Humanitarian Principles and Guiding Documents

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 1 HA  Issue 4/10 16 November 2010  AFGHANISTAN   Humanitarian Assistance Humanitarian Principles and Guiding Documents November 2010 Erin Foster Humanitarian Assistance and Social Well-Being Knowledge Manager ([email protected] ) (www.cimicweb.org ) The purpose of this paper is to provide a brief examination of the principles and standards that guide humanitarian organisations and their corresponding programmes in Afghanistan. Some key documents include humanitarian principles, codes of conduct, the humanitarian charter and Sphere standards. Though not exhaustive of all handbooks that exist on the delivery of assistance this review is meant to raise awareness about the basic frameworks for relief work. More comprehensive information is available at www.cimicweb.org. 1  Hyperlinks to original source material are highlighted in blue and underlined in the text. O, CLICK HERE What guides the actions of humanitarian workers i n emergency response programme activities? The guiding principles of humanity, neutrality, impartiality and operational independence form the basis of humanitarian relief work. The first three principles were adopted in 1991 by the United Nations General Assembly as outlined in Resolution 46/182. As stated in the resolution, member states were concerned about the “suffering of the victims of disasters and emergency situations, the loss in human lives, the flow of refugees, the mass displacement of people and the material destruction.” The document went on to emphasise the need for a better coordinated and effective response by the international community and called for the establishment of an Emergency Response Coordinator that reports directly to the UN Secretary-General. Mechanisms for early-warning systems, a central emergency relief fund , rapid reaction teams, a consolidated appeals process, an inter-agency standing committee and UN country team were also detailed in the resolution. The addition of operational independence as a guiding principle was included in 2004 as stipulated in UN Resolution 58/114. Member States cited concerns over targeted attacks against humanitarian workers and a lack of access to victims of natural disasters and armed conflict as the main reason for including 1 A CimicWeb user account is required to access some of the links in this document.  TO RATE OR COMMENT ON THIS PUBLICATION, CLICK HERE 

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HA  Issue 4/10  16 November 2010 

 AFGHANISTAN  –  Humanitarian Assistance

Humanitarian Principles and Guiding DocumentsNovember 2010

Erin Foster – Humanitarian Assistance and Social Well-Being Knowledge Manager([email protected]

(www.cimicweb.org) 

The purpose of this paper is to provide a brief examination of the principles and standards that guide humanitarian organisations and their corresponding programmes in Afghanistan. Some key documents include humanitarian principles, codes of conduct, the humanitarian charter and Sphere standards. Though not exhaustive of all handbooks that exist on the delivery of assistance this review is meant to raise awareness about the basic frameworks for relief work.More comprehensive information is available at  www.cimicweb.org.1   Hyperlinks to original source material are highlighted in blue and underlined in the text.

O, CLICK HERE What guides the actions of humanitarian workers in emergency response programmeactivities?

The guiding principles of humanity, neutrality, impartiality and operational independence form the basisof humanitarian relief work. The first three principles were adopted in 1991 by the United Nations

General Assembly as outlined in Resolution 46/182. As stated in the resolution, member states wereconcerned about the “suffering of the victims of disasters and emergency situations, the loss in humanlives, the flow of refugees, the mass displacement of people and the material destruction.” The documentwent on to emphasise the need for a better coordinated and effective response by the internationalcommunity and called for the establishment of an Emergency Response Coordinator that reports directlyto the UN Secretary-General. Mechanisms for early-warning systems, a central emergency relief fund, 

rapid reaction teams, a consolidated appeals  process, an inter-agency standing committee  and UNcountry team were also detailed in the resolution.

