Overseas Development Institute

HPG Report
HUMANITARIAN
P O L I C Y G R O U P

The Humanitarian Policy Group at

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

practice

Nicholas Leader

HPG Report 2
March 2000
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Acknowledgements:
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Study Notes
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·7KH$JUHHPHQWRQ*URXQG5XOHVLQ6RXWK6XGDQ6WXG\·DQG¶ The Principles of Humanitarian
Action in International Humanitarian Law: Study 4’. A critical review, which summarises some key
findings and issues in a much shorter from is also available from ODI.

ODI gratefully acknowledges financial support from DfiD for this study.

Please send comments on this paper to:

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Tel: +44 (0) 20 7393 1600

Fax: +44 (0) 20 7393 1699
Website: www.odi.org.uk/hpg/publications
Email: hpg@odi.org.uk
A copy of your comments will be sent to the author.
Contents
Acronyms 1

Executive Summary 2

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

2 Humanitarian principles in a changing world 11

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

3 Principles and Organisations 17

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

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

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

End Notes 53

Bibliography 56

Interview List 59
 The Politics of Principles:
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 The Politics of Principles:
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The policy implications of the second model of conflict for
humanitarian agencies are not so clear. However, one
consequence is that many humanitarians are questioning
the principles of humanitarian action. Where the
belligerents refuse to acknowledge the limits of war, many
humanitarians are questioning whether they should still
respect the condition of non-interference imposed on them.
Many have decided they should not (hence the debates
about the relevance of neutrality) and are looking for ways
to impose principles themselves; in the short term by
coercion (for example strategies such as conditionality and
‘shaming’) and in the longer term by attempting to
restructure conflict-affected societies in order to re-
introduce a political contract (developmental relief, local
capacities for peace). This will be examined in more detail
in Section 3.
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2.4 New wars, new principles?

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The Politics of Principle:
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HPG Report

