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Coming clean on neutrality and independence: The need to assess the application of humanitarian principles

Published online by Cambridge University Press:  17 December 2015

Ed Schenkenberg van Mierop
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Abstract

Neutrality and independence continue to be part of the four core humanitarian principles, in addition to humanity and impartiality. Promoting these principles needs to go hand in hand with efforts to apply and implement them. Applying neutrality and independence is a considerable undertaking. This article explains the various aspects of these two principles that are crucial for understanding and applying them. The author suggests that these aspects should be taken into account in assessing whether humanitarian organizations are managing to uphold the principles. In turn, these assessments will enable humanitarian organizations and other stakeholders in humanitarian action to understand what the opportunities and obstacles are in applying independence and neutrality.

Keywords

humanitarian principlesneutralityindependencehumanitarian actionICRCMSFNGOsaccountabilityverification
Type
Applying the principles
Information
International Review of the Red Cross , Volume 97 , Issue 897-898: Principles guiding humanitarian action , June 2015 , pp. 295 - 318
Copyright
Copyright © icrc 2015 

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References

1 “Principles of humanitarian action” and “humanitarian principles” are used interchangeably in this article, though Nick Leader has pointed to a difference between them. See Nick Leader, The Politics of Principle: The Principles of Humanitarian Action in Practice, Humanitarian Policy Group (HPG) Report No. 2, Overseas Development Institute (ODI), London, March 2000.

2 Yves Daccord, Humanitarian Action in a Changing Landscape: Fit for Purpose?, ICRC, 2013, available at: www.icrc.org/eng/resources/documents/article/editorial/02-04-humanitarian-action-yves-daccord.htm (all internet references were accessed in July 2015).

3 Jean Pictet, Commentary on the Fundamental Principles of the Red Cross, International Federation of Red Cross and Red Crescent Societies (IFRC), Geneva, 1979, p. 8, available at: www.ifrc.org/PageFiles/95341/Pictet%20Commentary.pdf.

4 Hugo Slim, Humanitarian Ethics: A Guide to the Morality of Aid in War and Disaster, Hurst & Co., London, 2015, p. 65.

5 Ibid.

6 This article uses the terms “humanitarian actors” and “humanitarian organizations” interchangeably. “Actors”, however, is a broader term.

7 Office for the Coordination of Humanitarian Affairs (OCHA), OCHA on Message (OOM): Humanitarian Principles, June 2012.

8 J. Pictet, above note 3, p. 35; H. Slim, above note 4, p. 68.

9 IFRC, Guidelines for the Domestic Facilitation and Regulation of International Disaster Relief and Initial Recovery Assistance, Geneva, 2011, Guideline 4.2, available at: www.ifrc.org/en/what-we-do/idrl/idrl-guidelines/.

10 UNGA Res. 46/182, 19 December 1991, available at: www.un.org/documents/ga/res/46/a46r182.htm.

11 UNGA Res. 58/114, 5 February 2004.

12 The revised text on the seven Fundamental Principles contained in the Statutes of the International Red Cross and Red Crescent Movement was adopted by the 25th International Conference of the Red Cross, Geneva, 1986, and is available at: www.icrc.org/eng/resources/documents/red-cross-crescent-movement/fundamental-principles-movement-1986-10-31.htm.

13 IFRC and ICRC, Code of Conduct for the International Red Cross and Red Crescent Movement and Non-Governmental Organizations in Disaster Relief, Geneva, 1994 (1994 Code of Conduct), available at: www.ifrc.org/fr/publications/code-of-conduct/.

14 Ibid., Principle 3.

15 Fundamental Principles, above note 12, “Neutrality”.

16 J. Pictet, above note 3, p. 34. Pictet wrote: “No idea in the Red Cross world has created more confusion than neutrality.”

17 The label “Dunantist” was used by Abby Stoddard in the HPG paper Humanitarian NGOs: Challenges and Trends, HPG Briefing No. 12, 2003, available at: www.odi.org/sites/odi.org.uk/files/odi-assets/publications-opinion-files/349.pdf.

18 This description fits not only many faith-based NGOs such as Caritas, Christian Aid and World Vision, but also organizations such as CARE, Oxfam and Save the Children.