The addition of operational independence as a guiding principle was included in 2004 as stipulated in UNResolution 58/114. Member States cited concerns over targeted attacks against humanitarian workersand a lack of access to victims of natural disasters and armed conflict as the main reason for including

1 A CimicWeb user account is required to access some of the links in this document. 

TO RATE OR COMMENT ON THIS PUBLICATION, CLICK HERE 

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operational independence in the guiding principles. The general assembly resolutions define the guidingprinciples as follows (Table 1):

Table 1. Humanitarian Principles Humanity Neutrality Impartiality Operational

Independence

Human suffering must beaddressed wherever it isfound. The purpose of humanitarian action is toprotect life and health andensure respect for humanbeings. 

Humanitarian actors mustnot take sides in hostilitiesor engage in controversiesof a political, racial,religious or ideologicalnature.

Humanitarian action mustbe carried out on the basisof need alone, givingpriority to the most urgentcases of distress andmaking no distinctions onthe basis of nationality,race, gender, religiousbelief, class or politicalopinions.

Humanitarian action mustbe autonomous from thepolitical, economic, militaryor other objectives thatany actor may hold withregard to areas wherehumanitarian action isbeing implemented.

For organisations operating outside of the United Nations system, a separate guiding document was

created. The International Red Cross and Red Crescent Movement along with non-governmentalorganisations (NGOs) engaged in disaster relief work drafted a voluntary code of conduct  forhumanitarian actors in 1994. The code set a professional standard for emergency response activities and

laid out the relationship agencies should have with donor governments, host governments and the UnitedNations. The code also lists recommendations for disaster affected governments, donor governments andinter-governmental organisations. Currently 458 organisations have signed on to this list of ten principlesand recommendations. Table 2 presents the code of conduct, while additional descriptions  of eachprinciple are found in the full text of the principles of conduct. 

Table 2. The Principles of Conduct for the International Red Cross andRed Crescent Movement and NGOs in Disaster Relief  

1.  The humanitarian imperative comes first. 

2.   Aid is given regardless of the race, creed or nationality of the recipients and without adversedistinction of any kind. Aid priorities are calculated on the basis of need alone. 

3.   Aid will not be used to further a particular political or religious standpoint. 

4.  We shall endeavour not to act as instruments of government foreign policy. 

5.  We shall respect culture and custom. 

6.  We shall attempt to build disaster response on local capacities. 

7.  Ways shall be found to involve programme beneficiaries in the management of relief aid.  

8.  Relief aid must strive to reduce future vulnerabilities to disaster as well as meeting basic needs.  

9.  We hold ourselves accountable to both those we seek to assist and those from whom we accept

resources. 10. In our information, publicity and advertising activities, we shall recognize disaster victims as

dignified human beings, not hopeless objects. 

Beyond the humanitarian principles and code of conduct that structure the ethics and conscience of theaid community, there are also various operational manuals and guidelines pertaining to the varioussectors of work which ensure coherent and professional standards are used worldwide. Most notableamong these is the Sphere Project operational handbook  which contains the humanitarian charter and

minimum standards common to all sectors, first published in 2000. In the late 1990s, a group of NGOs

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and the Red Cross and Red Crescent Movement developed the initial draft of what would become theSphere Project handbook.

The Sphere Project handbook was designed for use during the response phase of natural and man-madedisasters, which includes armed conflict.2 It is not designed to be a „how-to manual‟ but rather provides alisting of minimum professional standards for those providing humanitarian relief. Humanitarian responseis unique to each country and region and the Sphere extends this flexibility in its standards and indicatorsas addressed in its technical chapters and cross-cutting themes.

The humanitarian charter was formulated using internationalhumanitarian and human rights law, refugee law and thehumanitarian code of conduct. The charter articulates thecommitment of organisations to meet the “most basicrequirements for sustaining the lives and dignity of thoseaffected by calamity or conflict.” The three principles of thehumanitarian charter include: the right to life with dignity; the

distinction between combatants and non-combatants; and theprinciple of non-refoulement.