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

Endnotes
armed escorts. The same agencies, but different people,
argued for and against the same positions.
1
7KHRWKHUUHSRUWVDUH%UDGEXU\HWDORQWKH 12
Nicholas Stockton, pers comm.
*URXQG5XOHV$WNLQVRQDQG/HDGHURQWKH-32
DQG33+2DQG0DFNLQWRVKRQWKHOHJDOLVVXHV.
2 14
Where significant, reference is made in this report to the
specific study and section number where the detail of the
research can be found.
3
Humanity, impartiality, neutrality, independence,
universality, voluntary service and unity.
4
The Code of Conduct for the International Red Cross and
Red Crescent Movement and NGOs in Disaster Relief
(shortened hereafter to ‘Red Cross/NGO Code of
Conduct’) is a 10 point, voluntary code that seeks ‘to
guard our standards of behaviour’. It is sponsored by
members of the Steering Committee for Humanitarian
Response (SCHR), Interaction, and ICRC (SCHR, 1994).
5
The Humanitarian Charter and Minimum Standards in
Disaster Response, known as the Sphere project, is a
project of SCHR and Interaction, supported by ICRC,
VOICE and ICVA. It aims to promote the rights of people
affected by disasters through specifying minimum
standards in disaster response that those providing
humanitarian relief should aim to uphold (Sphere Project,
1998). See http://sphereproject.org/
6
Formed in 1997, ALNAP is a network that aims to
improve the quality and accountability of humanitarian
assistance by providing a forum for the identification and
dissemination of best practice and the building of
consensus on common approaches. The secretariat
function is provided by ODI.
7
The Ombudsman Project, currently in the pilot stage, is a
non-governmental, inter-agency initiative to establish a
Humanitarian Ombudsman to act as an impartial and
independent voice for people affected by disaster and
conflict. See http://oneworld.org/ombudsman.
8 21
The Strategic Framework for Afghanistan is a
mechanism that is attempting to develop greater coherence
between the UN’s assistance and, political and human
rights objectives in Afghanistan (UN 1998b).
9 22
See for example Disasters Vol 22, No 4, 1998, for a
number of papers on this issue and papers by Jackson and
Walker (1999), Macrae (1998a), Slim (1996, 1997a, 1999)
and Weiss (1999).
10
This notion has been adapted from the notion of
‘framework of consent’ in Lautze et al, 1998.
11
In Liberia in 1995 and Sierra Leone in 1998, for
example, agencies argued about the pros and cons of
13
An example might be Keen, 1994
Though it was probably the invention of the telegraph,
rather than the television, that marked the real shift in the
popular and political impact of journalism. ‘The Crimean
war, though fought far away in ‘the East’, was literally
brought to the breakfast tables of Western Europe by the
telegraphed reports of journalists in their new role as war
corespondents’. Hutchinson, 1996: 26.
15
‘An army which fails to maintain good discipline gets
into opposition with the popular masses, and this by its
own actions dries up the water’ from Mao’s Military
Principles, quoted in Freedman, 1994: 321.
16
In the First World War ICRC’s ‘role became that of a
clearing house for gifts, correspondence and information
about not only the wounded but prisoners of war’
(Hutchinson, 1996: 282).
17
See UNHCR’s annual ‘State of the World’s Refugees’
for statistics on forced displacement.
18
See for example DAC,1997.
19
In Kosovo, for instance, war was not formally declared
by NATO, though it was by Former Yugoslavia.
20
Despite some striking similarities in ethical dilemmas,
there has been little published by humanitarian agencies
that consciously attempts to draw on the large body of
literature that has developed around the ethics of war. The
problem of unintended impact, for example, is a question
long debated by those interested in military ethics (Walzer,
1977). It might be a little unfair to argue that ‘Almost the
only coherent ethical defence of the agencies’ actions [in
response to the 1994 Rwanda crisis] has been given by
Hugo Slim’ (de Waal, 1997: 197), but not by much.
See for instance Disasters, Vol 22, No 4, 1998, for a
number of papers on this issue and papers by Jackson and
Walker (1999), Macrae (1998a), Slim (1996, 1997a, 1999)
and Weiss (1999).
Humanity, impartiality, neutrality, independence,
universality, voluntary service and unity.
23
See Plattner, 1996 for a detailed account of ICRC’s
approach to neutrality.
24
See Study 4: Mackintosh, 2000: 14
25
It goes on to say ‘It will be agreed, generally speaking,
that the contribution represented by authorised
consignments should be limited: in the majority of cases,
HPG at odi 57
The Politics of Principle:
The principles of humanitarian action in practice
HPG Report
such consignments will be hardly sufficient to meet the
most urgent needs and relieve the most pitiable distress; it
is hardly likely, therefore, that they would represent
assistance on such a scale that the military and economic
position of a country was improved to any appreciable
extent.’
26
See, for example, a remark by an ICRC delegate to the
second Wolfsberg forum: ‘we cannot remain silent when
international humanitarian law is blatantly flouted. This is
a form of advocacy that does not involve politicisation’
(ICRC, 1997b: 2).
27
This study itself is an example of that process.
28
The sole reference to principles is in the ‘Provisions’
section: ‘To this end , the humanitarian interventions
envisaged by this contract will acknowledge humanitarian
principles, the right of victims to assistance, and the right
of impartial organisations to initiate humanitarian
operations.’ (ECHO 1993: 4). What ECHO understands by
these principles is not made clear.
29
For example ‘The Movement’s mission and its activities
are built on the Principles’ (ICRC, 1989)
30
In South Sudan, for example, the rejection of Islamic
law from Khartoum is an important factor in the war.
31
E.g. Article 23, Fourth Convention.
32
This included visa restrictions and threats to freeze bank
accounts and set up a war crimes tribunal for Liberia.
33
Due to insecurity, the Sudan case study was only able to
examine the working of the Ground Rules in SPLA/M
areas, and not in areas controlled by the other movements
which signed them. This section thus concentrates on the
SPLA/M.
34
The exception would seem to be ICRC, which by
common consent generally has the best understanding of
military issues. This comes from recognition that
neutrality requires this type of understanding. More
practically, it comes from the regular contact ICRC has
with military forces through activities such as
dissemination, prison visiting and prisoner exchange.
Many UN and NGO personnel will have an understanding
of the political economy of a conflict but are often
ignorant of basic military concepts and structures.
35
The changing and changeable nature of political and
military objectives (politics as the art of the possible)
make an interesting contrast with the apparently
immutable and changeless objectives of humanitarian
action (humanitarianism as the art of the impossible?).
36
ICRC’s approach to its protection work consists mostly
in bringing violations of IHL to the attention of the
58 HPG at odi
authorities, who have the responsibility for protection
themselves (ICRC, 1998: 22), indeed ‘only international
military or police forces can act as substitutes for the
authorities in this sphere’ (Bonard, 1999: 25, fn 40). What
seems to be happening to the idea of protection though is
that it is becoming a responsibility of humanitarian
agencies, a parallel process to the assumption by agencies
of state welfare responsibilities.
37
Capacity building for relief provision is dealt with in
section 5.3.3 below. This section will concentrate on
capacity building in terms of civil society and governance.
38
Article A6 of the ‘Statement of Humanitarian Principles’
in the Ground Rules.
39
Dissemination to the SPLA/M is dealt with below.
40
See Study 3: Bradbury et al, 2000, Section 4.11.7 for a
discussion on the relationship between the Ground Rules
and south Sudanese institutions.
41
The special significance of food in terms of affecting
the course of a conflict was recognised by the drafters of
the Geneva Conventions. Article 23 of the Fourth
Convention makes a distinction between medical supplies,
which are for all civilians, and food, which is only for
‘children under fifteen, expectant mothers and maternity
cases’.
42
The SRRA was officially separated from the SPLA/M
in 1994 but retains significant influence.
43
In a separate study of UN co-ordination in Afghanistan,
the present author heard the frequent phrase ‘we agree
about the principles, just not on their implementation’.
44
This contrasts with the highly detailed commitments
entered into by government signatories to the Geneva
Conventions where the opposite strategy was adopted and
the general commitment to observe humanitarian
principles has been spelt out in enormous detail.
45
The PCVC, despite a reference to agency compliance in
the text, was used to monitor compliance by faction
leaders and the government, not agencies. Only once was
it used in reference to an agency, WHO.
46
‘Do No Harm’, for instance, tends towards a
condemnation of the use of violence, compared with the
ICRC position which explicitly takes no position on the
use or justice of violence.
47
A classic example of the differences between the two
approaches is the attitude to amnesty for abusers as part of
a peace deal. Humanitarian and human rights actors will
usually call resolutely for no amnesty while political
actors are prepared to accept one in the interests of peace.
The Politics of Principles:
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HPG Report

