010) “SCHR Peer Review on Accountability to Disaster-Affected Populations: An Overview of Lessons Learned”, SCHR. 132 / Taylor, G. (2012): “The State of the Humanitarian System”, ALNAP. 133 / Knox-Clarke, P. and Mitchell, J. (2011): “Reflections on the Accountability Revolution”, Humanitarian Exchange 52. 134 / Ibid. 135 / Ibid.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 54
Thinking outside the box appropriately explained, is this fear Managers can play a key role in likely to materialise. Quite the opposite, supporting such an environment, and The experiences of humanitarian feedback from recipients can be very in particular should take measures organisations with complaints and useful in amassing evidence and to ensure that staff do not take response mechanisms have shown triggering change. Current research complaints personally and understand that in order for these to work well, being carried out by ALNAP and CDA that allowing feedback into their they must be based on careful on the effectiveness of feedback programming will improve practices analysis of cultural context and mechanisms with affected populations overall. Staff also need to have an has shown that feedback can be option to lodge complaints themselves power dynamics within communities very useful in creating a case for at organisational level. However, to ensure that more privileged systematic change. When staff start despite the potential benefits, a community members do not hearing repeated feedback, they have a complaints handling mechanism is not dominate the feedback. Also, affected body of evidence from the community to a substitute for a more equal balance populations need to be involved in the go to management and advocate for a of power between aid organisations design and set up of the complaints change in policy. Vouchers, for example, and the people they aim to assist. mechanism. Leadership and a were a major shift in policy for WFP In the coming years, complaints positive organisational culture are that were a reaction to a considerable handling, although important, should also considered important factors amount of feedback from beneficiaries be considered a last resort after in creating successful feedback and about their priorities. Without these other accountability mechanisms – 136 response mechanisms. mechanisms in place, this kind of information sharing and participation change may not have been possible or in particular – have failed. Experience shows that, contrary to could have taken longer to introduce. what some people fear, complaints mechanisms do not inevitably result Possibly as a result of these benefits, in large quantities of complaints there has been gradual improvement on issues beyond the influence of efforts by all agencies since 2009 to of aid organisations. Only when foster an environment where assisted accountability systems are limited populations can raise a complaint to complaints handling, or when about the quality of programs. This is the scope of complaints is not greatest within the INGO community.
GRAPH How do you rate your organisation’s efforts to foster an environment where the assisted population can raise G a complaint about:
Staff misconduct quality (including sexual exploitation and abuse)
61 59 57 60 54 54 51 52
*Unit in percentage
Don’t know Low (1-3) Medium (4-6) 2009 2010 2011 2012 2009 2010 2011 2012 High (7-10)
Graph based on data from the HAP Perceptions of Accountability in Humanitarian Action Survey
136 / Banos Smith, H. (2009: “The right to say and the duty to respond: The impact of complaints and response mechanisms on humanitarian action.” HAP.
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HAP Benchmark 6
Learning and Continual Improvement
The humanitarian community is suffering from a chronic amnesia as it does not take stock of lessons learned from prior evaluations. A more systemic follow up on previous recommendations is needed as it would help improve the effectiveness and efficiency of the humanitarian system’s response to future disasters, both within Pakistan and globally
Inter-Agency Real-Time Evaluation of the Humanitarian Response to Pakistan’s 2010 Flood Crisis, 2001
Many lessons have been learnt and some of them have been implemented. But the system has rarely identified the need to match lessons learnt and recommendations with their specific area of application. Therefore, the implementation of certain recommendations has not always been successful. But often, lessons learnt are simply either ignored or not acted upon. There is still a tendency not only to reinvent the wheel, but also to turn it the wrong way
Inter-Agency Real-Time Evaluation in Haiti: 3 Months After the Earthquake, 2010
It is now fashionable for NGOs and donor agencies to claim or project that they are totally transparent, accountable and very much a ‘learning organization’, carrying out numerous ‘learning’ reviews and moderating workshops […] designed to discover what worked and what did not and why? Yet [among] One-Year-After reports, only a handful are[…] prepared to actually […] publicly admit […] at least some […] minimal […] failings. What bombards us instead are ‘sanitised’ reports containing usually a lot of hype, (empty) rhetoric combined with (often misleading and meaningless?) statistics of aid delivery. Such deliberate policies of concealment create an overall (mistaken?) impression that their programs are unmitigated successes, free of controversies.
Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report, 2006
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Learning and using sums up the issue: “We are not good Some real time evaluations (RTEs) at learning lessons, and we do not such as those for Myanmar, Haiti, lessons systematically take on the findings Kenya and Pakistan stand out in and recommendation into our future that they specifically set out to A culture of learning and continual responses.”138 Despite the volume include the views of aid recipients.143 improvement should lie at the heart of evaluations we now produce, it However, humanitarian evaluations of a professional and committed appears that the humanitarian system overall still tend to underrate the organisation. Learning from past is still weak at channelling findings experience of affected populations successes and failures and applying back to improve programming. as a source of evidence. 2012 these insights to modify and adapt State of the Humanitarian System future work is therefore a cornerstone report concluded that recipient of accountability and quality An evaluation of the UNICEF response to Cyclone Nargis, for example, noted consultation is one of the weakest management. Organisations should areas of humanitarian performance that although a system was in place reflect on progress, document success assessment.144 and shortcomings and adapt activities. with results-based indicators, staff This is achieved through an effective did not have the time or resources monitoring and evaluation system, to analyse or use the data.139 A 2009 which ensures regular reviews of the DEC report reiterated this finding and Not safe to fail work, impact and effectiveness of stated that learning from experience the organisation, and that identifies tended to be the most challenging What inhibits the sector from lessons for improving future aspect of their accountability learning from past experience and operations.137 framework. DEC organisations applying lessons? Some of the key confirmed that controls around issues have already been mentioned learning from experience are more in this report: high staff turnover, difficult to systematically apply and insufficient personal accountability Beyond identifying assure compared to financial and and loss of institutional memory, lessons programmed management areas.140 the lack of feedback from crisis- affected populations, the difficulty Over the past ten years, much has staffing programmes with the right been done to encourage a culture people in rapid onset emergencies, of learning and improvement in Lack of input from and also in some more demanding, the humanitarian sector. In 2013, affected populations long-lasting complex emergencies. the Sphere Project launched an Other issues are more specific. One e-learning project focusing on the Another consistent finding is that obstacle is that because reporting Sphere principles and standards, many evaluations lack the perspective is primarily donor-oriented and while HAP continually reflects with of aid recipients. For example, when takes place in the midst of intense its members on their experiences Beck and Buchanan-Smith conducted competition for humanitarian funding, operationalising the HAP Standard. meta evaluations for ALNAP, they aid organisations may be unwilling ALNAP and Groupe URD in found that almost three quarters of to admit failure or examine adverse particular have contributed to the the evaluations reviewed between impacts for fear of discontinued overall reflection, accompanied 2001 and 2004 had failed to consult funding. Thus, mistakes are covered by more focused initiatives, programme recipients, or had only up or glossed over in reports, including countless academic- and included minimal consultation.141 focusing instead on outputs and organisation-led research projects. neglecting outcomes or impact. The evaluative reports database In a 2010 review of 40 evaluations maintained by ALNAP now contains on the Haiti earthquake response, more than 1200 evaluations of relatively few evaluations focused humanitarian action, and is growing Ways forward on the views of aid recipients, and every year. opportunities for joint or thematic If the humanitarian system is to evaluations appear to have been progress, greater attention to the It is still questionable however, how missed. Similarly, the Listening findings and recommendations many of these have led to improved Project found that “dominant within evaluations is needed. The practice and what contribution they incentive structures do not generally industry spends considerable have made to improving the quality reward more time spent with resources conducting evaluations to of humanitarian intervention. One communities,” and indicators used to improve learning, but all too often comment from the 2013 ALNAP track performance focus on outputs reports end up on shelves or on annual meeting on evidence and rather than on quality of relationships websites without being translated knowledge in humanitarian action or processes.142 into improved practice. This is
137 / HAP (2013): “Guide to the 2010 HAP Standard in Accountability and Quality Management”. 138 / Participant Observation, ALNAP Conference, Washington, March 2013. 139 / Taylor, G. (2012): “The State of the Humanitarian System”, ALNAP. 140 / Ibid. 141 / Ibid. 142 / CDA Collaborative Learning Projects (2008): “International Assistance as a Delivery System”, The Listening Project Issue Paper. 143 / Taylor, G. (2012): “The State of the Humanitarian System”, ALNAP. 144 / Ibid.
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especially true with joint evaluations, documented problems. Organisations We have some good where oftentimes the diffusion must commit to building and utilising recommendations from evaluations, of responsibility for the uptake of institutional knowledge of past mistakes but what happens is that few people recommendations leads to poor and successes, and management must read them, and those that do are follow-through. The sector needs to be held accountable for ensuring that often the programme managers who become better at institutionalising lessons are acted upon. Organisational tend to explain away the problems processes for learning lessons, and and donor leadership is therefore putting the plethora of findings and required to provide a ‘safe space’ to and call into question the evaluation recommendations from evaluations into acknowledge mistakes and learn from methodology – and sometimes the practice. These efforts are otherwise these. Learning lessons is as much evaluators themselves a waste of time and resources. If the about trying to replicate what has humanitarian sector is serious about worked as to avoid making mistakes Nicholas van Praag, Director, Ground Truth improving practice there must also in the future. Focusing too much on be greater commitment to investing what doesn’t work can detract from in what works and avoiding previously investing in what does.
Every day, Yeshi Demke in Tisabalima, Ethiopia, is walking 500 meters to fetch water. Church of Sweden supports several projects in rural Ethiopia to improve the poor people’s abilities to support themselves and their families © Magnus Aronson /Church of Sweden
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? 58 The next decade
Progress and hope The robust energy in response to Overall, there is a positive trend with greater demands for accountability regards to accountability to affected The expansion of quality and has sparked innovations in the way populations and optimism about the accountability initiatives within the in which humanitarians respond to future. Hopefully these trends will humanitarian sector over the past and think about disasters. Many of continue upwards as more research decade is laudable. As the HAR 2011 these put aid recipients and crisis- is done, further innovations occur and stated, “the range, significance, and affected communities at the heart of more accountability mechanisms are meaningfully put into practice. One likely impact of the developments point the accountability equation.146 Today key informant noted positively but to the achievement of a ‘critical mass’ there are dozens of sector-specific realistically: “The movement is in its of activity within the humanitarian approaches that did not exist a sector in favour of accountability to infancy but has a very solid backing decade ago. Technological innovations affected populations. The concept from the top levels of the UN. Valerie have made two-way communication has infiltrated the thinking and Amos, the UN Emergency Response with affected populations simpler and approaches of all stakeholders – the Coordinator, has talked about it in UN’s Transformative Agenda, NGOs’ more commonplace. Innovation in public and at the highest level people strategic priorities, donor policies and this direction is, however, still in its have taken an interest. But it will take beneficiaries themselves who are more infancy and donors would serve all time to see the rhetoric translate into engaged in responses with the use of non-profits well by encouraging it.147 real changes for affected people.”148 mobile technology and social media.” 145
Safrizal Toron lost his boat and all his equipment in the tsunami that hit Mentawai islands (Indonesia) in October 2010. Thanks to the local ACT member he has joined a local savings group and taken a loan to buy a new boat. ©Ulrika Lagerlöf/Church of Sweden
145 / Borton, J. (2009): “An Overview of Accountability in 2009”, in Humanitarian Accountability Report, HAP. 146 / InterAction (2007): “The Latest Issues and Trends in International Development and Humanitarian Assistance: NGO Accountability.” Monday Developments, Vol. 25, No.12. 147 / Ibid. 148 / Zia Choudhury, former OCHA consultant on accountability to affected populations, interview.
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Power dynamics for the effectiveness of accountability demonstrate the positive application mechanisms can threaten their future, of this accountability to programming. Despite this progress, the sector still has as potential donors may question Although the UN has been seen as work to do in terms of changing power whether these mechanisms are worth lacking in participatory and consultative dynamics and creating incentives to the resources required to sustain them.151 processes, it is working to improve increase accountability to crisis-affected The results of this research make a within the field. Staff throughout the people. Even when humanitarian workers compelling case: the study has shown system are acknowledging limitations have the ability and time to listen to the that accountability practices have, and pushing for more meaningful input people they aim to assist, the inherent among other things, improved from crisis-affected communities. power imbalance between aid workers project targeting, strengthened the and aid recipients often prevents honest responsiveness to needs and quality of Looking forward, accountability cannot communication. The humanitarian assistance, and built trust and galvanised be considered an ‘add-on’ and must community must accept then that relationships between recipients and become embedded into the way that there are no easy solutions to achieving aid providers. Given the research humanitarian actors do business. full accountability to crisis-affected findings show improved accountability We should strive to move away from communities, and that there will always practices can contribute to higher-quality the ‘carrot and stick’ mentality where be room for improvement.149 programs, project-level accountability agencies are rewarded for including should be considered an essential part community voice and have to create 152 of the aid process. extraneous mechanisms to do so. Inclusion should be a natural part of Evidence: making the These positive results are a good start, how we respond. As one respondent case for accountability but the humanitarian sector must still noted: “In the future we won’t have to strengthen efforts to understand the go out and collect affected people’s Many stakeholders still perceive that impact that accountability mechanisms views to inform our work because they there is a need for more evidence have on aid programmes. The evidence will be there with us sitting at the table to demonstrate the effectiveness gathered from these efforts will play an participating in governance structures of accountability mechanisms on important role both in terms of ensuring and decision-making processes.” 155 improving humanitarian outcomes. the best possible outcomes for those in Only then will the balance of power shift One of the initial premises of the need of assistance, but also for creating in such a way that humanitarian aid can accountability ‘revolution’ was that and sustaining an enabling environment truly be considered accountable to the improved accountability would also for assistance to be provided.153 people that it aims to assist. bring about better results, performance and impact. As Knox-Clarke and Mitchell put it: “There was little or no evidence to support the argument Accountability as a way that better accountability would lead we do business to more effective, secure programming The future is to enter into a dialogue, a relationship with at the time, but good sense told us Pressure to improve practice and 150 the affected populations. People it surely must be true.” Now that be more accountable is coming more organisations have taken up this from multiple sources. New types want to be consulted, respected, ‘good sense’, they must translate this of programming are pushing the and accountability is one of the normative commitment into actual boundaries of traditional power tools for that end. The future of programming, confronting the problem imbalances in the sector. The advent accountability is dialogue and of how exactly accountability fits into of cash transfers as a humanitarian interaction, which takes time. humanitarian practice and documenting response mechanism, for example, If we push and do it wrong, we whether it improves their work. is in some cases considered by pay a high price later. Let’s also recipients and donors alike as a step not forget that acute emergency The accountability impact study and towards putting the decision-making requiring urgent action represent the development of a methodology processes in the hands of affected only a small fraction of the global for determining the effect that populations.154 The continued harnessing humanitarian aid sector, which is accountability has on the quality of technology is also providing affected of programmes undertaken by HAP, populations with greater voice and input largely more implicated in protracted Save the Children UK and Christian Aid than they have had previously. Aid crisis, where we have time to are important initiatives. Funding for recipients themselves are demanding dialogue, engage, and interact non-profit organisations prizes the use more involvement in the practices with the affected populations of evidence to guide priority-setting and which impact their lives, and the programming. In such an environment, NGO community is making great François Grünewald Executive the absence of empirical evidence strides to be more accountable and and Scientific Director, Groupe URD
149 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, CDA Collaborative Learning Projects. 150 / Knox-Clarke, P. & Mitchell, J. (2011): “Reflections on the accountability revolution”, Humanitarian Exchange Issue 52. 151 / Obrecht, A. (2012): “Effective Accountability? The drivers, benefits and mechanisms of CSO self-regulation”, One World Trust. 152 / Featherstone, A. (2013): “Improving impact: do accountability mechanisms deliver results?” A joint report by Christian Aid, Save the Children, the Humanitarian Accountability Partnership (HAP). 153 / Ibid. 154 / Barry, N. & Barham, J. (2012): “Review of existing practices to ensure participation of disaster-affected communities in humanitarian aid operations”. 155 / Dayna Brown, director of Listening Program, CDA Collaborative Learning Projects, interview.
2. Accountability 10 Years in Review: Has the Balance of Power Shifted? A pastoralist in search of water in Borena, Ethiopia © Maria Kiani/HAP
Counting on Accountability: 3 Voices of affected communities After ten years of accountability discourse, have we done enough? Maria Kiani reports back from community consultations in Ethiopia and finds that, despite some positive shifts, practice on the ground has to yet match the rhetoric. 61 Introduction
In this year’s Humanitarian The issues raised by the pastoralist and by CDA’s Listening Project 3 Accountability Report, Jessica communities in Borena and reports over the years, including in Alexander looks back at the evolution highlighted in this chapter, such as its most recent report Time to Listen: of accountability and quality over the feelings of disempowerment, being Hearing People on the Receiving End last decade and points towards some treated as passive recipients, lack of International Aid. 4 This chapter of the structural and systemic issues of information and participation, adds to the growing body of evidence which hamper progress, while James limited knowledge about rights and Darcy calls for broadening the way entitlements and the absence of that highlights gaps between the we look at accountability to include avenues to safely raise complaints, accountability discourse in aid policy being accountable for political and are not isolated. Their concerns and the reality of humanitarian strategic decisions. This chapter have been echoed in previous HAP interventions as experienced by adds to the process of self-reflection Humanitarian Accountability Reports those they seek to assist. by bringing forward the views of the individuals and communities who are at the receiving end of the services and assistance provided The HAP team consulting community members in Gumi Gayo, Borena, Ethiopia by humanitarian and development organisations. It offers a glimpse of © Gregory Gleed /HAP how affected communities, whose views should matter the most, perceive aid organisations, and sheds light on some of their concerns and hopes. It presents a snapshot of how our actions and systems impact the well-being, self-esteem and survival of those who we seek to assist.