19 HAP International, People in Aid and the Sphere Project, Core Humanitarian Standard on Quality and Accountability, 1st ed., 2014 (CHS), available at: www.corehumanitarianstandard.org/the-standard.

20 Ibid., p. 8. The compilations of comments that were received on draft versions of the CHS provide particular insight into the controversy, and are available at: www.corehumanitarianstandard.org/the-standard/the-consultation-on-the-chs.

21 Walker, Peter, “Cracking the Code: The Genesis, Use and Future of the Code of Conduct”, Disasters, Vol. 29, No. 4, 2005, pp. 329–330CrossRefGoogle ScholarPubMed.

22 OCHA, above note 7.

23 See the definition of independence as provided by the IFRC in the Fundamental Principles, above note 12.

24 Antonio Donini (ed.), The Golden Fleece, Kumarian Press, Sterling, VA, 2012, p. 3.

25 See section on “Institutional and Political Independence” below.

26 See, for example, Kurt Mills, cited in Flanagan, Barbara-Ann Riefer, “Is Neutral Humanitarianism Dead? Red Cross Neutrality: Walking the Tight Rope of Neutral Humanitarianism”, Human Rights Quarterly, Vol. 31, 2009, p. 896Google Scholar.

27 Sarah Colinson and Samir Elhawary, Humanitarian Space: A Review of Trends and Issues, HPG Report No. 32, ODI, London, 2012, p. 17.

28 O'Callaghan, Sorcha and Leach, Leslie, “The Relevance of the Fundamental Principles to Operations: Learning from Lebanon”, International Review of the Red Cross, Vol. 95, No. 890, 2013, p. 294Google Scholar.

29 Jan Egeland, Adele Harmer and Abby Stoddard, To Stay and Deliver, independent study commissioned by OCHA, United Nations, 2011, p. 4.

30 At the time of completing this article, the author is involved in efforts to create a new global mechanism, the Humanitarian Quality Assurance Initiative, which will verify the application of standards in humanitarian action. See: www.schr.info/assets/uploads/docs/Statement_announcing_the_creation_of_the_Humanitarian_Quality_Assurance_Initiative_7_July_2015.docx.

31 IFRC, above note 9, Guideline 14.2.

32 Ibid.

33 See Kate Mackintosh, “The Principles of Humanitarian Action in International Humanitarian Law”, Study No. 4, in The Politics of Principle: The Principles of Humanitarian Action in Practice, HPG Report No. 5, ODI, London, March 2000.

34 The relevant articles are: Geneva Convention (IV) relative to the Protection of Civilian Persons in Time of War of 12 August 1949, 75 UNTS 287 (entered into force 21 October 1950), Art. 23; Protocol Additional (I) to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International Armed Conflicts, 1125 UNTS 3, 8 June 1977 (entered into force 7 December 1978), Art. 70; Protocol Additional (II) to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of Non-International Armed Conflicts, 1125 UNTS 609, 8 June 1977 (entered into force 7 December 1978), Art. 18(2).

35 Looking at programmes and activities is particularly relevant to understanding perceptions, which will be discussed as the next aspect of assessing neutrality in the following section.

36 Jacques de Maio, “No Wonder Gazans are Angry. The Red Cross Can't Protect Them”, ICRC, 25 July 2014, available at: www.icrc.org/eng/resources/documents/article/editorial/07-24-gaza-israel-palestine-maio.htm.

37 See: https://twitter.com/icrc_ye. See, for example, tweets in the period 8–14 July 2015.

38 In an interview, ICRC Director of Operations Dominik Stillhart provides very helpful insight into the ICRC's policy on public messages and confidentiality. See “Confidentiality: Key to the ICRC's Work but not Unconditional”, ICRC, 2010, available at: www.icrc.org/eng/resources/documents/interview/confidentiality-interview-010608.htm.

39 Fabrice Weismann, “Silence Heals… from the Cold War to the War on Terror, MSF Speaks Out: A Brief History”, in Claire Magone, Michael Neumann and Fabrice Weissman (eds), Humanitarian Negotiations Revealed, Columbia University Press, New York, 2011, p. 196.

