Contents
Summary
41. Current Situation and Purpose of the Strategy
52. International Context
63. Strategic Orientation and Goals
74. Target Groups and Intermediaries
85. Areas of Assistance
95.1 Food security 9
5.2 creation or restoration of Basic social and infrastructural services, particularly in the areas of Drinking Water supply and sanitation, social services, Housing
and transportation 9
5.3 strengthening self-Help capacity 10
5.4 assistance for refugees 10
6. Implementing Agencies and Cooperation Partners
117. Planning Criteria and Working Principles
1Summary
Crises, conflicts and natural disasters are on the rise around the world; a growing number of people are suffering under their consequences. The goal of German development policy, in the context of these special situations, is to act quickly, flexibly and effectively. This is done through development-oriented emergency and transitional aid projects. Their purpose is twofold: people affected by an emergency are to be helped as effectively and quickly as pos-sible. In addition, the initial foundations for sustainable, post-crisis development are to be put in place.
A project usually lasts between six months and three years. This covers the period from the start of the emergency situation up to the establishment of development cooperation which aims for structural impact. Funds are provided on short notice and on the basis of quick planning procedures. Implementation occurs mainly through GTZ, through German nongovern-mental organizations or through international organizations such as the World Food Programme (WFP) and the United Nations High Commissioner for Refugees (UNHCR). The Federal Ministry for Economic Cooperation and Development (BMZ) considers emergency and
transitional aid as a joint international task and therefore places great emphasis on multilateral involvement. Development-oriented emer-gency and transitional aid thus forms a bridge between humanitarian immediate response and longer-term development cooperation. The most important areas of support are food security, the creation or restoration of basic social and infrastructural services, strength-ening of the self-help capacity of the men and women affected, as well as refugee assist-ance. Other areas of support can be included depending on the demands of the concrete emergency situation.
The special context of emergency and transi-tional situations usually requires the inclusion of conflict or disaster prevention measures. Through the application of the “do no harm” principle, projects are to be prevented from developing unwanted negative effects. The orientation toward post-crisis, sustainable development calls for the establishment of functioning institutions and the application of participatory methods. Women and men are involved in project measures to an equal degree.
1. Current Situation and Purpose of the Strategy
Peace and stability are the prerequisites for lasting development. Currently, however, many countries, particularly poorer countries, are suffering under domestic crises, conflicts and natural disasters. Since the end of the East-West conflict, moreover, there have been a growing number of persistent conflicts, involv-ing primarily non-state actors (rebels, warlords, terrorist groups, etc.). This has been nullify-ing years of development efforts. People suffer from poverty, hunger and misery or are under imminent threat from them. In many cases, a population develops its own adaptation strat-egies, giving rise to non-sustainable survival economies. Poverty and lack of resources, in turn, are a typical cause of conflict, completing the vicious circle. Quite a few countries must be described as fragile states because there is no longer any functioning administration or legal certainty. In such a situation, long-term bilateral development cooperation is no longer possible, or only to a limited extent. Generally speaking, a multi-faceted, intrinsic link exists between crises and catastrophes on the one hand and development processes on the other. The goal of German development cooperation, in this context, is to act quickly, flexibly and effectively. This is the purpose of the develop-ment-oriented emergency and transitional aid of the Federal Ministry for Economic Coop-eration and Development (BMZ).
The alleviation of the immediate suffering after a crisis or disaster is addressed by humani-tarian aid from the Federal Foreign Office. The most important aid supplies are made
available quickly and based on needs. Due to this orientation, humanitarian aid activities are planned for the short term and limited to the fiscal year.
Because of the intrinsic link between emergen-cies and development processes, the BMZ dedi-cated a budget item to development-oriented emergency and transitional aid (Chapter 2302, Title 68720) in 2005. The projects thus financed enable a fluid transition from humani-tarian and emergency aid to longer-term devel-opment cooperation. Moreover, the complexity of most emergency situations requires
accompanying measures; in conflicts and crises, these measures relate to constructive conflict management and peacebuilding, and in natu-ral disasters, to prevention.
This Strategy is closely related to the
Übersekto-rales Konzept zur Krisenprävention, Konfliktbear
beitung und Friedensförderung in der deutschen Entwicklungszusammenarbeit (Cross-sectoral strategy on crisis prevention, conflict manage-ment and peacebuilding in German devel-opment cooperation). The present Strategy is intended to illustrate how the new instrument of development-oriented emergency and tran-sitional aid functions. It describes the elements needed for emergency aid activities to lay the initial foundations for the transition to lasting development. The Strategy is addressed to BMZ working units concerned with emergency and transitional aid, to implementing agencies and cooperation partners, as well as to the inter-ested public.
2. International Context
The German government considers humanitar-ian aid as well as emergency and transitional aid as joint international tasks and thus tries to weave together multilateral and bilateral efforts whenever possible. Along these lines, the government has committed itself, within the framework of the international Food Aid Convention, to provide food aid in the amount of currently €56.24 million per year. This is achieved as much through bilateral food assist-ance as through contributions and project financing for the World Food Programme
(WFP). WFP is the most important international partner organization of the BMZ in providing emergency and transitional aid. Since 1996, Germany has been involved in directing WFP as a member of its Executive Board. An additional strategic partnership exists with the United Nations High Commissioner for Refugees
(UNHCR). Cooperation with UNHCR has proved very useful, above all, in protracted refugee situations as well as in repatriation and reinte-gration programs. In keeping with the ideas of the BMZ, UNHCR’s new regulatory mechanism provides for efforts to work towards long-term solutions for UNHCR’s target groups.