The findings and views highlighted in this chapter emerge from a HAP deployment1 to Ethiopia undertaken from February to April 2013. The aim of the deployment was to support the Inter-Agency Accountability Working Group (IAAWG) in Ethiopia, UN agencies, and other international and national organisations to increase their awareness and practice of accountability issues.
During the deployment, the HAP Roving Team visited Dollo Ado refugee camps and the pastoral region of Borena, with the aims of supporting organisations working in these areas in their efforts to implement the HAP Standard,2 and meeting community members in order to gather their perceptions on issues related to accountability. Unfortunately, due to security concerns, the HAP team was not able to hold direct consultations with community members in Dollo Ado. This chapter therefore presents the views of community members from and staff working in Borena.
1 / Details of the purpose and work of the HAP deployments and its Roving Team can be found at: www.hapinternational.org/projects/field.aspx 2 / HAP (2010): “The 2010 HAP Standard in Accountability and Quality Management”. 3 / http://www.cdainc.com 4 / Available at www.cdainc.com/cdawww/pdf/book/time_to_listen_pdf_Pdf1.pdf
3. Counting on Accountability: Voices of affected communities 62 Purpose, methodology and limitations
An integral element of HAP’s any particular organisation, but build The primary purpose of the deployment was to support an overview of how communities community consultations was to organisations working with partners, receiving assistance and support from listen to the views of the Borena national NGOs, and frontline staff to organisations viewed these services communities and bring them to demystify accountability and strengthen and whether or not they were in line the attention of organisations practice. In Borena, activities are with good practices of accountability. and staff working in Borena. The conducted through partnerships Translators were used for all findings are not attributable to any between international, national and community consultations. Following one organisation. Rather, they are local organisations. Towards this end, the principle of informed consent, illustrative of some of the wider the HAP team conducted a workshop the purpose of the consultation, how gaps in accountability and quality on “Accountability: challenges confidentiality would be maintained that need further consideration and and solutions when working with and how information they shared action by the broader humanitarian partners.” The workshop, attended by would be used was explained to and development sectors. In addition, 28 participants from 20 organisations, all those participating prior to the findings presented here do provided an introduction to the HAP seeking permission to conduct the not provide an in-depth diagnostic Standard.5 As part of the workshop, consultation. Consent was also sought of some of the larger contextual staff working in the Borena region before taking photographs. issues and the roles of other actors, had a frank and at times heated nor does the chapter discuss discussion to identify the gaps as The views expressed by the other factors such as the limited well as the contextual and structural communities in Borena have been development and humanitarian challenges they face in increasing grouped into themes and summarised space available to organisations. accountability to affected communities. in the sections below. While some This chapter focuses exclusively on They also shared their solutions and trends and perceptions may be unique pastoralist communities in Borena recommendations, which have been to Borena and the pastoralist context, and how they view the relationship included in this chapter. many are loudly echoed in the wider- between themselves and I/NGOs, and scoped Time to Listen report by CDA. examines how the benchmarks of the The HAP team, along with some Quotes from this report have been HAP Standard are being practiced, in participants from the workshop, added to the chapter to illustrate how particular those relating to sharing conducted community consultations such perceptions are widely held information, participation and in the villages spread around the across the globe. handling complaints. Borena area. This was also an opportunity for staff working in the area to examine programmes through an accountability lens and increase their own understanding of how communities perceive the 6 issues. Borena was selected as a Location Number of men Number of women site for a field visit based on the 11 (including village recommendation and need for Gummi Gayo 7 support expressed by the members administrator) of the IAAWG. The location presents a 2 (village chief 1 mix of humanitarian and development and elder) work, a range of national and Darito Arero Wario international organisations, and was 4 6 easy to access in order to conduct 7 (including village direct community consultations. Sanke Dambala 3 administrator)
The HAP team visited four villages Yabello village and held semi-structured interviews (Women’s Saving and 0 16 and group discussions with a range of Credit Cooperative) community members. The questions were designed to be open-ended Total 24 33 and general, as the purpose of the Aggregated total: 57 consultations was not to examine
5 / The 6 benchmarks of the HAP Standard were discussed: 1) Establishing and delivering on commitments 2) Staff competency 3) Sharing information 4) Participation 5) Handling complaints 6) Learning and continual improvement. 6 / Spellings may differ.
2013 Humanitarian Accountability Report 63 Community perceptions on aid: Borena, Ethiopia
MAP
Map of Ethiopia (Borena Region circled in red by author) A (as of 22 October 2012) ETHIOPMapIA: providedNutritio ncourtesy Hot Sp ofo tthe M aUNp Office for the Coordination of Humanitarian Affairs. © OCHA Eritrea Note: The following newly created woreda boundaries are not Tahtay E found in the geo-database; hence not represented in this Adiyabo Laelay Ahferom Erob R R Mereb Gulomekeda E map regardless of their nutrition concern Adiyabo I D Leke Ganta Dalul T Adwa Afeshum Saesie S NorthTahtay R E Priority 1: Mubarek (Liben zone), Hadigala (Siti zone) of Somali region. WesterKnoraro Central Tsaedaemba A Werei E Medebay Hawzen Koneba TI G R AY Leke A Zana Eastern Berahle Priority 2: Wondo (West Arsi zone) of SNNPR, Kumbi (E.Harerge zone) of Western Kola Degua Kelete Oromaia, Ararso, Berkot and Daror (Jarrar zone), Berkano and Tselemti Temben Temben Awelallo Ele Woine (Shebelle zone), Daratole (Doolo zone), Dekosoftu Tselemt Tanqua Enderta Addi Saharti Zone 2 Abergele SamreHintalo Ab Ala Afdera (Liben zone), Kersadula (Afder zone), Mersin(Korahe zone) of Arekay Beyeda Wejirat Somali region. Debark Abergele Megale Erebti Dabat Wag Bidu Janamora Southern Lay Himra Alaje Priority 3: Dawa Sarar (Bale zone), Burkadimtu (W.Harerge zone) of Armacho Sahla Wegera Endamehoni Oromia region, Kubi and Guljano (Nogob zone), Yaol (Jarar zone), North Ziquala Sekota AFAR Raya Yalo Teru Tulugulded (Fafan zone) and Raso (Afder zone) of Somali region. Gonder West East Ofla S U D A N Azebo Kurri Gonder Belesa Belesa Dehana Gaz Alamata Dembia Zuria Elidar Gibla Zone 4 Libo Ebenat Bugna Gulina I Legend Kemkem Lasta Kobo T (Ayna) Gidan Lay U Guba Gayint International Boundary Bahirdar South MeketNorth Lafto O GULF OF AD EN Zuria Dubti Gonder Tach Wollo Habru Chifra B Dera Wadla Delanta Aysaita Regional Boundary West Gayint Dawunt Ambasel Worebabu Zone 1 I Guba Thehulederie J Gojam AM H A RA Simada Tenta Adaa'r Mile Mecha Mekdela Kutaber D Zonal Boundary Metekel Oromia Sirba Goncha Sayint Dessie Bati Sekela Kalu Abay Siso Enese Mehal Zuria Zone Enbise South Woreda Boundary Dega Sayint Special 5 Awi/Agew Damot Sar Midir Wollo Albuko Debresina Woreda Sherkole Legehida Ayisha Lakes Kurmuk Kelela Were Ilu Gishe Delifagy BEN I S H A N G U L East Rabel Gewane G U M U Z Gojam Shebel Jama Eferatana Hadelela Nutrition Hot Spot Woredas Menz Bereta Dare Gidem Bure Erer Lalo Menz Siti Mudaytu Shinile Ibantu Midir Mama Afdem Priority one AssAossaosa Kewet Dembel S O M A L I A North North Midir Shewa(R4) Simurobi DI R E DAWA Aw-bare Bambasi Kemashi Horo Abuna Shewa(R3) Gele'alo Priority two Ginde Debre Abichuna G/Beret Miesso Dire Chinaksen West Guduru Beret Degem Libanos Gne'a Wuchale Angolelana Argoba Zone 3 Jarso Adda Jida Goro Dawa Jijiga Priority three Wellega Tera Special Meta WesJteldu Berga Kembibit Gutu Kersa Aleltu Dulecha Deder Hareri Fafan Shewa Assagirt Mieso Doba Kurfa Babile Gawo Sasiga Ifata H A RE R I Hareshen No Priority given Chiro Tulo Chele Gursum Kebe Dale AD D I S A B AB A Bedeno Fedis Kebribeyah Diga Zuria Mesela Sadi Region 14 Kelem East West Midega Ada'a Gemechis Girawa Babile Wellega Wellega South AncHharrerge East Tola Hawa Boset Oda West Habro Galan East Merti Daro Bultum Harerge Shewa Aware Lare Shewa Sire Lebu Boke Golo Oda Meyumuluka Itang Adama Guna Meyu Ilubabor Chora Sodo Bora Gashamo Gambela Dugda Sude Hawi Degehamedo Gurage Chole Gudina Lagahida Jarar Zuria Meskan Fik Degehabur Nuer G A M BE LL A Selti Adami Amigna Lege Akobo O R O M I A Danot Abobo Jimma Tulu Jido Hida Gunagado Kersa YemGibe Selti Kombolcha Arsi Seru Nogob Tena Hamero Agnuak Alaba SP Arsi Shirka Robe Gololcha Gerbo Goge Selahad Boh Sheka SHoraodiya Woreda Negele Bale Segeg Shekosh Mezhenger Dune Agarfa Gasera Seweyna Alaba Kore Tembaro KT Dihun Keffa Shalla Gedeb Bale Boloso Hawassa Asasa Ginir Doolo SOUTH SUDAN sore Zuria Kofele Adaba Goro SO M A LI Konta Dawro West Kebridehar WolayiDatmaot Warder Kindo Dale Rayitu Ofa Weydie Arsi Dawe Denan Dida Bensa Nenesebo Berbere East Imi Korahe Geladi Loka-Abaya Kachen SidBoanmaa (Wereka) SN N P R Geze Kucha Chuko Harena Gofa Abaya Zuria Dara Buluk Gura Guradamole Bench Zala Gamo Mirab Girja Basketo (Harenfema) Damole Shabelle Gofa Abaya West Imi Gode Dobowein Maji Ubadebretsehay Arba Gedio Shilabo Gelana Adola Serer/Elkere Kemba Minch Goro Bonke Zuria Baqaqsa 0 25 50 100 150 kms Bule Meda O Alle Segen Hora Welabu Guji Kelafo Melka Hargele Adadle South Peoples' Dugda Mustahil Ferfer Creation date: 17 October 2012 Konso Soda Omo Dawa Chereti/Weyib Afder Map Doc Name: Hudet Filtu Yabelo 11_Nutrition_HS_000_ETH_101712_A4 Liben Barey Administrative Boundary:CSA (2007 Teltele Borena Arero pop.census purpose) Dolobay Hot Spot Information:DRMFSS/ENCUH Moyale Dolo Ado Dire Feedback:[email protected] Dehas Dillo http://ochaonline.un.org/ethiopia The boundaries and names shown and the Miyo Moyale K E N Y A designations used on this map do not imply official endorsement or acceptance by the United Nations.
The Borena administrative zone is overgrazing, and land degradation) Women walking longer distances in situated in Ethiopia’s Oromia state. This Decreased water availability search of water zone is divided into 10 woredas (districts) (water shortages) Increased human diseases and death and its capital is Yabello. It is bordered Emaciation of livestock Increased conflicts over scarce in the south by Kenya and Somalia. (livestock weight loss) resources (in Borana) The majority of people in the zone are Death of livestock pastoralists or agro-pastoralists, and To help communities address these livestock holdings mostly determine the Decreased livestock productivity issues, a number of international NGOs level of household wealth.7 (milk and meat) and UN agencies partner with local Decreased livestock disease resistance and national organisations in Borena. According to the report Climate-related Decreased livestock prices Alongside the long-term development Vulnerability and Adaptive Capacity Reduced incomes work, a range of humanitarian and in Ethiopia’s Borana and Somali relief work was undertaken in Borena 8 Crop failure Communities, the agro-pastoralist in response to the food crisis of communities of Borena identify the Food insecurity and malnutrition 2011. The humanitarian response is following consequences that they face (mostly affecting children, pregnant closely managed and coordinated by as a result of drought, inadequate women and old people) the national and local administrative rainfalls and climate change: Increased school drop-out rates authorities, while development Decreased pasture availability (due to migration) programmes appeared to have a (leading to shortage of pasture, Interruption of development activities freer sphere of action.
7 / Riché, Béatrice, Excellent Hachileka and Cynthia B. Awuor (2009): “Climate-related vulnerability and adaptive-capacity in Ethiopia’s Borana and Somali Communities: Final assessment report”. 8 / Ibid.
3. Counting on Accountability: Voices of affected communities 64
Views, concerns and suggestions from communities and staff in Borena
Appreciation for Take into account humanitarian what counts
and development Community members highlighted NGOs aren’t government. A good organisations for the their dissatisfaction with the lack of NGO is one that works in harmony understanding or recognition of the with the society, culture and values support they provide: customs and context of the pastoralist of the community. It engages the All the community members who communities in aid programming. community, does projects based participated in the consultation on community interest and needs. expressed gratitude and appreciation Community members felt that It discusses with the community for the support that humanitarian and their mobility, livelihood patterns, before an intervention development organisations provide. needs, existing coping mechanisms They said the organisations had and priorities were not fully Village Chief of Arero “relevance” and “help to generate understood, appreciated or given income at household level.” They importance in programme design appreciated how organisations “help us or implementation. This has led to in the time of our need” with “priority frustration and lack of confidence being given mostly to children, women, in I/NGOs, and to feelings of being and disabled groups.” disrespected and losing autonomy. Many lamented how this lack of A paper by the Humanitarian Policy They also recognised the work done by consideration has affected their Group (HPG), “Social Protection staff and efforts that are made to bring ability to engage in the projects, change and improvement to their lives. resulting in lower levels of in Pastoral Areas,” points to this participation and support. discord and calls for a thorough understanding of pastoralists’ specific There was evident exasperation as to vulnerabilities. It cautions that What makes a good why programmes and activities were “pastoralist livelihood strategies have NGO? designed and implemented during a number of features fundamentally times when they were away from their different to sedentary livelihoods. When asked what in their view makes homes searching for grazing land, Therefore, the use of ‘blueprints’ for a good I/NGO, community members getting water from distant places or social protection instruments from unanimously and unequivocally stated simply busy with activities to secure sedentary areas is inappropriate in that a good I/NGO is one that: their food and livelihood. the region’s pastoralist zones.” 9
“Responds to needs, for example introducing restocking and benefits that can improve our life” “Works in harmony” with the community “Keeps appointments and time” “Discusses, consults and shares ideas – everything should be based on consent and agreement” “Creates awareness and shares information through community gatherings”
Community members consistently repeated the importance of the values of working in harmony and collectively, based on principles of consent and agreement. Organisations which visited the community regularly, worked towards building a long term relationship with communities, discussed projects and sought their consent and approval Participants presenting challenges and solutions to working with partners before implementing them were in the HAP workshop, Yabello, Borena, Ethiopia viewed as and rated as the best ones. ©Maria Kiani /HAP
2013 Humanitarian Accountability Report 65
For communities, the failure of organisations to fully understand and Accountability is… take into account their context and customs leads to a sense of imposition Taking account of the needs, concerns, capacities and disposition and poor identification of needs. of affected parties Community members repeatedly Giving account of why certain actions and decisions are taken highlighted “don’t impose – imposing is bad.” When humanitarian or Being held to account for actions and decisions and safely report development organisations decide for concerns and gain redress as and where appropriate and responding communities rather than with them, to any concerns and complaints. this results in actions that are based Adapted from “What is accountability” http://hapinternational.org/other/faq.aspx#1 on perceived rather than real needs. As the HPG paper iterates: sense of disillusionment and questioned frustrations of communities, cannot be “Eastern Africa generally lacks why donor priorities, deadlines and held responsible for wider structural dedicated instruments to reduce the need to spend available funds take and systemic gaps in humanitarian and discrimination and abuse of the most priority over the contextual issues and development systems and processes. vulnerable pastoralists. The formal needs. They believe that if improved A broader rethink of how policies are policies of state actors in eastern impact and change is desired, then formulated, programmes designed Africa also rarely reflect the reality of the humanitarian and development and funds disbursed and dispensed pastoralists’ needs, but rather reflect financing processes must more needs to take place so organisations what are perceived as their needs.”10 systematically and effectively take into are facilitated and enabled to be more account contextual variations and needs. accountable to affected communities. Linked to this is the challenge of aligning real needs to the funds available. In Time to Listen, similar sentiments During the HAP workshop, staff of aid were expressed by local organisations organisations acknowledged the lack in Lebanon: “Everything is decided before Organisations don’t understand you start the project. Some donors come of understanding of the pastoralist how we live – they schedule communities. They also expressed to us with ready-made objectives so we meetings, activities at wrong times frustration about how projects came have to channel them into our objectives. and don’t take into consideration pre-designed and pre-decided according Once you get funded as a local NGO, to donor priorities and government you are strangled by the conditions you the seasonal calendar 11 regulations, and mentioned their lack imposed on yourself in the proposal.” of power and flexibility to adapt these Community members in Arero Wario according to the needs and context. Frontline staff and local NGOs, Many of them highlighted their own who are at the receiving end of the
An example of how predetermined projects did not take into account the context and lifestyle patterns of agro-pastoralists. Communities had little ownership or interest in maintaining these.