40 Fabrice Weismann, “Humanitarian Aid Held Hostage”, MSF Ideas and Opinions, 15 November 2006, available at: www.doctorswithoutborders.org/news-stories/ideaopinion/darfur-humanitarian-aid-held-hostage.

41 See Conflict Dynamics International, Humanitarian Access in Situations of Armed Conflict, Practitioner's Manual, Version 2, Swiss Federal Department of Foreign Affairs, December 2014, p. 153.

42 Nicholas Morris, Humanitarian Aid and Neutrality, report, conference on “The Promotion and Protection of Human Rights in Acute Crisis”, London, 11–13 February 1998, available at: www.essex.ac.uk/rightsinacutecrisis/report/morris.htm.

43 Ingrid Macdonald and Angela Valenza, Tools for the Job: Supporting Principled Humanitarian Action, Norwegian Refugee Council (NRC) and HPG, 2012, p. 9.

44 This is also illustrated in the research by Ashley Jackson, who looked at perceptions that Al-Shabaab and the Taliban have of aid agencies. See Ashley Jackson, Negotiating Perceptions: Al-Shabaab and Taliban Views of Aid Agencies, HPG Policy Brief No. 61, ODI, London, August 2014.

45 Terry, Fiona, “The International Committee of the Red Cross in Afghanistan: Reasserting the Neutrality of Humanitarian Action”, International Review of the Red Cross, Vol. 93, No. 881, 2011, p. 175CrossRefGoogle Scholar.

46 Larissa Fast, “Programming, Footprints, and Relationships: The Link between Perceptions and Humanitarian Security”, in Caroline Abu Sa'Da (ed.), Dilemmas, Challenges, and Ethics of Humanitarian Action, McGill-Queen's University Press, Montreal, 2012, p. 90.

47 See, for example, Abby Stoddard, Adele Harmer and Katherine Haver, Providing Aid in Insecure Environments: Trends in Policy and Operations, HPG Report No. 23, ODI, London, September 2006; Antonio Donini, Humanitarian Agenda 2015: Afghanistan Country Study, Briefing Paper, Feinstein International Center, 2006; Larissa Fast, Aid in Danger: The Perils and Promise of Humanitarianism, University of Pennsylvania Press, Philadelphia, PA, 2014.

48 Conflict Dynamics International, above note 41, p. 153.

49 See the interview with Pierre Kraehenbuehl, “The Neutral Intermediary Role of the ICRC: At the Heart of Humanitarian Action”, 7 July 2008, available at: www.icrc.org/eng/resources/documents/interview/neutral-intermediary-interview-070708.htm.

50 These initiatives include, for example, the Sphere Project, Humanitarian Charter and Minimum Standards in Humanitarian Response; the Active Learning Network for Accountability and Performance in Humanitarian Action; and the Humanitarian Accountability Partnership (HAP), which was succeeded recently by the CHS Alliance.

51 Mary B. Anderson, Dayna Brown and Isabella Jean, Time to Listen: Hearing People on the Receiving End of International Aid, CDA Collaborative Learning Projects, Cambridge, MA, November 2012.

52 James Darcy, “Have We Lost the Plot? Revisiting the Accountability Debate”, 2013 Humanitarian Accountability Report, HAP, Geneva, 2013, p. 8, available at: www.hapinternational.org/pool/files/2013-har.pdf.

53 Caroline Abu Sa'Da (ed.), In the Eyes of Others: How People in Crisis Perceive Humanitarian Aid, MSF, Humanitarian Outcomes and NYU Center on International Cooperation, 2012; C. Abu Sa'Da (ed.), above note 46.

54 C. Abu Sa'Da, above note 53, pp. 48–60.

55 Ibid., p. 5.

56 Ibid., p. 27.

57 Ibid., p. 71.

58 See video of ICRC event “Walk the Talk: Assessing the Application of Humanitarian Principles on the Ground”, Geneva, 24 February 2015, available at: www.icrc.org/en/event/walk-the-talk.

59 Yulia Dyukova and Pauline Chetcuti, Humanitarian Principles in Conflict, ACF-International, Paris, 2014, p. 10.

60 Caroline Moorehead, “Crisis of Confidence”, Financial Times, 18 June 2005.

61 Hugo Slim's work provides excellent insights into moral dilemmas and ethical questions. See, for example, Slim, Hugo, “Doing the Right Thing: Relief Agencies, Moral Dilemmas and Moral Responsibility in Political Emergencies and War”, Disasters, Vol. 21, No. 3, 1997, pp. 244–257CrossRefGoogle ScholarPubMed; H. Slim, above note 4.

