NGOs and the Role of the State in Humanitarian Aid

Cecil HaverkampProgram on Humanitarian Policy and Conflict Research

Harvard University

"Each state has the responsibility first and foremost to take care of the victims of natural disasters and other emergencies occurring on its territory. Hence, the affected state has the primary role in the initiation, organization, coordination, and implementation of humanitarian assistance within its territory."

GA Resolution 46/192 (1991)

In practice

Much of the immediate response is organized and provided by local communities and authorities – even if usually uncounted, unquantifiable and insufficiently recognized…

… Followed often by an invasion of NGOs and expats, and the imposition of external

coordination and delivery systems

Context-specific (or not)

Highly dependent on context but for different reasons resulting in similar practices and approaches

• In conflicts the state's role as a party precludes an active role in providing assistance

• In disasters countries seen as either too weak or too corrupt to manage humanitarian aid

• Discourse and literature almost entirely on international agencies and assistance to emergencies

• Donors view international agencies as more trusted deliverers of assistance, which receive the vast majority of external support

Historical review

Long history and track record of problematic relationships and difficulties between affected states and international agencies

• Donors and aid agencies: lack of trust in local capacity to deliver effective and accountable aid

• Local governments: experience and perception of limited outside respect for and knowledge of local authorities and structures

More recently…

• Renewed interest and focus on primary role of affected states

• Recent examples of strong push-back and effective demonstration of local capacity

• Important shifts under way appreciating the critical role of local ownership

Roles of the State in emergencies

1. Determining a 'crisis' and initiating the response

2. Providing relief and protection

3. Coordinating external assistance

4. Setting the regulatory environment

Role 1: Determining a crisis

• Only a formal request by an affected state can activate an international response

• Depending on severity of the crisis and existing local capacity, often a political decision

In theory: Needs based

Crisis occursLocal authorities overwhelmed

Appeal to external help issuedNeeds are assessed

Support delivered

In practice: Hesitation or refusal to appeal for outside help

Fear to appear weak and dependant Mistrust of the motivations of external support

Assertion of national sovereignty and national pride

Avoidance of NGO invasion

Examples: Indonesia 2005, Myanmar 2007, Pakistan 2008…

Role 2: Relief and protection

• Immediate providers of relief assistance,

eg evacuations, food aid, shelter, health care

• Protection of civilians and relief workers

Role 3: Coordination

• Sectoral coordination by line ministries

• Overall disaster coordination authorities

"affected states have the sovereign right to coordinate, regulate and monitor, disaster relief and recovery

assistance provided by assisting actors on their territory, consistent with international law."

IDRL Guidelines on the domestic facilitation and regulation of international disaster relief and initial recovery assistance (IFRC 2007)

Role 4: Regulatory environment

• Legislation and regulation

• Institutional arrangements for disaster preparedness, response mechanisms at national and sub-national levels

Role of international support

• Key goal of international assistance to encourage and support states to fulfil their responsibilities and protect their citizens

• However, very little attention given to assess state capacity and to adjust aid delivery where possible from substitution to support of local capacity

Prevailing attitudes

• Humanitarian agencies and staff usually not fully appreciative the affected country's primary role in responding to emergencies

• Aid workers often interpret humanitarian neutrality and independence as disengagement from government and state authorities

• Urgent need to provide assistance often reinforces a common 'Just-do-it' mentality

Critique

International agencies

– Ignore, bypass, undermine local authorities– Flood disaster zones with expats and poach

national staff– Coordinate poorly with local authorities– Erode 'contract' between state with its citizens– Disrespect local structures and systems

Illustrations of ways in which external aid influx undermines

• Challenges government authority by weakening the 'contract' between government and citizens

• Bypasses local authorities by establishing parallel delivery systems

• Undermines existing capacity by distorting market prizes and competition for resources

• Instrumentalizes local partners by turning local partners into NGOs for service delivery

• Provides opportunities for corruption and patronage

Push back

• India 2004/5: Rejection of international aid in response to the Indian Ocean tsunami

• Indonesia 2006: Local government response to Java earthquakes

• Mozambique 2007: Effective response to cyclone Favio and subsequent flooding

Raised questions

• How to assess state capacity to cope with emergencies?

• How to balance substitution and support in the provision of assistance?

• How to engage with 'difficult' states, ie perpetrators, corrupt, etc?

Topology of strategies for engagement

States Capable/effective Not capable/effective

Willing Support Support and substitution capacity-building

Not willing Substitution and "advocacy"

Substitution,direct execution

Fading dichotomy

• Relief– State-avoiding and short-term

• Development– State-building and long term

Trends

• Greater recognition of continuum and shared goals

• Greater concern for national ownership, alignment and harmonization as already in development contexts (Paris Agenda)

• Renewed interest in building state capacity• Focus on risk reduction and preparedness• Increased capacity building and investment in

line ministries, coordination authorities

Implications

In states capable and willing to fulfil responsibilities:

International agencies should play limited support rolesDonors need to consider direct support to affected states

Where governments are party to the conflict:

Independent and neutral assistance will still be requiredDirect execution and substitution the aid modality of last resort