A pit latrine which no longer functions nor is used by Signboard telling communities to use pit latrines the nomadic and highly mobile communities © Maria Kiani/HAP © Maria Kiani/HAP
9 / Humanitarian Policy Group (2009): “Social Protection in Pastoral Areas, Synthesis Paper”. 10 / Humanitarian Policy Group (2009): “Social Protection in Pastoral Areas, Synthesis Paper”. 11 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, p. 69.
3. Counting on Accountability: Voices of affected communities 66
Deciding if assistance is worth it – the dilemma of opportunity cost
Communities in Borena highlighted the long distances they often have to travel to attend meetings or receive assistance which does not meet their needs. Their frustration is made even worse when I/NGOs do not keep time and arrive late for committed meetings, or do not keep their appointments at all.
One community member highlighted: “We have to travel a long distance just for one goat. You should adjust the distribution point.” In contrast, this person pointed out his preference for “saving and Women walk long distances to collect water in Borena, Ethiopia credit facilities (which) changed ©Maria Kiani / HAP our life for the better.” The agro- pastoralists of Borena, like other crisis-affected communities, have these moments when we can properly ideas, and supplemented and improved to weigh the ‘opportunity costs’ of speak of ‘disaster victims,’ where the existing traditional systems. going to a distribution point, attending the opportunity costs of choosing to a meeting, or participating in an depend upon an unaccountable relief Community members highlighted activity against those of searching agency can be truly deadly.”12 that “trainings and awareness for pastures, conducting livelihood creation benefited us.” Projects and activities or finding alternative While the opportunity costs in programmes that built the capacity of and self-reliant means of survival. Borena might not be ‘deadly,’ taking the community and had elements of There are consequences for either into account the social and mobility “behaviour change” were perceived choice they make: the distributed patterns and survival strategies as life-changing, sustainable and items obtained might not fulfil their of agro-pastoralist communities having positive impact. Such projects needs, or might not be proportional is critical when designing and provided new skills to community to the time and effort expended in implementing projects. In any members, giving them a sense of receiving them. On the other hand, community, sound and culturally empowerment and confidence, and not attending a community meeting appropriate structures exist for instilling a belief in their ability to change and improve their lives. convened by an I/NGO might mean sharing information. Alongside One example that was given was of being missed out or not being ‘selected’ these, new and innovative means for trainings on water management which for current or future assistance. reaching out to communities continue showed the community how they to be developed. All such avenues could save rainwater. Afterwards, the should be used to clearly and fully Stockton highlights these issues in community constructed water tanks to inform communities of the benefits his paper “The Accountability Alibi,” put their new knowledge into practice. saying that: and intended impacts of services, Other projects that were quoted in order to enable them to make included credit-saving schemes, “Once the opportunity costs of informed choices. This will also help awareness on family planning, queuing are more fully understood, so to mitigate their sense of frustration livestock health and care, sustainable too is the anger of disaster survivors and manage expectations. use of resources, and HIV awareness. when relief agencies treat them as if they had nothing better to do. Interestingly, communities talked about Such feelings are often exacerbated Sustainable, life-changing project cycles and short-term discrete by the venues chosen for relief aid activities. Despite the fact that some transactions. So often people have to versus ‘hit and run’ organisations have been working in the walk for hours or even days to get to projects Borena area for decades now, none of a distribution point, only to find that the community members mentioned the distribution schedule has been The projects that were appreciated an agreed and shared vision of how changed, that they have missed a the most were those that brought the things would be changed over a period vital registration event, and that all community and I/NGO together and of time and how the communities their effort has been in vain. It is at enabled them to work jointly, gave new and I/NGOs would work together to
12 / Stockton, Nicholas (2006): “The Accountability Alibi”, Humanitarian Exchange Magazine Issue 34.
2013 Humanitarian Accountability Report 67
achieve it. There also appeared to be limited linkages between I/NGOs on What works: examples from communities how their respective activities tied together to deliver coordinated and of sustainable programming long-term change. In separate discussions about sustainable projects, the community leader of Arero as well as the community members shared the same Aid recipients in Kenya also highlighted example of a traditional well-being repaired. The traditional well, which the shortcomings of this ‘piece-meal’ is dug deep into the earth, had become inaccessible due to a lower water approach and short-term mentality. table as a result of the drought. As reported in Time to Listen, they “criticized the ‘project mentality’ Community members appreciated how the local NGO: among donors and aid agencies, saying that it lacked a long-term vision and impact and that more money was wasted with short-term thinking.” 13 discussed with us the water management issue. They came with what they have, asked for a (labour) contribution from the community and addressed our need. Communities also emphasised self- reliance rather than over-reliance on I/NGOs. They preferred projects Through the discussion and cooperation of the community, the traditional that changed lives and offered ways well was repaired through a locally and collectively generated solution. to overcome dependency through This involved building a water trough, with the community contributing facilitating new ideas, approaches time and labour. The well was not only repaired, but it now only needs and meaningful changes. Community three people to function it whereas earlier it needed twelve. In addition, members also expressed their dislike flood diversions were created. for ‘band-aid’ approaches and pre- designed projects, and cautioned: “Discuss together the creation and The community’s sense of collective achievement and ownership was design of the programme, agree evident. Maintenance and repairs of the well continue to be managed by priorities and create an action plan the community. As one community member said: so it can be done.”
The NGO assisted us and worked with us. A traditional well was Existing principles of equality, sharing improved through use of traditional and modern systems. The technical and collective survival were found to expertise given to the community is the legacy of the NGO and their be common among all the community work is unforgettable. members consulted. These are based on religious values and a sense of community and kinship, with Members of a women’s cooperative in a village on the outskirts of Y abello resources being shared amongst the shared another example of a sustainable project that introduced them poorer and marginalised community to credit and saving schemes. The scheme helped to create positive members. Organisations have not and long-term change for the women and their community. Incidentally fully understood or leveraged these this project was conducted by the same organisation which conducted aspects in programmes designs, the traditional well repairs. The members of the Women’s Cooperative whereas building on such principles Society said: offers the possibility of programming that is more sustainable, prioritised according to community needs and The NGO called each one of us from our houses and taught us to manage reinforces communal self-reliance. the money from our credit and saving scheme. The NGO changed our minds by informal education. We collectively constructed the centre and Communities also recognise the the NGO employed the teacher. The credit and saving scheme changed limited funds available for I/NGOs. our capacity and our lives. Suggesting how to use the limited resources more wisely so that there is greater impact, some members of the Arero Wario community said that I/ NGOs should “select few households knowledge creation is a must. Assign has been echoed by others across and change their lives rather someone to live with us, to guide and the world. In Myanmar the CDA’s than give few things to the whole support us so we can bring positive Listening Project was told that: community. Prioritise the vulnerable change to our lives.” “People want self-reliance and to groups.” This call for greater self- focus on long-term development and reliance and sense of collective Replacing dependency by an approach planning after they have awareness good and sharing was echoed in the that empowers the community on and training.” 14 village of Sanke Dambala, where a collective level and enables them some suggested that “awareness and to be self-reliant is a desire that
13 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, p. 74. 14 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, p. 17.
3. Counting on Accountability: Voices of affected communities 68
Caught between The linear and bifurcated approach actions and decisions, whether they to relief, recovery and development are affected by disaster, conflict the humanitarian- appears to have increasingly or poverty. development divide become counterproductive. The divisions between humanitarian Borena offers a mix of concepts, and development assistance are Information and approaches and theories of development blurred and in some cases irrelevant. transparency – the and relief work. In response to the 2011 The contextual realities and needs food crisis, humanitarian interventions of those affected by disaster and power to change and spiked and some development conflict are more complex and rapidly to hold to account organisations and local partners changing and do not fit into the changed gears and became ‘multi- artificially constructed and abstract mandated,’ providing humanitarian and divisions between humanitarian and development assistance simultaneously. development assistance. A more fluid This period also saw the arrival of new and integrated approach is needed. organisations and actors. We have little information about In the case of pastoralist communities, our rights and are not informed The influx of organisations and flurry the failure to integrate different types that NGOs are answerable to us of activities during the time of the of programming has led to an increase food crisis appears to have left the in vulnerability and a vicious cycle Community members in Gumi Gayo communities bewildered. They cited of dependency. The aforementioned a number of “hit and run projects” HPG paper highlights that “the for which no consent was sought, no pastoralists are in a perpetual state agreement with community members of humanitarian crisis reliant on food was negotiated nor was there any aid” which is the “the negative impact The consultations in Borena revealed follow up or monitoring once items of historical neglect and inappropriate that communities lacked detailed were distributed. Communities talked or unimplemented policies in pastoral information about organisations’ about how organisations “disappeared” areas.” This has wrongly led government backgrounds or expected staff and “staff never revisited to check the and development practitioners “to behaviours, and were not adequately impact of their activities,” or how they continue focusing on the consequences informed about project life “never heard from some I/NGO again.” of drought, rather than working to spans, with some expecting relief The Time to Listen report highlights reduce vulnerability to it.” 16 distributions to continue. Others similar issues, and says that “people highlighted that they were not talked about how project timeframes The new ‘resilience agenda’ currently informed about or explained their are too short and long-term projects being put forward offers the hope of a rights and entitlements. with community involvement in needs potential bridge between emergency assessments, planning, and evaluation response and long-term development Communities also repeatedly and are necessary.” 15 aid. However, there is no clarity on who strongly emphasised the need to have is ultimately responsible for ensuring fuller details regarding the purpose In the aftermath of this wave of that humanitarian and development and intended impacts of projects humanitarian interventions, the assistance can be better linked through before they are implemented. As one community in Borena has been left the resilience approach.17 community member in Arero Wario with partially met needs and unmet said: “They should ask, discuss expectations about projects that have Though inhabiting different political before implementing and understand had little or no impact. This has left and philosophical spheres, with one the pastoralist way of life.” some of the I/NGOs that continue to be trying to assuage the immediate present there to bear the brunt of the effects of a disaster or conflict and The act of sharing information and lack of accountable practices of other the other working to remove the seeking consent from the community organisations. Community members structural and underlying causes of restores the balance of power in report feelings of powerlessness and socio-economic inequalities, the focus favour of affected communities. inability to make decisions about their of both humanitarian interventions Information provides people with well-being. On the one hand this has and development assistance is one the power to make informed choices given rise to deep frustration about the and the same: affected communities. about whether or not to engage with, ‘piece-meal’ or ‘hand-out’ approach, To reflect this, a more seamless support and participate in activities of with trust and confidence in I/NGO transition between, and integration of, I/NGOs, and also with the knowledge work diminishing. On the other hand, the stages between relief, recovery, they need to hold these organisations residual expectations for further relief resilience and development is needed. to account. The responsibility distributions still exist, as highlighted This transition must be underscored to provide timely and relevant by one community member: “There are and tied together by the fundamental information lies with an implementing no frequent or regular meetings. We principle of being accountable and organisation. It is in essence a form don’t know when the next distribution putting the well-being of affected of seeking permission or consent to [of cattle and services] will happen.” communities at the centre of all intervene – the first and most basic
15 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, p. 17. 16 / Humanitarian Policy Group (2009): “Social Protection in Pastoral Areas, Synthesis Paper”. 17 / Kindra, Jaspreet (2013): “Understanding Resilience”, IRIN.
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step even in providing first aid in most countries. Sharing information can Views from the men and women of Arero help mitigate people’s feeling of being passive recipients of aid, and replace Wario Village: it with a sense of agency and control, How I/NGOs should behave and WHAT THEY SHOULD DO to improve: as it gives them the ability to make decisions and give consent to actions Introduce yourself and decisions that will affect their lives and well-being. Communities Create awareness – explain to us what you want to do in Borena remarked that this is also Work on behaviour change a critical aspect for the success of programmes, as highlighted by one Find agreement from community community member in Arero Wario: It is not good if you come and deliver services without explaining “Share information beforehand so we can be successful together.” Bring everyone together, and hold discussions in order to understand the seasonal calendar and which are the critical times for pastoralists During workshop deliberations, staff Understand the dynamics of our way of life working in Borena highlighted the Share information challenges of sharing information within a highly mobile agro- Before you start anything, make sure that all members of the pastoralist context. Staff stressed community are present that the context should not be used Before any project, build an understanding and then find agreement on as an excuse to justify the failure roles and responsibilities of each party to adequately and appropriately inform communities. Rather, they Plan with us acknowledged that it was the Everyone should participate and the community should also contribute responsibility of organisations working in Borena to understand the Imposing your view is bad – don’t impose agro-pastoralist context and adapt information sharing activities and Interestingly, these recommendations highlighted by the community are practices appropriately. encapsulated as requirements for being accountable in the HAP Standard benchmarks of sharing information and participation.18 Staff also highlighted challenges like a “lack of transparency and openness” and a “culture of secrecy” that was prevalent socially, internally within organisations and Communities repeatedly highlighted the programmatic misfits can only come towards communities. This, they need for informed consent, agreement, from a serious gap in participatory said, has shaped attitudes of staff discussion and participation before planning: evidently, project timeframes and organisations, as well as the and during programmes, along with and designs have been pre-established, government, to be “unwilling to the importance of recognising their and communities have to dramatically share information.” As a solution, context and culture. change their livelihood and survival they emphasised the need for patterns to conform to them. When prioritising information sharing as In one focus group, the HAP team asked how I/NGOs could improve, this a programmatic activity, backed by met with a group of community group recommended: appropriate guidelines and policies. members who were digging a water hole for preserving rainwater. During “Programmes should be participative discussions they revealed that it was and based on consent of people” the wrong season to be digging a water “We should have community Participation – imposition hole and although they knew this, the participation” or agreement? I/NGO had a deadline to meet to do the project so they had to participate in the “Discuss with us first and then activity. In addition they highlighted implement” that they had dedicated time away from “Keep our recommendations” other activities to dig the pond, and Sometimes participation will be after it was completed they still had to “Make an action plan with us” reduced – sometimes I/NGOs travel long distances to fetch water. “Consider real season, situation and impose ideas before discussion time before starting programmes.” with us. When they impose ideas This highlights the issue of opportunity people lose interest and stop costs, as discussed earlier, and At times, communities accept what is engaging with I/NGOs also the misunderstanding or lack designed and implemented by I/NGOs, of consideration given to seasonal knowing well that in actuality the Community member, Darito Arero Wario issues and patterns. These kinds of
18 / HAP (2010): “The 2010 HAP Standard in Accountability and Quality Management”.
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activity will have little or no impact, “History of poor participation” their grievances in a complaints or is unsustainable. They acquiesce to box. They were not clear on how “Limited awareness creation about the deadlines and deliverables set, in the complaints were dealt with and the programme activities” most cases unilaterally, by I/NGOs, addressed and said: “We know there with the hope of drawing some short- The “need to provide incentives to is a complaints box: we don’t know term or immediate benefit. In other participate” how to use it, so we don’t use it.” cases, their acquiescence is due to
the fear that questioning an activity Prevalence of “dependency syndrome” Other communities cited examples of might make the I/NGO “unhappy” or sharing concerns and complaints with make them appear “ungrateful” and Pre-set donor (including partner) staff who visited their communities, possibly lead to the withdrawal of the prioritisation and “inflexibility to with mixed success. The Yabello present and future assistance. adapt to on-the-ground needs” women’s cooperative were satisfied “Community-based programming is with how their issues were dealt with, These testimonies reveal the poor or not existing” and citied an example of how a hut underlying power dynamic which is that constructed by an I/NGO had some of a recipient–benefactor relationship, “No proper information sharing defects which were fixed once the in which aid recipients are burdened on time nor briefing on roles and issue was raised with the staff. In with concerns that providing feedback responsibilities of I/NGOs” other locations, however, community or raising a complaint might lead to the “Lack of organisational commitment members said that issues were suspension of support. This indicates and accountability” raised but these were not addressed the need to change the nature of the adequately, adding that: “Follow-up is relationship, and for aid organisations “Lack of awareness about how to necessary. We give suggestions but to be more mindful of their inherent communicate in line with culture, there is no follow up – the I/NGO did power and to use it in a more responsible norms, values” not even come back.” manner. This, after all, is the essence of accountability to those who we seek “Lack of proper organisational These experiences show the to assist. supervision, monitoring and evaluation.” importance of putting in place a complaints system that is appropriate As these comments demonstrate, to the context. Yet many organisations improved and meaningful participation and staff still operate under the by communities requires organisational misconception that simply putting in There are times that NGOs do not commitment. In addition, if programmes place a ‘complaints box’ is enough to provide what people really need. aim to increase self-reliance and a sense deal with grievances. Any complaints For some NGOs, the projects of empowerment for communities, which system put in place should be context come from above, top-down. They can only be achieved through greater appropriate, designed according to should listen to the people from participation and a more even balance the preferences of the community, the communities of power between aid providers and be accessible to all groups within and aid recipients, donors and the community.20 The organisation governments must also look at their Community members, Myanmar/Burma, should also ensure that there are the Listening Project 19 decisions, programming and funding set procedures in place for dealing policies through an accountability with and addressing the complaints, lens and shape these accordingly. and that it provides multiple avenues through which concerns and complaints can be brought to its attention in a safe and timely manner. Inadequate consultations with Complaints – thinking communities and ‘cookie-cutter’ or inappropriate programming are not outside the box During the HAP workshop, staff intentional on behalf of staff working provided recommendations and As already highlighted earlier, actions to be taken forward to directly with affected communities. communities said they were “not While reflecting on the challenges establish and improve complaints aware of their rights or that I/NGOs systems. These included they faced and the existing gaps for are answerable to them.” When improving participation, staff in the “empowering the community and asked if they raised concerns HAP workshop in Borena highlighted creating awareness,” “building or complaints and if these were the following issues: trust by giving feedback and taking adequately addressed, they gave action,” and “building awareness mixed responses. about accountability commitments Nomadic social and livelihood patterns and the rights of communities.” They of the communities: “communities are One of the communities consulted also highlighted that this should be dispersed over large areas” highlighted that they had to travel done incrementally, harmonising “Misunderstanding of pastoralist approximately 100 kilometers to new processes with on-going system” Yabello, the capital of Borena to put programmatic activities.