The first principle  „right to life‟  is defined in the humanitarian

charter as the legal measures for an adequate standard of livingand freedom from cruel, inhuman or degrading treatment or

punishment. The second principle, „distinction between combatants and non-combatants‟, is based upon

the 1949 Geneva Conventions  and the   Additional Protocols of 1977. According to international

humanitarian law, non-combatants are entitled to immunity from attack. International humanitarian law, 

as defined by the International Committee of the Red Cross (ICRC), is a body of laws or rules that

attempt to mitigate the effects of armed conflict on those who are not or are no longer actively engagedin hostilities. International humanitarian law dates as far back as the rules of ancient warfare though it

was not codified until the nineteenth century. The final principle of non-refoulement

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pertains to therights of refugees not to be returned to a country which threatens his or her life or freedom on accountof race, religion, nationality, membership of a particular social group or political opinion; or if he or shecould be subject to torture.

Beyond the Humanitarian Charter, the Sphere Project handbook contains four technical chaptersestablishing minimum standards and indicators for each issue area including: water supply, sanitation andhygiene promotion; food security, nutrition and food aid; shelter, settlement and non-food items; andhealth services (see  Annex 1)4. Chapter one also identifies minimum standards common to all sectors

with indicators for each. These minimum standards are meant to establish universal qualitative approaches for the provision of relief based upon the principle that “populations affected by disaster havethe right to life with dignity.” The indicators are both qualitative and quantitative measures of the

standards that allow practitioners to better understand the impact of their projects and policies. Although

Sphere is separated into technical chapters, there are also cross-cutting themes identified that affect allactivities undertaken by the humanitarian community, including: children; older people; disabled people;gender; protection; HIV/AIDS and the environment. The Annexes to each chapter also provide various

2 According to the Sphere Project handbook , it is not intended for use in response to technological disasters such astransport, industry, chemical, biological or nuclear calamity.3 The 1951 Convention and 1967 Protocol  form the legal basis for non-refoulement and can be found in the UNTreaty Index. UNHCR is the UN organization mandated to protect the rights of refugees.4  Annex 1 of this report provides a snapshot of the minimum standards and cross-cutting issues. 

The Humanitarian Charter 

“Humanitarian Agencies committed to 

this Charter and to the Minimum 

Standards will aim to achieve defined 

levels of service for people affected by 

calamity or armed conflict, and to 

promote the observance of 

fundamental humanitarian principles.”  

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reference and data collection tools for the user. The handbook acknowledges limitations created by anumber of external variables that can affect the ability of aid organisations to access affected

populations, political and/or security instability as well as the authorisation of officials to work in a givenarea. The most recent 2004 edition of the handbook   is currently undergoing revisions by the SphereBoard with a revised version anticipated to be available in 2011.

 An additional key concept is to „do no harm‟ in the delivery of humanitarian assistance. The „do no harm‟ principle was developed from the writings of Mary B. Anderson in the late 1990s and now informs varioustrainings for humanitarian workers. As explained in Anderson‟s Do No Harm: How Aid Can Support Peace – Or War,  “although aid agencies often seek to be neutral [...] when given in conflict settings, aid canreinforce, exacerbate, and prolong conflict; it can also help to reduce tensions and strengthen people‟scapacities to disengage from fighting and find peaceful options for solving problems.” Anderson arguesthat humanitarian responders should use the awareness of the potential impact of assistance to ensurethat their aid „does no harm‟. 

Humanitarian Assistance in Afghanistan

The provision of assistance to the people of Afghanistan has taken place for the greater part of the 20 th Century. According to the United Nations News Centre5, Afghanistan became a UN member state in 1946,

but it was not until the 1980s that a formal relief mission and permanent international presence wasestablished in the country. The UN Office for the Coordination of Humanitarian and Economic AssistanceProgrammes (UNOCA) was introduced in April 1988 and was responsible for implementing  „Operation

Salam‟ , the name given to all UN relief programmes in Afghanistan. The main focus for relief programmes

at the time was for socio-economic services, food aid and agricultural development. The UN alsoestablished a mission in October 1988 to ensure the withdrawal of Soviet troops under UN Security

Council Resolution 622. 