62 See, for example, Elizabeth Ferris, The Politics of Protection, Brookings Institution, Washington, DC, 2011, p. 178.

63 As Jean Pictet put it: “One cannot be at one and the same time the champion of justice and of charity.” J. Pictet, above note 3, p. 39.

64 A. Donini (ed.), above note 24.

65 OCHA, above note 7. In terms of formal recognition by the UN, the principle of independence (without the adjective “operational”) appeared for the first time in UNGA Res. 58/114, above note 11.

66 Explanation given in an email sent to the author on 1 April 2015.

67 NRC, A Partnership at Risk? The UN-NGO Relationship in Light of UN Integration, NRC Discussion Paper, 2011, available at: www.nrc.no/arch/img.aspx?file_id=9175273&ext=.pdf.

68 See, for example, Victoria Metcalfe, Alison Giffen and Samir Elhawary, UN Integration and Humanitarian Space: An Independent Study Commissioned by the UN Integration Steering Group, HPG and Stimson Center, ODI, London, December 2011.

69 Email exchange between OCHA official and the author, 1 April 2015.

70 See, for example, Henryk Leszek Zielinski, Health and Humanitarian Concerns: Principles and Ethics, Martinus Nijhoff, Dordrecht, 1994, p. 14.

71 O'Callaghan and Leach describe a number of actions that the Lebanese Red Cross has taken to assert its independence. S. O'Callaghan and L. Leach, above note 28, pp. 300–301.

72 Mukesh Kapila, “The Red Cross and Red Crescent”, in Roger Mac Ginty and Jenny H. Peterson (eds), The Routledge Humanitarian Companion, Routledge, Milton Park, 2015, p. 185.

73 Larry Minear, The Humanitarian Enterprise: Dilemmas and Discoveries, Kumarian Press, Bloomfield, CT, 2002 p. 64.

74 See: www.ifrc.org/en/who-we-are/vision-and-mission/the-seven-fundamental-principles/independence/.

75 “Chechnya Expels Danish Aid Agency”, New York Times, 8 February 2006, available at: www.nytimes.com/2006/02/08/international/08chechen.html?_r=0.

76 Simon Jenkins, “The Red Cross Needs to Reclaim its Hijacked Neutrality”, The Guardian, 1 November 2013.

77 1994 Code of Conduct, above note 13, Principle 4.

78 Secretary Colin L. Powell, Remarks to the National Foreign Policy Conference for Leaders of Nongovernmental Organizations, 26 October 2001, available at: http://2001-2009.state.gov/secretary/former/powell/remarks/2001/5762.htm.

79 Ibid.

80 For example, German NGOs have criticized the PRT concept from its inception because, as they note, “the mandates of civil and military actors are mixed up”. VENRO, Five Years of PRTs in Afghanistan: An Interim Stocktaking from the Angle of the German Aid Organisations, VENRO Policy Paper No. 1/2009, 2009, p. 2, available at: www.venro.org/fileadmin/Publikationen/PDFs_engl/Afghanistan-Paper_engl_neu.pdf.

81 See, for example, Sarah Pantuliano, Kate Mackintosh, Samir Elhawary and Victoria Metcalfe, Counter-Terrorism and Humanitarian Action: Tensions, Impact and Ways Forward, HPG Policy Brief No. 43, ODI, London, October 2011. See also the article by Phoebe Wynn-Pope, Yvette Zegenhagen and Fauve Kurnadi in this issue of the Review.

82 See Kate Mackintosh and Patrick Duplat, Study of the Impact of Counter-Terrorism Measures on Principled Humanitarian Action, independent study commissioned by OCHA and NRC, July 2013; Modirzadeh, Naz. K., Lewis, Dustin A. and Bruderlein, Claude, “Humanitarian Engagement under Counter-Terrorism: A Conflict of Norms and the Emerging Policy Landscape”, International Review of the Red Cross, Vol. 93, No. 993, 2011, pp. 623–647CrossRefGoogle Scholar.