19 / Anderson, Mary B., Brown, D. & Jean, I. (2012): “Time to Listen”, p. 39. 20 / The HAP Standard does not prescribe using a complaints box. The HAP Standard is formed on six integrated benchmarks that build on each other. Handling complaints is the fifth benchmark of the HAP Standard. It is preceded by benchmarks regarding sharing information and participation, which help to establish trust between an organisation and community, and decrease the number of grievances as well.
2013 Humanitarian Accountability Report 71 What next?
The issues raised in this chapter paternalistic. Cases of ‘good practice,’ years on issues of accountability are not new or remarkable in unfortunately remain sporadic rather and quality. It is critical that these themselves. What is remarkable is than systematic. efforts now translate into structural that after 10 years, the questions and and system-wide improvements. criticisms raised by disaster-affected Meanwhile, affected communities Humanitarian and development actors communities continue to be the same continue to call for improved and should make increased efforts to time and time again. Numerous reports accountable services that are not comply to accountability and quality and countless meta-evaluations of only life-saving but life-changing. We commitments they have made, and humanitarian responses ranging from record the voices of those who we seek must not shy away from matching the Rwanda genocide, Indian Ocean to assist in countless consultations, rhetoric with action on the ground. Only tsunami, Pakistan floods or Haiti reports and evaluations. But are we then can we systematically, effectively earthquake 21 provide sufficient proof of acting on what they are saying? At and truly put communities affected by how the humanitarian and development times, we dismiss their views as being disaster, conflict, poverty or climate system at large continues to create ‘anecdotal,’ or ‘the grumblings of a change at the centre of our actions and and reinforce a recipient-benefactor disgruntled few.’ More often than not, decisions. The responsibility to ensure relationship between affected the opinions of those we seek to assist that our grandest policy and smallest communities and humanitarian or are seen to be ‘insufficient evidence’ action does not disempower or diminish the dignity and autonomy of those we development organisations. While to bring about policy or programmatic seek to assist ultimately lies with us. the discourse of humanitarian aid changes, and are not given enough and development work has become weight to dedicate additional resources increasingly politically correct, to meet their concerns. professing to uphold rights and put communities at the centre, our actions This year’s Humanitarian Accountability Walking towards an uncertain future, Ibrahim – collectively, organisationally and Report has highlighted that significant Osman Mohammed (in front) and his cousin personally – by and large continue to be progress has been made over the Hassan Keyr Isaac cross a remote section of eastern Kenya near the Somali border ©Paul Jeffrey /ACT
21 / As highlighted in reports such as: • Independent Evaluation of the DEC Tsunami Crisis Response • The Joint Evaluation of Emergency Assistance to Rwanda: Study III Principal Findings and Recommendations • The Joint Evaluation of the International Response to the Indian Ocean Tsunami: Synthesis Report • Inter-Agency Real Time Evaluation of the Response to Cyclone Nargis • Inter-Agency Real-Time Evaluation in Haiti: 3 Months After the Earthquake • IASC Real Time Evaluation of the Humanitarian Response to the Horn of Africa Drought Crisis 2011 • Inter-Agency Real-Time Evaluation of the Humanitarian Response to Pakistan’s 2010 Flood Crisis
3. Counting on Accountability: Voices of affected communities A woman transfers part of the day’s catch in Karonga, a town in northern Malawi. Fish from Lake Malawi, which is bordered by Malawi, Tanzania and Mozambique, provide an important part of people’s diet in this area © Paul Jeffrey /ACT
4 Resources The Resource section of the 2013 Humanitarian Accountability Report is a compendium of some of the most influential reports on accountability in the past 30 years, along with web addresses of numerous accountability-related initiatives. For the interactive version of this report, in which you can find the hyperlinks to all the documents listed, please visit www.hapinternational.org 73
129 documents on quality and accountability you should read Humanitarian Accountability Report Quality and accountability issues in the field of humanitarian The Humanitarian Accountability Report is published action have long been discussed by practitioners and annually by HAP and contains an overview of best academics alike, questioning existing approaches, suggesting practice in accountability, along with key issues, new ones and shaping both policy and practice in the sector. emerging trends and some of the key policy decisions Over the past 10 years, HAP has compiled a resource library in the humanitarian and development sectors. Each comprising of over 500 resources related to these discussions, issue of the HAR always contains a section dedicated with some articles dating as far back as 1978. In this section to the voices of affected populations, along with the the HAP team has selected the documents most representative results of HAP’s annual perceptions of accountability of discussions prevailing at the time, excluding tools and case survey, which demonstrates trends in perceptions on studies. Looking back at some of these documents helps us accountability across the sectors. For all the previous identify how policy has evolved, understand why we are where reports, visit www.hapinternational.org/projects/ we are now, but also realise that some things haven’t changed publications.aspx that much. If you want to access the full HAP resource library, please visit www.hapinternational.org
the use of standards for internal regulation. OCHA: “Humanitarianism in the 2013 Furthermore, Cosgrave discusses the Network Age” proliferation and complexity of standards, The first section of this report is divided Chapelier, Carole & Shah, Anita: their diffusion, and potential costs. “Improving communication between into four chapters. The first chapter charts humanitarian aid agencies and crisis Cosgrave, John: “Standards: A stick to how new communications technologies affected people: Lessons from the beat us with?” are already affecting people’s behaviour infoasaid project” in emergencies. The second chapter lays This paper reviews the use of humanitarian out some of the most pertinent features of The infoasaid project, which came to a standards as part of an external regulatory these new technologies, and identifies the close in 2012, had two main objectives: To environment for humanitarian action. opportunities and difficulties in applying strengthen the capacity and preparedness The author discusses accreditation and them. The third chapter describes how many of the humanitarian system to respond certification, the advantages and risks aid organisations are adapting to a more to the information and communication of the current lack of regulation, and open, participatory way of interacting with needs of crisis-affected populations, important decision areas regarding people in crisis, and how this is affecting their and to partner with aid agencies to help regulation, accreditation and certification. activities. The fourth chapter proposes a inform and support their communication plan for humanitarian organisations to adapt. response in emergencies. This Network The second section of this report presents Paper examines the strategies infoasaid Featherstone, Andy: “Improving impact: country-level data and trend analyses relevant adopted to achieve these objectives, do accountability mechanisms deliver to humanitarian assistance. outlining what was done, how it was done, results?” what the challenges were and what was learnt from the perspective of the project In spite of an assumption that the People in Aid: “The State of HR in and its partners. introduction of accountability mechanisms International Humanitarian and leads to more effective projects, little Development Organisations” evidence exists to support this claim. Christensen, Stephanie, Fischer, Defining effective projects as those that This report urges people to plan now for Margeaux, Giacobbe, Enrica: “Improving are relevant, effective, efficient and the future. The paper looks at human Humanitarian Action: The Impact of sustainable, in line with the DAC Criteria, resources challenges in the humanitarian Organisational Change Methodologies” HAP, Christian Aid and Save the Children and development sector over the last 12 months. The report focuses on the The humanitarian community has been developed a methodology to examine changing landscape in times of recession increasingly focused on improving its whether accountability mechanisms to and how this climate of uncertainty accountability mechanisms since the failure affected communities improve the quality presents challenges to the sector. of the humanitarian response in situations and impact of aid programmes. such as the former Federal Republic of Yugoslavia and Rwanda. In this report three HAP: “Guide to the 2010 HAP Standard in accountability methodologies are discussed: Accountability and Quality Management” evaluation and learning, standardisation, 2012 and certification. The impact on This guide puts the widely used 2010 organisational change and the resulting HAP Standard into context and identifies Abu-Sada, Caroline: “In the Eyes of successes and challenges are examined. challenges and solutions for organisations Others: How People in Crises Perceive looking to instil accountability in their Humanitarian Aid” Cosgrave, John: “Humanitarian management systems. It also provides the standards - too much of a good thing? ” user with a plethora of resources and case The book is a result of MSF’s attempt studies from HAP, its members and other to better understand how its work and The author examines where the organisations. The document provides principles of neutrality, impartiality, and humanitarian community is now in terms of practical guidance for implementation of the independence are perceived by those quality and accountability, how we got here, HAP Standard, the six benchmarks of which who receive its emergency medical and what some of the challenges are for the help ensure the needs of people affected by care. A variety of scholars, researchers, future. The main focus of the article is on disasters drive humanitarian action. students and other humanitarians also
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contribute essays expanding on issues of in order to support IASC activities on VOICE Newsletter Issue 16: “What is perception and exploring the many facets accountability to affected populations Accountability in Humanitarian Aid?” of humanitarian action today. (AAP), investigate the current status of AAP amongst humanitarian agencies, with In the search for quality humanitarian aid, the word ‘accountability’ is often a particular focus on gender equality and ALNAP: “The State of the Humanitarian mentioned in the same breath as protection programming, propose means to System 2012” ‘effectiveness’ and ‘efficiency’, but what strengthen AAP at an interagency level, and does it really mean? Through a variety of The State of the Humanitarian System to develop a model for an interagency level articles, this newsletter aims to broaden report is an ambitious snapshot of the approach to AAP that could be applied in the perspective on this important topic, entire humanitarian system. Commissioned other situations and country programmes. and the editors hope it will stimulate by ALNAP, it outlines what’s working, actors involved in different parts of the what’s not, and how the sector has been humanitarian endeavour to think through performing in in the years 2009-2010. IRIN: “Are they listening? Aid and humanitarian accountability” their own accountability in the widest sense of the word. Anderson, Mary B., Brown, Dayna This is a report on the advancements in & Jean, Isabella: “Time to Listen: NGO Accountability in recent years. The Hearing People on the Receiving End of authors also present various definitions International Aid” of accountability and discuss issues such 2011 This book captures the experiences as the prevention of sexual exploitation and abuse (PSEA), accountability in Islam, and voices of over 6,000 people who ActionAid International: “Accountability, aid effectiveness in the Dadaab refugee have received international assistance, Learning and Planning System” observed the effects of aid efforts, or been camp, ActionAid’s funding strategy, and involved in providing aid. Over time, across the challenges faced when implementing Alps is a framework that sets out the key very different contexts and continents, accountability in practice. accountability requirements, guidelines, people’s experiences with international aid and processes in ActionAid International. efforts have been remarkably consistent. Not only in terms of organisational Obrecht, Alice: “Effective Accountability? While there was a wide range of opinions processes for planning, monitoring, The drivers, benefits and mechanisms of on specifics, the authors were struck by strategy formulation, learning, reviews CSO self-regulation” the similarity in people’s descriptions of and audits but also personal attitudes their interactions with the international and behaviours. Alps defines ActionAid’s The report critically reviews the current aid system. Their stories are powerful and standards, not only about what they do literature and available data on the full of lessons for those who care enough but also how they do it. Alps requires effectiveness of civil society self-regulation. to listen and to hear the ways that people processes and ways of working that are on the receiving side of aid suggest it can To support future research, this report crucial to supporting and strengthening become more effective and accountable. identifies four key questions that an ActionAid’s rights-based work. evaluation of self-regulation initiatives (SRI) effectiveness must answer, and Barry, Neil & Barham, Jane: “Review provides a broad blueprint for assessing SRI CDA Collaborative Learning Projects: of Existing Practices to Ensure effectiveness based on potential answers “Feedback Mechanisms in International Participation of Disaster-Affected Assistance Organizations” Communities in Humanitarian Aid to these questions. This blueprint remains Operationst” available to an iterative process of revision A growing number of international donors and modification on the basis of future and assistance agencies have made This review provides an overview of the empirical findings which, it is hoped, will commitments to improve the quality and most relevant policy, practice, literature shed further light on the valuable role of accountability of aid efforts by listening to the and research concerning the participation self-regulation in the not-for-profit sector. voices of recipients and affected populations. of disaster affected communities in To this end, a number of international and humanitarian action. It identifies key case local organisations are currently working to Shutt, Cathy & McGee, Rosie: “Improving studies and examples of best practice from develop and improve their recipient feedback the Evaluability of INGO Empowerment a range of organisations and scenarios. The processes. In early 2011, CDA Collaborative and Accountability Programmes” review also includes an analysis of donor Learning Projects conducted research funding policies and approaches, as well on how recipient feedback is gathered as the impact of ‘lessons learnt’ on future The main purpose of this document is and utilised to inform decision-making in actions. This includes the way ‘participation’ to provide guidelines to enhance the international assistance efforts. This report is formulated in terms of policy and how it is evaluability of INGO Empowerment presents the findings gathered through carried out in practice in multiple contexts. and Accountability (E&A) programmes. desk research and interviews with key The report provides a set of conclusions It is the output of what began as a informants in international humanitarian and and specific recommendations for DG scoping and analysis of INGO evaluation development agencies. ECHO with the aim of further integration practice that aimed to enable Care UK, of participatory approaches in future Christian Aid, Plan UK and World Vision humanitarian interventions. UK to identify and test an approach to DFID: “Humanitarian Emergency Response Review” measuring the outcomes of empowerment FAO, WFP, gFSC: “Accountability to and accountability (E&A) programmes. This review has found that DFID, the main Affected Populations in Pakistan: Commissioned by the four NGOs with conduit through which the UK government funding from their DFID Programme Interagency mission report” responds, is well respected and well Partnership Agreements (PPAs), it was regarded. Nevertheless, the review also Rome based agencies FAO and WFP, along conceived as a contribution to the work concluded that in light of the potential with the global Food Security Cluster, of the DFID PPA Learning Group on needs in years to come, there will have undertook an interagency mission to Measuring Results in Empowerment to be a step change in the way DFID Pakistan in September and October 2012, and Accountability. responds. The review makes a series of