In 1993, UNOCA transitioned to the United Nations Office for theCoordination of Humanitarian Assistance (UN OCHA ), whose purposewas to ensure a coordinated approach to humanitarian assistance in thecountry. The United Nations Assistance Mission in Afghanistan (UNAMA ) was established at the same time to focus on the non-humanitarianprogrammes and responsibilities of the UN. As civil war ensued in theearly 1990s, access to populations in need was limited. Meanwhile, aseries of natural disasters occurred in the late 1990s includingearthquakes and flooding that exacerbated the already complex

humanitarian assistance situation in the country. The provision andcoordination of humanitarian assistance by the UN in Afghanistan wasdramatically changed with the establishment of the Afghan Interim

 Authority in 2001 and the International Security Assistance Force (ISAF).

Currently, UN OCHA is responsible for ensuring the development of common humanitarian strategies, assessing situations and needs,resources, administrative functions and convening forums such as theUN Cluster System  composed of eight different assistance sectors:protection;  water, sanitation and hygiene; health; emergency shelter; nutrition; emergency telecommunications;  food security and agriculture; 

and education. 

5 The UN News Centre provides a list of  UN Resolutions. 

UN Convoy in Bamyan province.

Copyright UNAMA 2010.

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The Agency Coordinating Body for Afghan Relief ( ACBAR ), an umbrella agency for NGOs in Afghanistan,

launched The Code of Conduct for NGO‟s in Afghanistan 6

 in 2005 (see Annex 2). According to ACBAR‟swebsite, the code was drafted in response to accusations of the misuse of funds related to NGO activities.The code defines NGOs as “voluntary, not-for-profit, non-partisan and independent organizations orassociations engaged in serving the public good, including national, international and faith-based groups.” Humanitarian action is defined by the code as activities undertaken for the alleviation of human sufferingand human rights violations as a result of conflict and/or crisis. As of August 2007 138 national andinternational NGOs signed the code. NGOs and international organisations in Afghanistan are required toensure that their programmes are in line with the Afghan government‟s National Solidarity Programme(NSP) and Afghan National Development Strategy ( ANDS). According to a report by ACBAR, participationand support of Afghan government programmes can heighten the risk   of organisations working in thefield if their neutrality is questioned by any parties to the conflict.

 According to a report by the Feinstein International Center at Tufts University, through the establishment

of an interim government in 2002, Afghanistan was identified a post-conflict country. As such, anintegrated mission between the military, civilians and international actors was established and UN OCHA 

was disbanded from 2002 until 2007. The report states that the lack of an independent coordinating body contributed to the lack of organisation in humanitarian efforts and damaged the perception of neutralityof aid workers. The report goes on to argue that NGOs working in the country also took projects beyond

the humanitarian mandate, further changing their perception of neutrality among all parties to theconflict. The authors further note that in the late 1980s a „humanitarian consensus‟ was built with allparties to the conflict in Afghanistan and neighbouring countries to ensure access to victims andcontinuation of aid assistance. This humanitarian consensus no longer exists and the discussion overhumanitarian principles and values is complicated by what is termed the  „blurring of the lines‟ between

civilian, military and international organisations. Medecins Sans Frontieres (MSF) further explains that in Afghanistan impartial humanitarian assistance  attempts to “limit the devastations of war by helping

people survive in decent condition.” 

The activities of civilian, military, international organisations and non-governmental organisations as wellas their actual and or perceived role in humanitarian activities has sparked various criticism and debatesince the inception of an integrated approach and or comprehensive approach model has been promotedaccording to an IRIN article. The Guidelines for the Interaction and Coordination of Humanitarian Actorsand Military Actors in Afghanistan were finalized in May 2008 and were drafted by representatives fromthe United Nations Assistance Mission for Afghanistan (UNAMA) and UN Agencies, ACBAR,   ISAF, Forcesserving in Operation Enduring Freedom, and Afghan National Security Forces. These guidelines are a tool

to delineate interactions of military and humanitarian actors to curb misconceptions about the neutralityof humanitarian organisations and to further emphasize the need to respect humanitarian principles.Some key concepts  from the guidelines for humanitarian and military actors include: humanitarian

access, humanitarian space, perception, distinction, operational independence, security of humanitarian

actors, Do Not Harm, international legal instruments, culture and custom, last resort, avoid reliance, andhierarchy of humanitarian tasks.