83 See, for example, Y. Dyukova and P. Chetcuti, above note 59, p. 11.

84 Good Humanitarian Donorship (GHD), 23 Principles and Good Practice of Humanitarian Donorship, 2003, available at: www.ghdinitiative.org/ghd/gns/principles-good-practice-of-ghd/principles-good-practice-ghd.html.  The GHD initiative brings together more than forty donor governments.

85 Joint Statement by the Council and the Representatives of the Governments of the Member States meeting within the Council, the European Parliament and the European Commission, “The European Consensus on Humanitarian Aid”, Official Journal of the European Union, 2008/C 25/01, 30 January 2008.

86 See, for example, DARA, Humanitarian Response Index 2011: Addressing the Gender Challenge, Madrid, 2012, p. 42. See also DARA, The European Consensus on Humanitarian Aid: An NGO Perspective, NGO study commissioned by VOICE, Brussels, May 2014, p. 8.

87 See Ajaz Ahmed Khan and Willem van Eekelen, Humanitarian Aid: Independence and Innovation, Islamic Relief, 2008, p. 3.

88 Ibid., p. 5.

89 Velina Stoianova, Private Funding for Humanitarian Assistance: Filling the Gap?, Global Humanitarian Assistance (GHA), Development Initiatives, August 2013, p. 2.

90 CHS, above note 19, Commitment 9.6-F.

91 At the time of writing, the pledge of one donor country in response to the UN appeal for Yemen has created much controversy. This donor's pledge is for the full amount of the appeal, but the donor government in question is also a belligerent in that conflict.

92 The GHA Report 2014 notes that the role of governments outside of the Organisation for Economic Cooperation and Development's Development Assistance Committee has continued to increase substantially, with their share of the government total more than doubling between 2011 and 2013, from 6% to 14%. GHA, GHA Report 2014, Development Initiatives, 2014, available at: http://www.globalhumanitarianassistance.org/report/gha-report-2014.

93 See, for example, Bernard, Vincent, “Editorial Comment”, International Review of the Red Cross, Vol. 93, No. 884, 2011, p. 893CrossRefGoogle Scholar.

94 See: www.msf-me.org/en/section/frequently-asked-questions.

95 C. Abu Sa'Da (ed.), above note 46, p. 61.

96 At the international level, the meeting of emergency directors of large humanitarian organizations regularly includes donor representatives and in a number of countries, donor government representatives participate in the meetings of Humanitarian Country Teams.

97 See, for example, Norah Niland, Riccardo Polastro, Antonio Donini and Amra Lee, Independent Whole of System Review of Protection in the Context of Humanitarian Action, commissioned by the NRC on behalf of the Inter-Agency Standing Committee (IASC) and the Global Protection Cluster, NRC, Geneva, May 2015, p. 19.

98 See, for example, Abby Stoddard, Adele Harmer and Jean S. Renouf, Once Removed: Lessons and Challenges in Remote Management of Humanitarian Operations for Insecure Areas, Humanitarian Outcomes, New York, 25 February 2010.

99 IASC, Civil-Military Guidelines and Reference for Complex Emergencies, OCHA, 2008, p. vii. For a review of the literature on humanitarian civil–military coordination, see Victoria Metcalfe, Simone Haysom and Stuart Gordon, Trends and Challenges in Humanitarian Civil–Military Coordination, HPG Working Paper, ODI, London, May 2012.

100 IASC, IASC Non-Binding Guidelines on the Use of Armed Escorts for Humanitarian Convoys, 2013, p. 3.

101 Available at: https://docs.unocha.org/sites/dms/Documents/Last%20Resort%20Pamphlet%20-%20FINAL%20April%202012.pdf.

102 See Wortel, Eva, “Humanitarians and Their Moral Stance in War”, International Review of the Red Cross, Vol. 91, No. 876, 2009, p. 800CrossRefGoogle Scholar.

103 See, for example, the Joint Statement on Humanitarian Principles endorsed by forty-eight humanitarian NGOs as a common contribution to the World Humanitarian Summit consultations, available at: www.actioncontrelafaim.org/en/content/joint-statement-humanitarian-principles-endorsed-now-48-humanitarian-ngos.