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high level policy, and some down to earth Hofmann, Charles-Antoine: “NGO Jacobs, Alex: “NGO Partner Survey 2010: practical, recommendations intended to Certification: Time to Bite the Bullet?” Public Report” bring this change about. The sector has developed a series of During 2010, Keystone, in association with codes and standards to regulate itself. Bond, InterAction and NIDOS, brought Hammad, Lama & Morton, Bill: “Greater While these have gone some way to together a group of 25 northern NGOs Influence, Greater Responsibility: are based in Europe and the USA. As an improve the quality and accountability INGO ’s Self-Regulatory Accountability independent agent, Keystone surveyed the of humanitarian assistance, there are Standards Effective?” southern partners of the northern NGOs, limits to what can be achieved through asking partners to rate and comment To address allegations of poor self-regulation. As far back as 1996, the on different aspects of the northern accountability, many INGOs have signed on Joint Evaluation of Emergency Assistance NGOs’ performance. They guaranteed to collective self-regulatory accountability to Rwanda (JEEAR) clearly stated that that partners would be anonymous and standards as a means of ensuring that the development of codes and standards the northern NGOs would not be able to common principles are met, improving good is not enough: ‘some form of regulation identify who said what about them. This practice, and restoring confidence among or enforcement is needed to ensure report presents what the respondents stakeholders. This paper investigates how improvements in performance of NGOs’. said. It presents benchmark data from much these self-regulatory standards Ten years later, the joint evaluation of across all 25 NGOs, setting out the range have actually improved accountability the tsunami response made a similar of performance ratings they received. among INGOs. This is a working paper to recommendation. generate discussion and debate within the Kiani, Maria: “Collective efforts to development community, and especially improve humanitarian accountability and within INGOs themselves. HPN/ODI: “Special feature: humanitarian quality: the HAP deployment to Dadaab” accountability” Kiani explains the role of HAP’s Roving Hammer, Michael & Lloyd, Robert: This special feature, coedited with Team under the New Emergency Policy “Pathways to Accountability II: The ALNAP’s John Mitchell and Paul Knox- (NEP). She discusses the Inter-Agency 2011 revised Global Accountability Clarke, is dedicated to accountability in Mapping and Action Planning Exercise Framework” humanitarian action. The authors discuss, and touches on the Dadaab Accountability among other things, accountability and Quality Working Group as well as the This report summarises the results of to affected populations, real time challenges and solutions to collaboration. the 2009-2010 review process on the evaluations, NGO certification, staff One World Trust Global Accountability issues in the accountability context, the Framework and the piloting of the draft Knox-Clarke, Paul & Mitchell, John: role of donors, feedback and complaints framework during 2011, and presents “Reflections on the accountability mechanisms, sexual exploitation by revolution” the full One World Trust Pathways to aid workers, corruption, and sharing Accountability II indicator framework. information in disaster situations. In 2003 HPN published an edition of The authors’ work in this field is motivated Humanitarian Exchange focused on by a concern about the persisting humanitarian accountability, to assess weakness and insufficient effectiveness IFRC: “Beneficiary Communication what was known at the time as the of global organisations from all sectors in andAccountability: A responsibility, ‘accountability revolution’. The issue responding to the challenge of delivering not a choice” looked at why accountability had become global public goods to citizens and A good overview of the work that so important to the sector; which actors communities, the very people whom they the International Red Cross and Red should be accountable; what they should claim to serve and benefit, and who are Crescent movements have been doing be accountable for; and what actions were being taken. Nine years on this new issue most often dependent on them. to communicate more effectively with gives us a chance to review the current beneficiaries, including: experimenting, state of affairs. Has our understanding training, and strengthening and building Harvard Humanitarian Initiative: of accountability changed? Is it still as “Disaster Relief 2.0: The Future of on already established two-way important as it was? Where have gains Information Sharing in Humanitarian communication mechanisms. been made, and what are the challenges Emergencies” we face now and in the future? Internews, Radio Ergo/International This report recommends a five-part Media Support (IMS), Star FM of framework which entails a neutral forum Kenya, Norwegian Refugee Council Lingan, Jeannett & Hammer, Michael: to surface areas of agreement and con flict (NRC): “Dadaab, Kenya - Humanitarian “Empowering citizens: Realising service between the international humanitarian Communications and Information user involvement in UK Third Sector organisations through accountability system and the V&TCs (volunteer and Needs Assessment Among Refugees principles in self-regulation initiatives” technical communities), an innovation in the Camps: Findings, Analysis & Recommendations” space where new tools and practices can This report presents a brief introduction be explored as experiments, a deployable to the different types of self-regulation This joint communication and information field team with a mandate to deploy the and takes a look at self-regulation in the best available tools and practices from needs assessment led by Internews and development and humanitarian sector. It the V&TCs to the field, a research and conducted with Radio Ergo/International explores some of the drivers that push training consortium to evaluate the work Media Support (IMS), Star FM of Kenya and the sector into working on improving its in the field and to train humanitarians with support from the Norwegian Refugee practices, the principles under which and V&TCs alike in the best practices Council (NRC), aimed at understanding the the sector defines effectiveness and for information management, and a information needs of refugees in Dadaab accountability and some examples from a clear operational interface that outlines and exploring ways to improve the flow diversity of countries. The authors provide ways of collaborating before and during of communication between refugees, aid a landscape of self-regulation initiatives emergencies. agencies, and host communities. in the UK and dissect the content of these
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initiatives according to the issues they the second edition in 2004, and this third extent to which beneficiaries feel safer mostly focus on and in which ways they edition in 2011. as a result of measures introduced by aid encourage the participation of users. organisations, including both policies and Finally, they provide some examples of response mechanisms. This highlights the initiatives in use in the UK. Walker, Peter & Russ, Catherine: “Fit for purpose: the role of modern fact that aid organisations collaborating professionalism in evolving the in this study were making efforts to Polman, Linda: “The Crisis Caravan: humanitarian endeavor” address SEA, and the findings herein What’s Wrong with Humanitarian Aid?” offer assistance in improving systems and approaches in the spirit of continued The humanitarian enterprise has grown In her controversial, no-holds-barred adherence to zero tolerance stances. exposé Linda Polman shows how a in size and complexity over the past vast industry has grown up around generation. Modern systems of scrutiny humanitarian aid. The Crisis Caravan and accountability demand a higher HAP “The 2010 HAP Standard in takes us to war zones around the globe, level of accountability than ever before, Accountability and Quality Management” showing how aid operations and the both to programme beneficiaries and humanitarian world have become a to donors. This, the authors believe, The HAP Standard is a practical and feature of military strategy. Impassioned, puts pressure on the system to become measurable tool that represents a broad gripping, and even darkly absurd, more professional and on aid workers to consensus of what matters most in journalist Linda Polman gives some consider the establishment of a formal humanitarian action. The Standard helps profession of humanitarian aid. This powerful examples of unconscionable organisations design, implement, assess, article reports on research carried assistance, a world where aid workers improve and recognise accountable out to test this hypothesis and on an have become enablers of the atrocities programmes. Being accountable to crisis- they seek to relieve. approach that is presently being used to establish the necessary components of a affected communities helps organisations professional system. to develop quality programmes that meet Satterthwaite, Margaret L.: “Indicators those people’s needs, and reduces the in Crisis: Rights-Based Humanitarian possibility of mistakes, abuse and corruption. Indicators in Post-Earthquake Haiti” The first edition of the HAP Standard, the HAP 2007 Standard in Humanitarian With Haiti as a case study, this article 2010 Accountability and Quality Management, examines leading standards and was published in early 2007. indicators developed by professional Hammer, Michael, Rooney, Charlotte humanitarians in the last dozen years & Warren, Shana (2010): “Addressing that have as their aim improving the accountability in NGO advocacy: Practice, Jacobs, Alex & Wilford, Robyn: “Listen quality, effectiveness, and accountability principles and prospects of self- First: A Pilot System for Managing of their own response to disaster. The regulation” Downward Accountability in NGOs” paper builds on analysis of human rights indicators previously carried out with Based on a world-wide survey of civil This article reports on a research project AnnJannette Rosga. Understanding society self-regulatory initiatives intended to develop systematic ways of industry-wide humanitarian indicators undertaken by the One World Trust, this managing downward accountability in an as a “technology of global governance”, paper examines how NGOs have begun international NGO. Innovative tools were the paper also draws on the theoretical to address the accountability challenges developed and trialled in six countries. framework set out by Kevin Davis, they face in particular when engaging The tools comprised a framework, defining Benedict Kingsbury, and Sally Engle Merry in advocacy and explains some of the downward accountability in practical terms, in their work on indicators. strengths and weaknesses of existing and three management processes. They self-regulation for NGOs engaged in were successfully used to (a) encourage advocacy. Research presented in the The Sphere Project: “Humanitarian staff to improve downward accountability paper suggests that both normative and Charter and Minimum Standards in in ways relevant to their context; (b) hear Humanitarian Response” instrumental reasons account for the adoption of accountability principles by beneficiaries’ assessments of the level of accountability achieved and the value of the This Sphere handbook is one of the advocacy organisations through self- NGO’s work; and (c) generate quantified most widely known and internationally regulation, and that lessons learnt from recognised sets of common principles the One World Trust’s parallel work performance summaries for managers. and universal minimum standards for the on accountability principles for policy Taken together, they form a coherent draft delivery of quality humanitarian response. oriented research organisations can management system. Areas for further It puts the right of disaster-affected be usefully applied also to strengthen research are identified. populations to life with dignity, and to accountability of advocacy NGOs. protection and assistance at the centre Lingan, Jeannet, Cavender, Amy, Palmer, of humanitarian action. It promotes the HAP: “Change starts with us, talk to Thomas & Gwynne, Beris: “Responding to active participation of affected populations us! Beneficiary perceptions regarding development effectiveness in the global as well as of local and national the effectiveness of measures to South” authorities, and is used to negotiate prevent sexual exploitation and abuse humanitarian space and resources with by humanitarian aid workers: a H AP This paper provides a picture of civil authorities in disaster-preparedness commissioned study” society self-regulation initiatives in work. The minimum standards cover four primary life-saving areas of humanitarian This report was commissioned to gain the global South. Through an analysis aid: water supply, sanitation and hygiene further insight into how beneficiaries of 90 initiatives across 54 countries it promotion; food security and nutrition; of humanitarian aid perceive the identifies some of the common principles shelter, settlement and non-food items; effectiveness of efforts undertaken that underpin southern effectiveness and health action. A first trial edition of to prevent SEA and to identify ways to efforts through self-regulation, key this handbook was published in 1998, the improve outcomes. The main question characteristics of institutional design, and first final edition was released in 2000, the study sought to address was the specific drivers and challenges.
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Lloyd, Robert, Calvo, Virginia & Laybourn, accountability of governments to donors and Christina: “Ensuring credibility and away from their own citizens. This mirrors 2009 effectiveness: Designing compliance a critique of NGOs which has a long history. systems in CSO self-regulation” If civil society is to counter this critique Agyemang, Gloria, Awumbila, Mariama, and fulfil its promise as a vanguard of new Drawing on the One World Trust’s Unerman, Jeffrey & O’Dwyer, Brendan: forms of democracy, how might Australian database on CSO self-regulation, this “NGO Accountability and Aid Delivery” NGOs contribute? This review explores paper explores the different approaches some case studies of what Australian NGOs that have been taken by initiatives to This report addresses the following five are currently doing in this area and the address the issue of compliance, the specific objectives: to identify characteristics literature on this topic, as a first step in benefits and challenges associated with of the key mechanisms of accountability promoting a debate on the question. different arrangements, and the factors employed in a sample of international and which shape their adoption. It shows local NGOs in Ghana, to provide evidence of beneficial and dysfunctional impacts that, problematically, less than half of SCHR: “SCHR Peer Review on Accountability of the accountability mechanisms on the all of the CSO self-regulatory initiatives to Disaster-Affected Populations: An effectiveness of aid delivery, to explain why (47%) that currently exist worldwide have Overview of Lessons Learned” any element of a compliance system, particular accountability mechanisms are and among the most common form of The Steering Committee for Humanitarian considered beneficial or dysfunctional, to self-regulation – codes of conduct – this Response (SCHR) is an alliance of major assess the extent of beneficiary involvement percentage drops to 27%. The authors international humanitarian organisations in the accountability mechanisms, and to suggest alternative mechanisms of argue that this raises important questions aiming to support increased quality, accountability that may alleviate the about the effectiveness and credibility of accountability and learning within the potentially dysfunctional impacts of donor- many CSO self-regulatory initiatives. humanitarian sector. To this end it used led upward-accountability mechanisms. a Peer Review process to strengthen and deepen efforts that demonstrate Mango: “Accountability to Beneficiaries organisations’ Accountability to Disaster- Checklist: how accountable is your ALNAP: “Counting what counts: organisation to its beneficiaries” Affected Populations. This paper provides performance and effectiveness in the an overview of some of the key lessons humanitarian sector” This tool is a self-assessment checklist that emerged. to help NGO staff gauge how accountable The ALNAP Review of Humanitarian they are to their beneficiaries. It is made Action series aims to advance analysis and Transparency International: “Handbook up of just over 30 practical action points understanding of key trends and issues of Good Practices: Preventing Corruption which describe best practice in this area. relating to humanitarian learning and in Humanitarian Operations” The checklist may be a useful starting accountability as a means of supporting improvement in sector-wide performance. point for discussion about the type of The idea for this handbook came from the accountability that is most appropriate for massive humanitarian response to the the different situations that NGOs face. Asian tsunami, when the huge levels of Groupe URD: “Participation Handbook resources committed by the international for Humanitarian Field Workers” McGee, R. & Gaventa, J.: “Review community created concern about new of Impact and Effectiveness of opportunities for corruption. Many The Participation Handbook for Transparency and Accountability international development agencies have humanitarian field workers contains Initiatives: Synthesis Report” put in place corruption prevention policies detailed practical advice on the tailored to development programmes, but participation of affected people in In the first section the authors delve into there was a noticeable gap in policies for humanitarian action. It has three sections: the conceptual issues and definitions preventing corruption in emergencies. Developing a participatory approach which surround the transparency and Based on extensive research within and (main issues, key factors, building mutual accountability (T&A) debate. In the beyond the humanitarian sector, as well respect, communication methods and advice on reviewing your approach); next section they examine the diverse as detailed input from the humanitarian implementing your participatory assumptions and expectations of the T&A community itself, this handbook aims approach at every stage of the project agenda, since analysis of actual impact to fill that gap. It offers a menu of good calls for clarity about intended impact. cycle (initial assessment, project design, practice tools for preventing and detecting In the following section they present implementation, monitoring and final corruption in humanitarian operations. the state of evidence as reflected in the evaluation); a list of tools and additional background papers they have produced resources (books, internet sites, etc.). for each of five priority sectors. The Turk, Volker and Eyster, Elizabeth: final three sections address analytically “Strengthening Accountability in UNHCR” HAP: “The right to a say and the duty to methodological issues which contribute respond: The impact of complaints and to success of T&A initiatives and key gaps The dependency by populations of concern response mechanisms on humanitarian that need to be addressed in the state of on humanitarian action and international action” knowledge about impact and effectiveness protection creates a situation of power that of T&A initiatives. requires a corresponding system of checks Limited research has been undertaken so and balances. This needs to be balanced with far to collect evidence of the effectiveness the obligation of organisations like UNHCR Roche, Chris: “Promoting Voice and of complaint and response mechanisms to account for the use of financial, political, Choice: Exploring Innovations in and their impact on service provision. Australian NGO Accountability for and material means that have been put at To start addressing this knowledge gap, Development Effectiveness” their disposal by states. Bearing in mind its the report draws on a study of views and various dimensions, accountability is defined experiences of staff from four agencies There is a growing critique of international by UNHCR as a commitment to deliver and representatives of communities in aid which is gaining ground. At the heart results for populations of concern within a Uganda and Bangladesh at locations of this critique is the contention that the framework of respect, transparency, agreed where these agencies operate; additional aid system is not accountable to those it feasibility, trust, delegated authority, and interviews with staff from 17 agencies seeks to benefit, and that it distorts the available resources. complement the four case studies.