 According a recent EurasiaNet article, the operational environment or humanitarian space for aid workersis complicated by military and military-affiliated entities conducting humanitarian and development-related work. The article further explains that the recent ban on the use of private security companies in

 Afghanistan by Presidential Decree 62 could provide the opportunity for organisations undertaking solely

6The latest version of the Code of Conduct available from ACBAR’s website is dated August 2007. 

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humanitarian activities to separate themselves from for-profit development organisations and enhancethe ability of humanitarian principles and standards to take the forefront in humanitarian relief work. On

the occasion of World Humanitarian Day 19 August 2010, the United Nations Under-Secretary-General forHumanitarian Affairs and Emergency Relief Coordinator John Holmes cited 2009 as the deadliest year todate for humanitarian workers and went on to emphasise that humanitarian aid workers,

“have  no other agenda than saving lives and delivering the basics of life-food, water, shelter,medical care, protection for the most vulnerable. Yet in too many places where humanitarians work,whereas once we were respected, today we are targeted.”  

In Afghanistan, the International Committee of the Red Cross (ICRC) takes the lead role in upholding

humanitarian principles and advocating for the ‘do no harm’ principles in conducting assistance. Though

there has been criticism of the impact and conduct of humanitarian assistance (see Linda Polman  – Guardian  review of her book  War Games: The Story of Aid and War in Modern Times), the HumanitarianPolicy Group points to the creation of frameworks i.e. humanitarian charter, minimum standards, codes of conduct and the increase in evaluations and assessments of assistance as evidence of improved

humanitarian accountability and commitment to the protection of victims of conflict or natural disasters.

The responsibilities and protocol for humanitarian actors is clearly laid out in the humanitarian principles,codes of conduct and Sphere minimum standards. However, the practical application of these guidingdocuments in the highly complex operation environment of Afghanistan is no easy task. The definition of 

humanitarian space, civil-military interaction and coordination and the application of humanitarianprinciples in Afghanistan merits further research and critical thinking both by humanitarian practitioners,military officials and Afghan civil society.

The Civil Military Fusion Centre (CFC) is an Information and Knowledge Management organisation focused on

improving civil-military interaction, facilitating information sharing and enhancing situational awareness through the

web portal, CimicWeb. CFC products are developed with open-source information from governmental organisations,

non-governmental organisations, international organisations, academic institutions, media sources and military 

organisations. By design, CFC products or links to open sourced and independently produced articles do not necessarily 

represent the opinions, views or official positions of any other organisation. 

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7 Indicators and guidance notes are found within each of the SPHERE chapters.

 Annex 1. SPHERE PROJECT HANDBOOK   Minimum Standards7 

Cross Cutting Issues 1.  Children2.  Older People3.  Disabled People4.  Gender

5.  Protection6.  HIV/AIDS7.  The Environment

Common Standards  1.  Participation2.  Initial Assessment3.  Response4.  Targeting5.  Monitoring6.  Evaluation

7.   Aid Worker Competenciesand Responsibilities

8.  Supervision, Managementand Support of Personnel

Water, Sanitation & Hygiene 

Hygiene Promotion Standard 1. Programme Design and

ImplementationWater SupplyStandard 1. Access and WaterQuantityStandard 2. Water QualityStandard 3. Water Use Facilities andGoodsExcreta DisposalStandard 1. Access to, and Numbersof, ToiletsStandard 2. Design, Construction andUse of Toilets