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48 56
I.e. conditionality applied by humanitarian agencies for See also the findings of a report by WFP into recurring
humanitarian goals. This is contrasted with political challenges in food provision which pointed out that ‘There
conditionality. has been little formal discussion of these issues [i.e.
principles and ethical dilemmas] within WFP and staff
49
It is interesting to quote from the ICRC commentary on who are regularly confronted with them in the field have
Article 23 of the Fourth Convention in this regard. This received little guidance.’ (Ockwell, R, 1999: 64).
Article is to do with conditions under which relief supplies
57
are to be allowed through a blockade, but the spirit is of In Sudan in the 1980s and in Goma in 1994 respectively
non-interference, i.e. neutrality. ‘Supervision .... must be
carried out on the spot, at the very place where the goods
are handed over to the beneficiaries: constant surveillance
is necessary to ensure that the articles are in actual fact
received by those for whom they are intended and that any
illegal trafficking is made impossible. Receipts for
individual consignments, frequent spot checks in depots
and warehouses, periodical verification of distribution
plans and reports and other measures of supervision will
make it possible to avoid abuses, the consequences of
which would be borne in the first instance by those
categories in the greatest distress and who could not
possibly be held responsible for any unlawful acts which
may have been committed.’ (Pictet, 1958). Thus is a
principle turned into a procedure.
50
‘There is little real knowledge of and reflection on the
Code of Conduct in most agencies’ (Slim, 1998:3). This
finding was confirmed by the field studies.
51
For example medical or food economy analysis.
52
For instance: a compulsory, post-hoc, independent,
evaluation has recently been written into the procedures of
the Disaster Emergency Committee (DEC), the collective
fundraising mechanism British agencies use for
fundraising from the public in the event of major
emergencies.
53
The Baby Milk Action Group, for instance, funded in
part by SCF UKand Oxfam GB, monitors the compliance
of baby milk producers with the WHO code on the
marketing of milk powder. Similarly, the World
Development Movement has argued for an International
Investment Agreement with an independent monitoring
body and an enforcement mechanism to regulate
Transnational Companies: ‘meaningful self-regulation is
still the preserve of only a few companies. Moreover its
enforcement is dependent on the continued vigilance of
consumers, investors and campaign groups. Increasingly
‘ethical’ companies are also concerned that lack of
mandatory regulations allows less scrupulous competitors
to undercut them.’ (WDM, 1999).
54
Avant summarises this as ‘Institutional theory assumes
that actors will behave so as to ensure (or enhance) their
institutional power’ (Avant, 1994: 2)
55
For instance in the Joint Evaluation of Rwanda
(Eriksson, 1996) and in de Waal, (1997).

HPG at odi 59