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IASC Task Force on Protection from HAP: “To complain or not to complain: Sexual Exploitation and Abuse: 2008 still the question. Consultations with “Guidelines on Setting Up a Community humanitarian aid beneficiaries on their Based Complaints Mechanism Regarding perceptions of efforts to prevent and Sexual Exploitation and Abuse by UN and Csaky, Corinna: “No One to Turn To: respond to sexual exploitation and abuse” non-UN Personnel” The under-reporting of child sexual exploitation and abuse by aid workers This report, based on consultations with This document provides guidance to UN and peacekeepers” refugees living in Kenya, Namibia and agencies and NGOs on how to set up a Thailand, provides insight into the barriers simple, safe and accessible Community This report focuses on ways to improve to complaining. It also highlights the Based Complaints Mechanism (CBCM) the international community’s response changes that beneficiaries hope for in for Sexual Exploitation and Abuse (SEA). to the sexual exploitation and abuse of order to break their silence when it comes Based on research which highlights the children by aid workers, peacekeepers to misconduct by humanitarian staff. “To chronic under-reporting of SEA, and and others acting on their behalf in complain or not to complain” about sexual incorporating experts’ advice, the suggested emergencies. The report concludes that exploitation and abuse continues to be the recommendations are deemed essential for there are three important gaps in existing dilemma faced by many disaster survivors. breaking the silence surrounding SEA. efforts to curb abuse and exploitation: Despite several years of concerted efforts 1. communities are not being adequately by humanitarian agencies, major progress supported and encouraged to speak out is still required if organisations are to Lingan, Jeannett, Cavender, Amy, Lloyd, Robert & Gwynne, Beris: “Responding about the abuse against them; 2. there become truly accountable for preventing to NGO Development Effectiveness is a need for even stronger leadership and responding to sexual exploitation and Initiatives” on this issue; 3. there is an acute lack abuse of beneficiaries by humanitarian staff. of investment in tackling the underlying The paper provides a picture of existing causes of child sexual exploitation and IRIN: “Beneficiary feedback: “thanks self-regulation efforts at international level abuse in communities. but no thanks”?” and at national level in the global North. It describes their underlying principles, Grünewald, Francois & de Geoffroy, The article explores the listening content, and compliance mechanisms; deficit in handling beneficiaries needs. and reflects on the way in which NGOs Véronique: “Principle 7 of the Good Humanitarian Donorship Initiative: “Participation’, ‘rights-based’ and may wish to engage with initiatives or to ‘consultative’ are all terms associated with improve effectiveness by using the best and Request implementing humanitarian organisations to ensure to the NGOs as the paradigm for humanitarian most relevant parts for their organisation’s greatest possible extent adequate aid has shifted from agencies thinking purpose. This briefing paper hopes to involvement of beneficiaries in the they know best, to trying to put affected contribute to the debate on how self- design, implementation, monitoring and people at the heart of their aid responses. regulation could strengthen the legitimacy evaluation of humanitarian response” But when push comes to shove, and and performance of the development sector. beneficiaries are unhappy with what they This Policy paper and the related study receive, do NGOs listen? And if so, how?” Roche, Chris: “Oxfam Australia’s were prepared by Groupe URD for the Listen First: “25 real-life examples of Experience of ‘Bottom-Up’ Good Humanitarian Donorship Initiative downward accountability in practice” Accountability” (GHDI), with the support of the Délégation à l’Action Humanitaire (DAH of the French This document is a collection of 25 short Oxfam’s experience suggests that ‘bottom- Ministry for Foreign and European examples to support the Listen First up’ accountability can be an important Affairs). It takes stock of the experience framework developed by Concern and Mango. These case studies demonstrate mechanism whereby men and women living Groupe URD has accumulated over the the variety, creativity and depth of good in poverty can hold others to account. The years on this subject, from its early work accountability practices that NGOs and first section of this article illustrates this in Central America following Hurricane public bodies have used around the world. with two examples of Oxfam’s experience Mitch to its recent work in Afghanistan This collection is a response to requests in Vietnam and Sri Lanka. The second and the Tsunami-affected area. It also from front-line staff for examples of section draws out some of the lessons builds upon the work done by Groupe from these examples and attempts to Listen First in practice. URD when it was in charge of ALNAP’s situate them within the broader debate Global Study on Participation of Affected about approaches to accountability. In the populations in Humanitarian Action, the Stobbaerts, Eric & de Torrenté, Nicolas: third section some suggestions are put Tsunami Evaluation Coalition (TEC), CDA’s “MSF and accountability: from global forward about what would need to change Listening Project, the Humanitarian buzzwords to specific solutions” if active citizenship and ‘speaking truth to Accountability Partnership (HAP) and power’ were to become the renewed focus other initiatives. There is no question that humanitarian of accountability. organisations must be accountable, both in the sense of ‘giving account’ and ‘being Warren, Shana & Lloyd, Robert: “Civil Hansen, Christian Jacob: “Complaints answerable’ for the choices they make, Society Self-Regulation” Mechanism Handbook” the work they do and the resources they use. Nor is it debatable, given the often Despite the widespread proliferation of The main objective of this handbook is to poor response to crises and the lack of CSO self-regulatory initiatives over the offer practical solutions to the challenge transparency about results obtained, past two decades, there has been no of setting up and managing a successful that far more accountability is needed. thorough stock-taking and analysis of complaints mechanism (CM). The The issue is rather to whom, about what existing initiatives. This first paper in a handbook provides a step by step guide, and for what purpose. Accountability series on CSO self-regulation provides including a number of practical tools has become a global buzzword. MSF has an overview of the state of CSO self- and exercises to facilitate the process, looked into this issue with the conviction regulation worldwide. It examines the and it contextualises the concept of a CM that a specific approach needs to be various types of initiatives currently in use and presents some of the added values developed, reflecting the reality and and offers insights into current patterns at and opportunities that a CM offers in a the challenges of field-based medical national, regional and international levels. humanitarian context. humanitarian work. This article describes
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this approach, as well as presenting Bhattacharjee, Abhijit: “Common shameless may not be vulnerable to public MSF’s present practice with regard to Humanitarian Accountability Framework exposure. Truth often fails to lead to accountability. for IWG Agencies, Inter Agency Working justice. After exploring different definitions Group: Emergency Capacity Building and dimensions of the two ideas, the more Project (ECB2)” relevant question turns out to be: what Wall, Imogen & Robinson, Lisa: “Left in kinds of transparency lead to what kinds of the dark: the unmet need for information accountability, and under what conditions? in humanitarian responses” The ECB Project commissioned a consultancy to develop a common This paper illustrates the critical Accountability Framework in order to help Swarbrick, Alex: “Making a difference? members meet the increasingly strident need to mainstream information and Evaluating the impact of The People In calls for demonstrating accountability in Aid Code” communication both across the sector as their humanitarian operations. This report a whole and within projects and agencies. analyses the current understanding and People In Aid’s vision is of a world in It falls into three parts: The fi rst part lays practices within the member agencies in which organisations work effectively out the evidence to date that information humanitarian accountability and examines to overcome poverty. This research is regarded by affected populations as a how the agencies can take on board therefore sought to understand the extent critical issue, and looks how they identify various existing international standards. of People In Aid’s impact through the Code information needs. The second part of Good Practice, i.e. has it enhanced explores how little demands are being organisational effectiveness and/or Brown, L. David & Jagadananda: “Civil met, why this is and what structures, increased the impact of programmes, Society Legitimacy and Accountability: systems and skills are missing. The third directly or indirectly, and if so, “in Issues and Challenges” what ways and by what measures.” The part suggests some clear steps that can research essentially explores three be taken to resolve these issues. This paper reports an effort to explore questions: How have People In Aid, and the issues of civil society legitimacy and specifically the Code, made a difference? accountability and the range of initiatives To whom? What are NGOs saying will help that have been created to respond to them still further? them. The paper concludes with an 2007 argument for the pivotal importance of improving civil society legitimacy and Austen, Davis: “Concerning accountability given their growing roles in Accountability of Humanitarian Action” local, national and global governance and 2006 problem solving. This paper asks whether initiatives ALNAP: “Evaluating Humanitarian Action designed to improve accountability Cavill, S. & Sohail, M.: “Increasing using the OECD-DAC Criteria” really are the solution to the problems strategic accountability: a framework humanitarianism faces today. It does not forinternational NGO s” This guide was developed after discussions aim to dismiss accountability; rather, it within the evaluation community, and within seeks to show that accountability is a INGO accountability falls into two ALNAP in particular, about how to strengthen procedural phenomenon, not a moral categories: practical accountability evaluation of humanitarian practice, and (for the use of inputs, the way activities how to foster more effective use of the one. Imposing it in the absence of a more are performed, and for outputs) Development Assistance Committee (DAC) specific understanding of what it means is and strategic accountability for how evaluation criteria. The DAC evaluation dangerous, and subject to manipulation. INGOs are performing in relation to criteria are currently at the heart of the Accountability is not inherently a good their mission. This paper presents a evaluation of humanitarian action (EHA) thing, but simply a characteristic of conceptual framework for exploring INGO - including within evaluations themselves relations of power. accountability. It is based on information and as part of agency guidance. However, collected through a literature review several criteria are not well understood; and semi-structured interviews with their use is often mechanistic, and excludes Bemelmans-Videc, Marie-Louise, representatives from 20 UK-based INGOs. more creative evaluation processes. Jeremy Lonsdale & Burt Perrin: “Making Accountability Work: Dilemmas for Evaluation and for Audit” Emergency Capacity Building Project: Bendell, Jem: “Debating NGO “Impact Measurement and Accountability Accountability” Like honesty and clean water, in Emergencies: The Good Enough Guide” “accountability” is invariably seen as This is a UN Non-governmental Liasion a good thing. Conversely, the absence The ECB Project’s Good Enough Guide Office document, included within a of accountability is associated with provides busy field workers with simple complete overview of accountability for steps to put local people at the heart NGOs, as seen by the NGLS. most of the greatest abuses in human of emergency responses and measure history. Accountability is thus closely programme impact in emergency situations. linked with the exercise of power and the Bond: “A Bond Approach to Quality in legitimacy of policies and those pursuing Non-Governmental Organisations: them. This book looks at the role of Fox, J.: “The uncertain relationship Putting Beneficiaries First” evaluation and of audit as key elements in between transparency and The purpose of this document is to review democratic accountability processes. The accountability” current practice, experience, and needs contributors explore the apparent paradox The concepts of transparency and in the area of quality standards, as well of there being more accountability- accountability are closely linked: as to suggest the roles that Bond and its related activities today than ever before, transparency is supposed to generate members could play in this area going at the same time as much public debate accountability. This article questions this forward. The research for this publication laments what is seen as a lack of actual widely held assumption. Transparency involved an analysis of the current accountability. mobilises the power of shame, yet the approaches to quality used by NGOs,
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an online survey of Bond members, a Swords, Sara: “Emergency Capacity series of focus group discussions with Building Project: Staff Capacity Initiative 2005 Bond members, and interviews with key (Humanitarian Competencies Study)” opinion formers and those responsible for Blagescu, Monica & Young, John: the main standards. “Partnerships and accountability: This document explores the use of current thinking and approaches among competency-based human resource agencies supporting civil society Keystone: “Learning with Stakeholders: management systems amongst members organisations” A Keystone Guide to Stakeholder of the Interagency Working Group on Dialogue” Emergency Capacity, and identifies The first part of this working paper tools useful to those developing such provides a summary of current thinking Keystone seeks to maximise the systems for the recruitment, management developmental impact (or value) of civil and development of humanitarian on issues of accountability, partnership society organisations, business and professionals. and capacity-building among Northern government, through designing and and Southern agencies involved in promoting innovative, practical methods collaborative work with NGOs and other Telford, J. & Cosgrave, J.: “Joint of planning, doing and communicating CSOs in developing countries. A second evaluation of the international response their work in ways that foster learning and part provides some examples of current accountability among all constituents. to the Indian Ocean tsunami: Synthesis practice among a number of Northern Keystone believes that organisations Report” agencies engaged in work similar to function best when they can effectively This Synthesis Report is based primarily be held to account by those most that proposed under the Partnership on five thematic evaluations undertaken affected by their activities. Its model of Programme Agreement (PPA). The last by TEC member agencies during 2005/06. civil society accountability helps civil part contains an annotated bibliography These focus on coordination of the society organisations to be inclusive and of the key texts consulted for this review, international humanitarian response, the responsive in their engagement with along with summary information and role of needs assessment in the tsunami constituents, systematic in their learning, website addresses for other organisations response, the impact of the response on and transparent in their public reporting. local and national capacities, links between involved in similar work, and sources of relief, rehabilitation and development information about these issues. Lloyd, Robert & de las Casas, Lucy: “NGO (LRRD), and the funding response to the self-regulation: enforcing and balancing tsunami. The Synthesis draws together Coordination SUD: “Guide Synergie accountability” learning and recommendations contained Qualité: Propositions pour des actions in these TEC studies as well as over 170 humanitaires de qualité” Increasing visibility and increasing criticism, additional reports. among other factors, have led to growing pressure on NGOs to be more accountable, This guide is the result of a two-year both from within and outside of the sector. The Listening Project: “Report of collaboration with several French NGOs One increasingly prominent means of doing Listening Project: Aceh, Indonesia, that have defined good practice principles so is self-regulation, but without means of November 2005” and examples for five thematic areas that enforcement how effective is this? And how are essential for high quality humanitarian Informal, internal report on the can self-policing codes tilt the balance in results of casual discussions with action: humanitarian ethics, governance, accountability procedures away from the 300+ beneficiaries. The focus is on human resource management, project powerful (donors and governments) and what is distributed, who receives help, management, and participation of affected towards the NGO’s beneficiaries – those information and communication, and populations. people on whose behalf an NGO claims to promises and perceptions. be working and who, after all, provide the rationale for its existence? Ebrahim, Alnoor: “Accountability Myopia: Wenar, Leif: “Accountability in Losing Sight of Organizational Learning” International Development Aid” Pallis, Mark: “The Operation of UNHCR’s Accountability Mechanisms” This article challenges a normative Concerns over aid effectiveness have assumption about accountability in led to calls for greater accountability in This paper analyses the accountability organisations: that more accountability international development aid. This article mechanisms that currently operate is necessarily better. More specifically, examines the state of accountability within within the UNHCR. It argues that these and between international development it examines two forms of “myopia” that mechanisms do not render the UNHCR agencies: aid NGOs, the international characterize conceptions of accountability accountable to refugees, and that this financial institutions, and government aid among service-oriented nonprofit situation should be rectified. It considers ministries. The investigation finds that organisations: (a) accountability as a from a normative perspective the legal and there is very little accountability in these political standards that should apply when set of unconnected binary relationships agencies, and that the accountability the UNHCR is held to account. rather than as a system of relations and that there is often works against poverty (b) accountability as short-term and rule- relief. Increasing accountability, however, following behavior rather than as a means is not always the solution: increased Stockton, Nicholas: “The accountability to longer-term social change. The article alibi” accountability may just amplify the explores the effects of these myopias on complexities of development efforts. Only This article looks at the fact that those reforms with real promise to make a central mechanism of accountability in accountability, or rather a lack of it, has aid more effective in reducing poverty organisations—evaluation—and proposes become an alibi for humanitarian failure, should be encouraged. One such proposal a broader view of accountability that and a polite way of asking for more money. is set out here. includes organisational learning.
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Egeland, Jan: “Humanitarian tenth anniversary of its adoption. The Chapman, Rhonda: “Strengthening Accountability: Putting Principles origins, usage and future of the code are Australian NGO s: The Australian Council into Practice” examined with respect to three debates, for International Development” current at the time of its inception, Egeland asks what is meant by Chapman details the attempts by ACFID namely: the debate about the core content accountability and transparency and and various sectors of the Australian of humanitarianism; the debate about how are they being applied and how do government to regulate Australian NGOs, coherence and the consensual nature of they contribute to the health, safety and leading finally to the development of the the humanitarian community; and the physical well-being of beneficiaries. ACFID Code of Conduct. She adopts The author argues accountability must debate about the need for, and the ability Stewart-Weeks definition of accountability manifest itself as improved protection to demonstrate, accountability. as ‘securing a level of confidence and trust and quality of life on the ground. in an organisation’s legitimacy’ coupling it with Ebrahim’s commentary calling accountability a dynamic concept. Jordan, Lisa: “Mechanisms for NGO Accountability” 2004 Darcy, James: “Locating responsibility: Jordan discusses the costs and benefits of Beck, T. & Borton, J.: “Learning by Field the Sphere Humanitarian Charter and its ensuring NGO accountability, particularly rationale” with regards to the current practice Level Workers” emphasising upward and external This paper considers the rationale of the In order to improve humanitarian accountability to donors. She proposes Sphere Humanitarian Charter and the response, it is important that individuals that NGOs and the academic community conceptual model that underpins it. It and organisations involved in humanitarian develop mechanisms that ensure NGO discusses the relationship between the accountability to multiple stakeholders. action learn. And as humanitarian action charter and the Minimum Standards, and is largely dependent upon the ability the sense in which the latter are properly of field staff to manage and implement called ‘rights-based’. The author was Shea, C. & Sitar, S.: “NGO Accreditation humanitarian operations, this paper and Certification: The Way Forward? closely involved in the conception and focuses on field level learning – the An Evaluation of the Development drafting of the charter, and this paper Community’s Experience” field of operation being the place where attempts to convey some of the thinking much learning crucial to the success of that lay behind it. Recent initiatives to promote accreditation humanitarian action takes place. and certification mechanisms have David, R. & Mancini, A.: “Going against produced valuable lessons about how to Callamard, Agnes: “HAP International: the flow: making organisational systems further accountability, particularly in the A New Decisive Step Towards part of the solution rather than part of not-for-profit sector. This paper examines Accountability” the problem. The case of ActionAid’s accreditation, certification, and self- Accountability, Learning and Planning certification programmes, with particular Callamard places the origins of System” emphasis on those aimed at the not-for- accountability in the context of the 1996 profit sector. The study also includes The aim of this paper is to give an honest Rwandan genocide and discusses the several similar programmes (e.g., awards) insight into organisational change; sharing emergence of Sphere, ALNAP, People in having similar characteristics to others with others the difficulties involved and Aid, and the Humanitarian Ombudsman examined. the problems encountered. In doing so, the Project. She cites a Peter Reynard (2000) authors feel they inevitably have to discuss study, which discusses the emergence organisational politics. They try to do this Venkateswaran, Sandhya: of HAP as the sector’s leading self- “Accountability Lessons from the in an appropriate, sensitive way while regulatory body. The findings of the pilot Tsunami Response in India” remaining honest to the overall analysis. phase of HAP indicated accountability The author argues ‘accountability should would best be strengthened and Dufour, Charlotte, Véronique de not just be about the final outcome, implemented through the creation of a Geoffroy, Hugues Maury & François but also the degree of responsiveness strong international self-regulatory body Grünewald: “Rights, standards and recognising accountability is primarily of donors, the state and implementing quality in a complex humanitarian space: agencies to the local context and the the responsibility of operational agencies, is Sphere the right tool?” needs of the community, including with assistance and standards provided ensuring communities have control over through HAP. Since Sphere’s inception in 1997 several the rebuilding process’. ‘Post-disaster agencies expressed concerns regarding rebuilding that is not carried out in Sphere’s approach, many of which were CDA Collaborative Learning Projects: partnership with affected communities, confirmed by the Sphere evaluation “The Do No Harm Handbook: The building on their knowledge and opinions, (2002/3). The present article restates Framework for Analyzing the Impact of that does not involve a flow of information these concerns, and addresses more Assistance on Conflict” on entitlements, policies and processes, fundamental issues regarding Sphere’s and which is not accountable is often cornerstone. It questions the validity of The Do No Harm Project deals with misplaced, ineffective, and iniquitous.’ Sphere’s rights-based approach, which accountability in humanitarian action and consists of a tenuous link between seeks to identify the ways in which international the rights of affected populations and Walker, Peter: “Cracking the code: the humanitarian and/or development assistance genesis, use and future of the Code of standards for technical interventions. given in conflict settings may be provided so Conduct” Sphere is founded on ‘the right to that, rather than exacerbating and worsening assistance’, although this right does not This paper reflects on the genesis of the the conflict, it helps local people disengage exist in international law. It suggests that ‘Code of Conduct for the International from fighting and develop systems for Sphere’s approach and content largely Red Cross and Red Crescent Movement settling the problems which prompt reflect the concerns, priorities and values and NGOs in Disaster Relief’, on the conflict within their societies. of technical professionals in Northern