 Vector ControlStandard 1. Individual and Family

ProtectionStandard 2. Physical, Environmentaland Chemical Protection MeasuresStandard 3. Chemical Control SafetySolid Waste ManagementStandard 1. Collection and DisposalDrainageStandard 1. Drainage Works

Food security,Nutrition and Food

 Aid 

 Assessment and AnalysisStandard 1. Food Security

Standard 2. NutritionStandard 3. Food AidFood SecurityStandard 1. General Food SecurityStandard 2. Primary ProductionStandard 3. Income and EmploymentStandard 4. Access to MarketsNutritionGeneral Nutritional Support Standard 1. All GroupsStandard 2. At-risk GroupsCorrection of malnutrition Standard 1. Moderate MalnutritionStandard 2. Severe Malnutrition

Standard 3. MicronutrientMalnutrition

Food AidFood Aid Planning 

Standard 1. Ration planningStandard 2. Appropriateness and

 AcceptabilityStandard 3. Food Quality and SafetyFood Aid Management Standard 1. Food HandlingStandard 2. Supply Chain ManagementStandard 3. Distribution

Shelter, Settlementsand Non-Food Items 

Shelter and SettlementStandard 1. Strategic PlanningStandard 2. Physical PlanningStandard 3. Covered Living SpaceStandard 4. DesignStandard 5. Construction

Non-Food ItemsStandard 1. Clothing and BeddingStandard 2. Personal HygieneStandard 3. Cooking and EatingUtensilsStandard 4. Stoves, Fuel and Lighting

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8Please see the full text of the code for the detailed description of each principle.

Standard 6. Environmental Impact Standard 5. Tools and Equipment

Health Services  Health Systems and

InfrastructureStandard 1. Prioritising HealthServicesStandard 2. Supporting National andLocal Health SystemsStandard 3. CoordinationStandard 4. Primary Health CareStandard 5. Clinical ServicesStandard 6. Health InformationSystemsControl of CommunicableDiseasesStandard 1. PreventionStandard 2. Measles Prevention

Standard 3. Diagnosis and Case

ManagementStandard 4. Outbreak PreparednessStandard 5. Outbreak Detection,Investigation and ResponseStandard 6. HIV/AIDS Control of Non-CommunicableDiseasesStandard 1. InjuryStandard 2. Reproductive HealthStandard 3. Mental and Social Aspectsof HealthStandard 4. Chronic Diseases

 Annex 2. The Code of Conduct for NGOs in Afghanistan8 

Our Organizations are People-Centreda.  Focus on the people we serve d. Trustb.  Self-reliance and ownership e. Participation and non-discriminationc.  Human rights f. Respect for local values

Our Organizations are Committed to Sustainable Positive Impacta.  Effectiveness c. Environmental impactb.  Sustainability d. Monitoring and evaluation

Our Organizations are Committed to Transparency and Accountability. We are transparent andaccountable in our dealings with the government and community partners, the public, donors andother interested parties.

a.    Accountability b. Transparency

Our Organizations are Committed to Good Internal Governancea.  Governing documentation c. Employment practicesb.  Equal opportunity d. No conflicts of interest

Our Organizations are Committed to Honesty, Integrity and Cost Effectivenessa.  Honesty c. Cost effectivenessb.  Integrity

Our Organizations are Committed To Diversity, Fairness, Non-Discrimination against MarginalizedGroups and to Affirmative Action

a.  Diversity d. Non-discrimination against marginalized groupsb.  Equity e. Affirmative actionc.  Gender equity

Our Organizations are Committed To Building Afghan Capacitya.  Capacity building d. Human resourcesb.  Consultation e. Physical and technical resourcesc.  Sustainability f. Appropriate technologies

Our Organizations are Committed to Independencea.  Independence b. Autonomy

In Humanitarian Contexts, we adhere to the following additional principles:a.  Impartiality c. Application of SPHEREb.  Neutrality