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agencies, leaving limited space to genuine Walker, Peter & Susan Purdin: “Birthing at strengthening accountability and ‘participation’ by affected populations and Sphere” improving performance within the partners from the South. international humanitarian system. The This paper tells the story of the initiation majority have, however, concentrated and first year of Sphere. It traces the on establishing standards and codes of Levine, Simon & Chastre, Claire: history of how the project was started conduct for operational aid agencies. Less “Missing the Point: An Analysis of Food and its relationship to other major events attention has been paid to how donors are Security Interventions in the Great of that time, principally the multi-donor held to account for their policies, and the Lakes” Rwanda evaluation. The paper describes implications of their decision-making. The how the basic structure of the Sphere research identifies the need to focus on Levine and Chastre examine success rates standards was agreed upon and discusses strategic and political accountability, against of food security interventions in the Great why some sectors were eventually left out clearly defined objectives and definitions Lakes. In studying seven cases they found of the standards. of humanitarian assistance, in order to that many of the interventions failed to strengthen the checks and balances that address the needs of people affected. The govern donor behaviour. interventions failed because the responses did not understand the real needs of the people and few attempts have been made 2003 Mitchell, John: “Accountability: the to find out what those needs are. The three-lane highway” authors call for agencies to recognise Ebrahim, Alnoor: “Accountability in The means by which humanitarian this as a problem and to increase their Practice: Mechanisms for NGOs” agencies have chosen to improve commitment to addressing it. Ebrahim examines how accountability is accountability have been dependent practiced by NGOs. He reviews five broad on organisational mandates, identity Rieff, David: “Tsunamis, accountability mechanisms: 1) reports and disclosure and raison d’être. This has given rise and the humanitarian circus” statements, 2) performance assessments to a rich, but sometimes confusing, and evaluations, 3) participation, 4) self- array of initiatives and approaches. What the tsunami has demonstrated is regulation, and 5) social audits. He discusses These approaches can be rationalised that, for all the conferences, internal each as either a tool or a process and into three main areas, or ‘lanes’ on reviews, pledges of accountability and measuring them along three dimensions the accountability highway. The first transparency, codes of conduct and the of accountability: 1) upward-downward, 2) concerns the rights and needs of like, the humanitarian circus is alive internal-external, and 3) functional-strategic. the ‘beneficiaries’ or ‘claimants’ of and well. For all the talk of coordination The study found upward and external humanitarian assistance. The second and accountability, the need to maintain accountability mechanisms are fairly area emphasises humanitarian principles, market share continues to trump sound developed, whereas downward and internal codes of conduct, legal instruments and humanitarian practice – at least in crises mechanisms remain underdeveloped. bodies of ethics and philosophy; and the like the tsunami, where the Western public third technical standards, performance and Western donor governments are indicators, impact indicators and results- attentive and engaged. Ford, Caroline: “The accountability of based approaches. Broadly speaking, this states in humanitarian response” typology represents a three-lane highway leading to the ultimate destination Stockton, Nicholas: “Misconceived Are states currently responsible or of improved accountability in the Misconceptions: Accountability to accountable in any way for the quality humanitarian sector. Humanitarian Beneficiaries” and ethics of humanitarian action? Part of the accountability debate requires an Writing in the special issue of Humanitarian analysis of who holds responsibility for Naik, Asmita: “The West Africa sex Exchange on accountability, the director what – recognising that NGOs and states scandal” of MSF Holland launched a powerful bear different responsibilities – and then broadside against quality and accountability who is held to account for discharging their The humanitarian world was rocked in 2002 by a UNHCR/Save the Children study initiatives such as HAP and Sphere. responsibility. Including assessments of which revealed a disturbing pattern of Stockton offers his perspective on the state responsibility within the accountability sexual exploitation of refugee children by four “misconceptions” highlighted in the debate can add and enrich the analysis aid workers and peacekeepers in West article, and refutes the argument that these of accountability: during the next decade, Africa. This article argues that the gaps in organisations are easily manipulated by mechanisms that exist under international accountability revealed by the scandal point states and intergovernmental agencies. law for state accountability could be tightened and expanded in order to further their use for to the need for a humanitarian watchdog. accountability for humanitarian action. Tong, Jacqui: “Questionable People In Aid: “Code of Good Practice Accountability: MSF and Sphere in 2003” Herson, Maurice: “Putting the ‘H’ into in the Management and Support of Aid Personnel” Tong examines the relationship between humanitarian accountability” MSF and the Sphere Project. She argues The Code of Good Practice is an that NGOs are not homogeneous and The author writes about accountability in the humanitarian sector in general internationally recognised management should not be treated as such. She asserts and reflects on the newest developments tool that helps humanitarian aid and such standards would be in contrast regarding the creation of the Humanitarian development agencies enhance the quality to MSF’s independence, neutrality and Accountability Project. of their human resources management. creative humanitarianism. Tong argues The Code provides a comprehensive and participation by beneficiaries is ‘laudable’ sector specific framework relevant but it is ‘counter-productive in some Macrae, Joanna & Harmer, Adele: “Good to organisations of any shape or size. The contexts’. Also, she suggests beneficiary Humanitarian Donorship: a mouse or a lion?” Code is the result of years of international participation can be dangerous in deeply collaboration by a wide range of NGOs, divided societies as it is difficult to Donor governments have been strong international organisations, public bodies determine who to consult. supporters of the various initiatives aimed and private sector firms. The first edition
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of the Code, called Code of Best Practice has deprived disadvantaged people of the parts. First, it reviews the changing in the Management and Support of Aid opportunities that a more democratised understanding of NGO accountability as Personnel, was published in 1998. and globalised world has promised, it has developed in the last ten years. but failed, to deliver. Furthermore, it Secondly, it sets out a framework details the distinguishing features of the for identifying the main tangible and Zadek, Simon: “In defence of non-profit new accountability agenda, surveying a intangible sources of NGO legitimacy. accountability” range of experiments and innovations Finally, it examines the mechanics of that have sought, with mixed results, to accountability. The author reflects on the upsurge of operationalise it. interest in the accountability of not-for- profit civil society organisations. Hilhorst, Dorothea: “Being Good at Doing Good? Quality and Accountability of 2001 Humanitarian NGOs” Harris-Curtis, Emma: “NGO Codes of 2002 The article explores how the last Conduct: An Exploration of the Current few years have seen a rapid increase Debate” Boyden, Joe, Kaiser, Tania & Springett, in discussions, policy papers and Simon: “Consultation with and organisational initiatives regarding the Harris-Curtis says a dichotomy has Participation by Beneficiary and Affected quality of humanitarianism. emerged between ‘NGO bashers’ and Populations in Planning, Managing, ‘NGO supporters.’ She says whether Monitoring and Evaluating Humanitarian or not agencies are accountable to Aid: the case of Sri Lanka” Kapila, Mukesh: “Incentives for Improved Accountability” beneficiaries is debatable and there is no coherent reference point for overall The present report, which draws on primary NGO accountability. Furthermore, she (aid recipient) and secondary (agency) Kapila argues that the reform of the agrees with Pratt (2001) in saying NGOs stakeholder perceptions in Sri Lanka, is humanitarian system is progressing too are self-interested and in order to keep the pilot in a series of five country case slowly and that the humanitarian sector them from becoming self-perpetuating, studies. Testing the hypothesis that the needs to do more than reaffirm humanitarian some form of regulation, whether internal active consultation and participation of values. He holds that accountability or external, is necessary. She briefly crisis-affected populations in measures should be more than current monitoring outlines the pros and cons of the current to assist them is (according to aid and evaluation mechanisms and argues codes of conduct, but states the current recipients and other key stakeholders) both for informed consumers rather than codes are not enough to reform the feasible and beneficial in terms of project accountability to beneficiaries. entire system. Finally, she recommends outcome, it investigates current policy and benchmarking but cautions that coverage field practice in three locations affected by Newell, Peter and Bellour, Shaula: of non-compliance may undermine public conflict in the north and east of the island. “Mapping accountability: origins, confidence in NGOs. contexts and implications for Cronin, Donal & O’Regan, John: development” OECD: “Evaluation Feedback for Effective “Accountability in Development Aid: Learning and Accountability” Meeting Responsibilities, Measuring This paper provides an overview of the Performance” political uses and applications of the term accountability in contemporary discourses This publication is composed of two parts: The Workshop Report, based on the Cronin and O’Regan discuss issues and practices of development. The first DAC WP-EV workshop in Tokyo on 26-28 of accountability in development part reflects on the historical origins of September 2000 entitled “Evaluation organisation practice and how it can competing narratives of accountability and Feedback for Effective Learning and be defined, analysed, implemented, the processes of accountability in formal Accountability”, highlights the various and enhanced. They emphasise and informal arenas, assessing the role issues raised, topics of discussion and accountability through a process of four of law, protest and a variety of managerial different feedback systems, and outlines stages throughout which transparency approaches in the creation of mechanisms the areas identified by participants as most is vital. The stages are: 1) clear roles of accountability. The third section looks relevant for improving evaluation feedback. and responsibilities with compliance to at how the narratives of accountability, The Background Synthesis Report, intended standards, 2) taking action and evaluating manifested in these diverse practices of as a starting point for discussion at the that action, 3) reporting and accounting accountability, apply to key development workshop, outlines the main concerns and for that action, and 4) responding to and actors, traditionally the nation-state, but challenges facing evaluation feedback and complying with agreed standards. The increasingly also public authority at supra the means to address these. The report authors present their Framework of and sub-state levels and the private and is based on an analysis of questionnaire Accountability Indicators and Tools (FAIT) non-governmental sectors. results, and a review of previous initiatives. and argue different organisations need different systems of accountability. Slim, Hugo: “By What Authority? The Legitimacy and Accountability Goetz, Anne Marie & Jenkins, Rob: of Nongovernmental Organisations” “Voice, Accountability and Human 2000 Development: The Emergence of a New The focus of this paper is on humanitarian, Agenda” development and human rights INGOs. Bakewell, Oliver: “Uncovering Local As groups who make it their business Perspectives on Humanitarian This paper defines accountability, setting to demand accountability in others, it Assistance and Its Outcomes” out its multiple dimensions, contrasting could be said that NGOs and human the principle of accountability with rights organisations have a particular This paper draws on a study of Angolan its practical manifestations. It also responsibility to lead by example in this refugees in Zambia to suggest ways demonstrates the variety of ways in area and shine as beacons of legitimacy that the perspectives and interests of which a lack of genuine accountability and accountability. This paper is in three the local population can be included in
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the assessment of relief interventions. development, too often reinforces Taking an actor-oriented approach, divisions among contending groups. 1978 the paper suggests stepping back from Anderson offers hopeful evidence of the categorisation of the situation as creative programmes that point the way to Ressler, Everett M.: “Accountability as a an emergency and particular groups new approaches to aid. Program Philosophy” of people as the beneficiaries. Such This paper is an attempt to bring into categories are imposed from outside and perspective the issue of accountability may not reflect local people’s outlook Apthorpe, Raymond & Atkinson, Philippa: “Towards Shared Social Learning for to victims as it relates to relief and the on the situation. The paper calls for Humanitarian Programs: A Synthesis provision of housing in disaster situations. evaluations of humanitarian assistance in Study” It implies that making post-disaster complex emergencies to look beyond the housing programmes accountable to ‘beneficiaries’ and to investigate the wider This is an explorative study examining the beneficiaries is a major departure from context of ‘normality’. ‘actual and potential role of consultation present practice. The author is further with or participation by populations suggesting that accountability to victims Kaiser, Tania: “Promise and practice: affected by emergencies in the design, should be both an operational method and participatory evaluation of humanitarian implementation, monitoring and a programme philosophy. After defining assistance” evaluation of programs to assist them.’ accountability, it will be examined how accountability relates to the practical This article is based on analyses of recent aspects of disaster management, and Ntata, Pierson R.T.: “Participation by the evaluation reports and consultation guidelines and recommendations for Affected Population in Relief Operations: with evaluators and organisation making accountability to victims more A Review of the Experience of DEC staff. It indicates that although many than just a new cliche are explained. Agencies During the Response to the organisations have prepared best practice 1998 Famine in South Sudan” evaluation guidelines, their use has not yet become common practice. This Pierson attempts to identify when it is article is intended to contribute to a wider appropriate to use consultative participative objective of generating recommendations approaches in humanitarian relief and when for the field-testing of relevant and it is not. She then discusses the restraints truly beneficiary-based evaluation to participation. Finally, she concludes methodologies. with two participation recommendations followed by more good practice examples. Raynard, Paul: “Mapping Accountability in Humanitarian Assistance”
This study was commissioned by ALNAP as a preliminary attempt to 1996 consider and explore contemporary approaches to accountability. It draws Edwards, Michael & Hulme, David: on current practice of initiatives within “Beyond the Magic Bullet: NGO the humanitarian sector and from the Performance and Accountability in the experience of other sectors in relation Post-Cold War World” to efforts to enhance stakeholder accountability. Experts review the issues of NGO performance and accountability, providing guidance through the process of NGO Van Brabant, Koenraad: “Regaining assessment. Case studies written by Perspective: The Debate over Quality individuals who have been involved in NGO Assurance and Accountability” activities in Central America, Asia, South America, East Africa, and North Africa In response to criticism of accountability ground this discussion in the realities and initiatives and accountability tools complexities of international development. such as codes of conduct, Van Brabant summarises the key critiques, and reflects on the debate. Joint Evaluation of Emergency Assistance to Rwanda: “The International Response to Conflict and Genocide: Lessons from the Rwanda Experience, Synthesis Report” 1999 The report summarises the main themes, Anderson, Mary: “Do No Harm. How Aid issues and conclusions of each component Can Support Peace - or War” study and presents the main findings and recommendations addressed to members The author challenges aid agency staff to of the international community. The four take responsibility for the ways that their studies that make up the evaluation, assistance affects conflicts. Anderson synthesised in this report, are Volume 1 cites the experiences of many aid ‘Historical Perspective: Some Explanatory providers in war-torn societies to show Factors’, Volume 2 ‘Early Warning that international assistance, even when and Conflict Management’, Volume 3 it is effective in saving lives, alleviating ‘Humanitarian Aid and Effects’, and suffering, and furthering sustainable Volume 4 ‘Rebuilding Post-War Rwanda’.
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It promotes, supports, represents 55 websites you should visit and, on occasion, leads the work and interests of UK international development Numerous online resources exist today for those who need to develop, adapt or organisations. Bond enables the exchange integrate a quality and accountability based approach to their work. This section of experience, ideas and information and is not exhaustive, but does provide an overview to those networks and initiatives supports members to strengthen the that are most active on these issues, as well as providing an introduction to the quality and effectiveness of the sector. main approaches to accountability. The categorisation of the following resources is merely for ease of navigation, and does not reflect the fact that many of those listed below span several categories and have a broad scope of activity. Confederation for Cooperation of Relief and Development NGOs (CONCORD): www.concordeurope.org Sphere Companion Standards: STANDARDS CONCORD is a European confederation Inter-Agency Network for Education in of Relief and Development NGOs. It is Humanitarian Accountability Partnership Emergencies (INEE): www.ineesite.org made up of 27 national associations, 18 (HAP): www.hapinternational.org INEE facilitates collaboration, share international networks and 2 associate experiences and resources, establish members that represent over 1,800 NGOs, HAP is a multi-agency initiative working standards for the field, and engage in supported by millions of citizens across to improve the accountability of advocacy regarding the right to education. Europe. CONCORD was founded in 2003 humanitarian action to people affected by by development NGOs to act as the main disasters and other crises. Its mission is to make humanitarian action accountable Livestock Emergency Guidelines and interlocutor with the EU institutions on to its intended beneficiaries through Standards (LEGS): development policy. self-regulation by its members linked by www.livestock-emergency.net common respect for the rights and dignity The LEGS are a set of international Coordination SUD (Solidarité Urgence of beneficiaries. guidelines and standards for the design, Développement): implementation and assessment of www.coordinationsud.org livestock interventions to assist people Joint Standards Initiative (JSI): affected by humanitarian crises. www.jointstandards.org Coordination SUD facilitates the coordination of French NGOs. It promotes In response to the perceived confusion, Small Enterprise Education and the professionalisation of French NGOs lack of awareness and inconsistent Promotion (SEEP): and represents their interests towards application of standards, three of the www.seepnetwork.org public and private institutions in France, leading standards initiatives (Humanitarian The SEEP’s Minimum Economic Europe and the rest of the world. Accountability Partnership (HAP), People In Recovery Standards provide strategies Aid and the Sphere Project) have launched and interventions designed to promote a process to seek greater coherence for enterprises, employment, cash flow and Improving Accountability, Clarity and users of standards, in order to ultimately asset management among enterprises Transparency (ImpACT) Coalition: improve humanitarian action to people and livelihoods in environments affected www.acevo.org.uk/impact affected by disasters. by conflict or disaster. The ImpACT Coalition is a movement People in Aid: of over 400 third sector organisations www.peopleinaid.org that seek to improve accountability NETWORKS AND CONSORTIA and transparency and increase public People In Aid improves organisational WITH A POLICY ISSUES FOCUS understanding of how charities work. effectiveness within the humanitarian and development sector worldwide by Australian Council for International advocating, supporting and recognising Development (ACFID) Code of Conduct: INGO Accountability Charter: good practice in the management of www.acfid.asn.au/code-of-conduct/ www.ingoaccountabilitycharter.org people. It helps organisations whose goal code-of-conduct is the relief of poverty and suffering to The INGO Accountability Charter is enhance the impact they make through ACFID unites Australia’s non-government an initiative of International NGOs to better management and support of staff aid and international development demonstrate their commitment to and volunteers. organisations to strengthen their accountability and transparency. The collective impact against poverty. Charter´s founding members developed The ACFID Code of Conduct is a the Charter as a response to increasing Sphere Project: www.sphereproject.org voluntary, self-regulatory sector code pressure from the media, businesses and of good practice that aims to improve The Sphere Project is a voluntary initiative that governments for greater transparency. international development outcomes and aims to improve the quality of humanitarian increase stakeholder trust by enhancing assistance and the accountability of transparency and accountability of humanitarian actors to their constituents, InterAction: www.interaction.org signatory organisations. donors and affected populations. The Sphere Handbook, Humanitarian Charter and InterAction is an alliance organisation of Minimum Standards in Humanitarian Bond: www.bond.org.uk US-based international organisations. Response, is a set of common principles Its members, more than 180 NGOs, work and universal minimum standards in life- Bond is the UK membership body for NGOs around the world. It serves as a convener, saving areas of humanitarian response. working in international development. thought leader and voice of its community.
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Inter-Agency Standing Committee Task technology providers in a collaboration Keeping Children Safe: Force on Accountability to Affected that recognises information and two- www.keepingchildrensafe.org.uk Populations (IASC AAP Task Force): way communication as key humanitarian Keeping Children Safe is a membership www.humanitarianinfo.org/iasc deliverables. The goal of the CDAC network of organisations working together Network is that communities affected The IASC AAP Task Force’s role is to to increase safeguards offered to children. by, and prone to, crisis are better able to take forward its action plan, steer the Keeping Children Safe strives to ensure implementation of the CAAPs, and further withstand humanitarian emergencies and children globally are safeguarded and develop and roll out the Operational are actively engaged in decisions about the protected from all forms of violence, Framework. The 5 Commitments on relief and recovery efforts in their country. abuse and exploitation. Accountability to Affected Populations (CAAPs) include: 1. leadership, 2. transparency, Enhancing Learning & Research for 3. feedback and complaints, 4. participation, Humanitarian Assistance (ELRHA): and 5. design, monitoring and evaluation. APPROACHES, GUIDANCE TOOLS www.elrha.org & SPECIALISED PROJECTS ELRHA is a collaborative network dedicated International Council of Voluntary Assessment Capacities Project (ACAPS): to supporting partnerships between higher Agencies (ICVA): icvanetwork.org www.acaps.org education institutions and humanitarian ICVA is a platform for increased organisations and partners around the ACAPS’ mission is to support and collaboration and coordination between world. Higher Education Institutes represent strengthen capacities, in-country and NGOs and other humanitarian actors, a phenomenal resource that can and should within the humanitarian system in which is crucial to improving the lives of general, to carry out better multi-sector communities affected by humanitarian be harnessed to support the humanitarian assessments before, during and after crisis. It is a global network of NGOs endeavour. ELRHA has been set up to help crises and to bring together practitioners whose mission is to make humanitarian meet this challenge and aims to provide who are dedicated to improving and action more principled and effective by a bridge between the humanitarian and sharing best-practice and innovative working collectively and independently higher education communities. approaches to needs assessments. to influence policy and practice.
Good Humanitarian Donorship (GHD): Cash Learning Partnership (CaLP): Voluntary Organisations in www.goodhumanitariandonorship.org www.cashlearning.org Cooperation in Emergencies (VOICE): www.ngovoice.org The GHD initiative is an informal donor There is a growing recognition in the forum and network which facilitates humanitarian sector that in an emergency, VOICE is a network representing 82 collective advancement of GHD principles cash transfers and vouchers can be European NGOs active in humanitarian aid and good practices. It recognises that, appropriate and effective tools to support worldwide. Seeking to involve its members by working together, donors can more populations affected by disasters in a in advocacy, common positioning and effectively encourage and stimulate way that maintains dignity and choice information exchange, VOICE is the main principled donor behaviour and, by for beneficiaries while stimulating local NGO interlocutor with the European economies and markets. The Cash Union on emergency aid and disaster risk extension, improved humanitarian action. Learning Partnership aims to improve reduction and promoting the values of the quality of emergency cash transfer humanitarian NGOs. International Aid Transparency Initiative and voucher programming across the (IATI): www.aidtransparency.net humanitarian sector.
IATI is a voluntary, multi-stakeholder NETWORKS AND CONSORTIA initiative that seeks to improve the Consortium of British Humanitarian WITH SPECIAL FOCUS AREAS Agencies (CBHA) Core Competencies transparency of aid in order to increase its Framework: www.thecbha.org/capacity/ effectiveness in tackling poverty. IATI brings Active Learning Network for strengthening together donor and developing countries, Accountability and Performance in Humanitarian Action (ALNAP): civil society organisations and other experts The CBHA aims to strengthen the www.alnap.org in aid information who share the aspirations coordination and capacity of the NGO of the original IATI Accra Statement and are sector to deliver appropriate, high quality, ALNAP is a learning network that committed to working together to increase and quicker humanitarian assistance to supports the humanitarian sector to the transparency of aid. populations affected by disaster. It agreed improve humanitarian performance a framework for core and leadership through learning, peer-to-peer sharing humanitarian competencies. and research. It uses the broad range International Organisation of Supreme Audit Institutions (INTOSAI): of experience and expertise within Crisis Mappers: crisismappers.net its membership to produce tools and www.intosai.org analysis relevant and accessible to the The International Network of Crisis The INTOSAI operates as an umbrella humanitarian sector as a whole. Mappers is an international community organisation for the external government of experts, practitioners, policymakers, audit community. For more than 50 years technologists, researchers, journalists, Communicating with Disaster Affected it has provided an institutionalised Communities (CDAC) Network: scholars, hackers and skilled volunteers framework for supreme audit institutions www.cdacnetwork.org engaged at the intersection between to promote development and transfer of humanitarian crises, technology, crowd- The CDAC Network is a unique cross- knowledge, improve government auditing sourcing, and crisis mapping. This sector initiative that brings together worldwide and enhance professional network engages 5,000+ members in leading humanitarian and media capacities, standing and influence of over 160 countries, who are affiliated with development agencies alongside member SAIs in their respective countries. over 2,000 different institutions, including
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over 400 universities, 50 United Nations the use of ICTs that facilitates effective CDA Collaborative Learning Projects: agencies and projects, dozens of leading communication between peoples, www.cdainc.com technology companies, several volunteer communities and stakeholders involved in and technical community networks, crisis management, humanitarian aid and CDA is committed to improving the and disaster response and recovery peace building. effectiveness of international actors who organisations. provide humanitarian assistance, engage in peace practice, and are involved in Infoasaid: infoasaid.org supporting sustainable development. It Emergency Capacity Building (ECB) operates on the premise that experience Project: www.ecbproject.org Infoasaid, a project implemented by is a good teacher if we can take the time Internews and BBC Media Action, focused to learn its lessons. To that end, they The ECB Project aims to improve the during its existence on improving the organise collaborative learning projects speed, quality and effectiveness of the quality of humanitarian responses by to gather and analyse the experiences humanitarian community to save lives, maximising the amount of accurate and of international efforts and, from these, improve welfare and protect the rights of timely information available to both to identify patterns across contexts and people in emergency situations. The ECB humanitarian responders and crisis- types of programmes. Project focuses on staff capacity, Disaster affected populations through enhanced Risk Reduction (DRR) and Climate Change information exchange between them in an Adaptation (CCA), as well as accountability emergency. On the one hand, the project DARA: www.daraint.org and impact measurement. worked to strengthen the capacity and preparedness of aid agencies to respond DARA is an independent organisation to the information and communication committed to improving the quality Food and Agriculture Organization of and effectiveness of aid for vulnerable the United Nations (FAO): www.fao.org/ needs of crisis-affected populations. On populations suffering from conflict, emergencies/fao-in-action/accountability- the other hand, it partnered with a number to-affected-populations/en of aid agencies to help inform and support disasters and climate change. It has their communications response in a published since 2007 the Humanitarian FAO’s mandate is to raise levels of variety of emergency contexts. Response Index (HRI), an assessment nutrition, improve agricultural productivity, of critical issues around the quality and better the lives of rural populations and effectiveness of aid. The HRI complements Last Mile Mobile Solutions (LMMS): contribute to the growth of the world other monitoring tools and assessments www.lastmilemobilesolutions.com economy. As a matter of human rights and that are used by the humanitarian community but is an independent exercise meaningful programming, FAO defines LMMS is a stand-alone system that that is not funded by any government. Accountability to Affected Populations uses web-based mobile applications to (AAP) as “an active commitment by better manage responses to disasters. humanitarian actors and organizations to The system enables digital registration Evidence Aid Project: www.cochrane.org/ use power responsibly by taking account of, of affected populations and automates cochrane-reviews/evidence-aid-project giving account to and being held to account how aid-agencies deliver humanitarian by the people they seek to assist”. services, resulting in more effective, The Evidence Aid project was established efficient and fully accountable practices. by The Cochrane Collaboration following FrontlineSMS: www.frontlinesms.com the tsunami in the Indian Ocean in December 2004. It provides evidence on Publish What You Fund: FrontlineSMS lowers barriers to driving interventions that might be considered in www.publishwhatyoufund.org transformative social change using mobile the context of natural disasters and other technologies. It builds and distributes major healthcare emergencies. Evidence Publish What You Fund campaigns for free and open-source software; provides Aid seeks to highlight which interventions aid transparency – more and better support and resources to users, and work, which don’t work, which need more information about aid. draws on users’ experiences to inspire research, and which, no matter how well others. By using available technology— meaning, might be harmful; and to provide affordable laptops and basic mobile Transparency International: this information to agencies and people phones—FrontlineSMS helps organisations www.transparency.org planning for, or responding to, disasters. in both economically developed and under-developed countries to overcome Transparency International’s mission is to Global Humanitarian Assistance (GHA): communication barriers they face. stop corruption and promote transparency, accountability and integrity at all levels and www.globalhumanitarianassistance.org across all sectors of society. GroundTruth Initiative: groundtruth.in The GHA programme works to provide objective, independent, rigorous data and GroundTruth helps communities use digital analysis around humanitarian financing media, mapping, and open data tools for LEARNING, RESEARCH, and related aid flows and has developed greater influence and representation TRAINING & EVALUATION methodologies for calculating the true value in development and democracy. It is a of humanitarian assistance. GHA wants to new media and technology consulting enable access to a shared evidence base on Bioforce Institute: www.bioforce.asso.fr company specialising in community-based resources to meet the needs of people living participatory technologies, especially in humanitarian crises. The Bioforce Institute is an organisation mapping and citizen journalism, in poor and which aims to increase the impact and marginalised regions throughout the world. the relevance of emergency action and Groupe URD (Urgence, Réhabilitation, development programmes by training and Développement): www.urd.org ICT4Peace Foundation: ict4peace.org providing support to those involved. From international action to local initiatives, Groupe URD is an independent institute The ICT4Peace Foundation aims to enhance Bioforce creates links between different which specialises in the analysis of the performance of the international communities and cultures based on values practices and the development of policy community in crisis management through of solidarity, competence and commitment. for the humanitarian and post-crisis
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sectors. Its role is to help organisations to Development Network of Indigenous sector could look like, and develop, pilot, improve the quality of their programmes Voluntary Associations (DENIVA): and test different certification options for through evaluations, research, quality www.deniva.or.ug/resource-centre/ SCHR members and other humanitarian support and training. quam-resource-centre/quam.html organisations.
DENIVA is a network of non-governmental Humanitarian Practice Network (HPN): and community based organisations Viwango: www.viwango.org www.odihpn.org providing a platform for collective reflection, action and voice to voluntary Viwango is an independent, standards HPN was established to provide an local associations in Uganda. The NGO setting and certification organisation independent forum for policy-makers, Quality Assurance Mechanism (QuAM) for Civil Society Organizations in Kenya. practitioners and others working in or is a self-assessment initiative aiming to Viwango is Swahili for “Standards”. on the humanitarian sector to share and enhance the credibility and effectiveness disseminate information, analysis and of NGOs. experience, and to learn from it. HPN’s aim is to improve the performance of humanitarian action by contributing to Pakistan Centre For Philanthropy (PCP): individual and institutional learning. www.pcp.org.pk
The PCP runs a Certification Programme, Mango: www.mango.org.uk the aim of which is to bring transparency, accountability and good governance to Mango’s mission is to strengthen the the non-profit sector in Pakistan. The financial management and accountability first initiative of its kind in South Asia, of development and humanitarian NGOs it involves the evaluation of a non-profit and their partners. It helps NGOs achieve organisation on standardised parameters robust financial management through of internal governance, financial practical services, such as training, staff management and programme delivery. recruitment, consultancy and publishing best-practice guides. Philippine Council for NGO Certification (PCNC): www.pcnc.com.ph One World Trust: www.oneworldtrust.org The PCNC is a private voluntary, non- The One World Trust is an independent stock, non-profit corporation that charity that conducts research, develops serves as a service organisation whose recommendations and advocates for main function is to certify non-profit reform to make policy and decision- organisations that meet established making processes in global governance minimum criteria for financial more accountable to the people they affect management and accountability in the now and in the future, and to ensure that service to underprivileged Filipinos. international laws are strengthened and applied equally to all. SGS NGO Benchmarking: www.sgs.com/ en/Public-Sector/Monitoring-Services/ RedR: www.redr.org NGO-Benchmarking.aspx
RedR is an international disaster relief NGO benchmarking certification audits charity which trains aid workers and provides from SGS provide an assessment of skilled professionals to humanitarian the compliance level of an NGO with programmes worldwide, helping to save and international best practices and establish rebuild the lives of people affected by natural a framework towards continuous and man-made disasters. improvement.
Sigmah Project: www.sigmah.org/home
QUALITY ASSURANCE Sigmah is an open source software for SCHEMES the shared management of international aid projects. Managed collectively by Cooperation Committee for Cambodia eleven NGOs, it is coordinated by Groupe (CCC) Voluntary Certification System: URD. The objective of the Sigmah project www.ccc-cambodia.org/ccc-program/ is to contribute to improving the service voluntary-certification.html delivered to people in crisis situations by building the management capacity of aid The CCC, a leading membership organisations. organisation for local and international NGOs in Cambodia, has played a unique role since 1990 as an enabling Steering Committee for Humanitarian agent to facilitate CSOs to collectively, Response (SCHR) Certification Project: responsibly and accountably work www.schr.info together to effectively advance the pace of development in Cambodia. The Voluntary The purpose of the project is to consult Certification System (VCS) is an important with stakeholders and conduct research tool that helps to ensure accountability in order to identify what a viable and good governance in the NGO sector. certification system for the humanitarian
2013 Humanitarian Accountability Report James Darcy, writing here in his personal capacity, has a background in international law but has spent most of his career as a practitioner, researcher and evaluator in the humanitarian sector. He had ten years of operational experience as an Oxfam manager, co-ordinating programmes in Central Africa, the Balkans, the Middle East and South and East Asia. He went on to head the Humanitarian Policy Group at the Overseas Development Institute (ODI) and had lead responsibility for drafting the revised Sphere Humanitarian Charter. He currently sits on the Board of Oxfam GB as trustee and Vice-Chair.
Jessica Alexander has over 10 years of professional experience in humanitarian response in Africa, Asia and the Middle East. She has worked for various NGOs and the UN and is a former US Fulbright scholar. She has a dual Masters degree from Columbia University and is currently working toward her PhD on accountability to affected populations.
Maria Kiani is the Senior Quality and Accountability Advisor at HAP. She has over 10 years of experience and has worked with a range of I/NGOs, UN agencies, and the ICRC. At HAP she leads the Roving Team, which is deployed to escalating and new emergencies across the globe to strengthen accountability and quality of the ongoing humanitarian response. Over the years, Maria has led over seven deployments in response to refugee crises, natural disasters and conflict in Asia and Africa. She has also worked as the Accountability Advisor at UNHCR.
Authors: James Darcy, Jessica Alexander, Maria Kiani Editor: David Loquercio Coordinator: Murray Garrard Researcher: Michel Dikkes Copy editor: Breanna Ridsdel Designer: Joanne Pan, for ACW
HAP would like to acknowledge the assistance of the people below in reviewing the 2013 Humanitarian Accountability Report, but reiterates that the content of this report remains the sole responsibility of the authors. All opinions contained herewith are the opinions of the authors and do not necessarily represent those held by the Humanitarian Accountability Partnership. Reviewers: Hanna Abate Mamo, John Borton, Marian Casey-Maslen, Véronique De Geoffroy, Denis Kennedy, Jonathan Potter, Barb Wigley.
2013 Humanitarian Accountability Report
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Published in June 2013 As long as emergency response consists of people from the North showing up and handing out goods from the North and then asking affected people what they think about it, we will never be accountable to them. Building local capacity as part of an effort led by disaster-affected countries is the future. But if the core model remains the same, with the same power dynamics, how can you meaningfully talk about accountability?
Joel Charny, Vice President for Humanitarian Policy and Practice, InterAction
Humanitarian Accountability HAP Partnership
Humanitarian Accountability Partnership Maison Internationale de l’Environement 2 Chemin de Balexert 7 CH - 1219 Châtelaine Geneva, Switzerland +41 22 788 16 41 [email protected] www.hapinternational.org
ISBN: 978-2-8399-1225-9