The EU Commission, too, seeks to strengthen the development orientation of its emergency aid and therefore pursues an approach that
connects immediate response, rehabilita-tion and development (“Linking Relief, Reha-bilitation and Development” – LRRD). Impor-tant donor countries such as Denmark, Nor-way, and the U.S. have, as has Germany, created special budget lines for this purpose.
On 17 June 2003, Germany developed the Prin-ciples and Good Practice of Humanitarian Donorship together with nine other EU coun-tries, the European Commission, Australia, Japan, Canada, Switzerland and the U.S. These international guidelines for emergency relief are geared towards a focus on needs, timely response, dependability, efficiency and effective-ness but also towards development orientation. In the framework of the OECD/DAC, Principles for Good International Engagement in Fragile States are in the making.
The Millennium Development Goals can only be accomplished if development efforts are not nullified by violent conflicts. Thus, elements of conflict management and peacebuilding must be components of emergency and transitional aid. The linkage of immediate response with development programs makes direct contribu-tions to the first Millennium Development Goal, the eradication of extreme poverty and hunger. The Millennium Declaration emphasizes the central importance of gender equality, as does the German government’s resulting Program of Action 2015. The United Nations is strongly sup-portive of granting women a greater decision-making role in conflict settlement, emergency aid and conflict prevention (cf. Security Council Resolution 1325 (2000) and the Declaration of 11 March 2005 – E/CN.6/2005/L.1). Fully in accord with these resolutions, the BMZ is con-vinced that gender equality is a key factor for the reduction of worldwide poverty, including in the context of crises and disasters.
3. Strategic Orientation and Goals
The primary goal of the BMZ’s official devel-opment cooperation is to effectively contribute to long-term poverty alleviation, building peace and achieving justice in globalization. Development-oriented emergency and transi-tional aid is provided in special situations
caused either by natural disasters or by con-flicts or other anthropogenic crises. This sup-port is especially crucial for fragile states. What is typically needed in the beginning is assist-ance that has a visible and rapid effect, such as food aid or the reconstruction of infrastruc-ture. This is a means of responding to acute needs and ensuring the survival, at least short term, of the men and women affected. Due to the complexity of most emergency situations, however, this is bound to fall short of stabilizing these peoples’ livelihoods beyond addressing immediate needs. In fact, the multifaceted rela-tionship between crises and disasters, poverty and development processes necessitates a smooth transition between emergency relief and longer-term activities pursued by the part-ner country and/or development cooperation players. Securing the survival of those affected serves as a starting point for the following proc-ess of sustainable development. Correspond-ingly, projects of development-oriented emer-gency and transitional aid are geared to the medium term. They are not meant to replace Financial or Technical Cooperation. Rather, the intention is to pursue a consistent overall approach which lays the foundations for later interventions in the form of longer-term deve-lopment cooperation pursued by Germany or other donors.
In exceptional circumstances, however, devel-opment-oriented emergency and transitional aid can take on some tasks of Financial or Tech-nical Cooperation. This is especially appropriate
in countries where, for example, no govern-ment exists with which one can reasonably cooperate. In other situations, political neces-sity may make it advisable to stay below a level at which there is visible official development cooperation. In such cases, depending on the circumstances, the BMZ will rely either on NGOs or on international organizations. These often complex emergency situations require specific responses geared to the situation on the ground. Great flexibility is therefore needed concerning the procedures as well as the imple-menting agencies and cooperation partners. When designing emergency and transitional aid activities, it is necessary, depending on the specific situation, to become active in different thematic areas and/or to undertake different flanking measures. Due to the complexity of many emergency situations, projects typically pursue a multi-sector, holistic approach. In individual cases, it may make sense to accom-pany political transformation processes with suitable advisory measures.
The so-called Livelihood approach has proven useful for safeguarding the sources of people’s livelihoods. Support activities are defined based on an analysis of the behavior and survival strat-egies of the populace involved in the concrete emergency. Development players examine how the target group deals with these circumstances and try to identify positive behavior patterns so as to use them to activate development poten-tial. Working with the women and men affect-ed, they find alternative solutions to the survival economies that develop in an emergency situa-tion, which are often non-sustainable.
Development and peace are inextricably linked.
development-oriented emergency and transitional aid acti-vities are therefore not only geared towards mitigating damage. Rather, they are to make an initial contribution to eliminating struc-tural causes of conflicts. The projects ought to endeavor, through conflict management and peacebuilding, to prevent the conflict from flaring up again. Wherever possible, accompa-nying support is to be given to processes of reconciliation.
Only if risks are recognized and perceived as such will institutions and individuals be ready to deal with them. In the case of natural disas-ters, efforts should therefore be pursued as early as in the stage of emergency and transi-tional aid to build awareness of the risk of future disasters. This is especially crucial in the case of phenomena that are the result of human intervention, such as landslides caused by deforestation.
4. Target Groups and Intermediaries
Development-oriented emergency and tran-sitional aid is oriented to people who are in need due to a crisis, a conflict or a natural disas-ter, and whose capacity to help themselves has been severely reduced as a result of the emer-gency situation. The respective target groups must be clearly defined, quantitatively and regionally. Usually, mothers, children and the elderly need special support, particularly when families break down due to war, civil war or the HIV/AIDS pandemic, resulting, for example, in entire households being headed by children.
Particularly with medium-term approaches, governmental and nongovernmental institu-tions should be involved as intermediaries
where possible. Preference is given to partner organizations on the local and regional levels, as they generally are more familiar with the concrete problems.
Conflict and stakeholder analysis makes it possible to identify relevant players and the parties involved in a conflict. This information is often indispensable for designing projects.
5. Areas of Assistance
Development-oriented emergency and transi-tional aid is a needs-based instrument for special measures in the context of crises, conflicts and natural disasters. In principle, the entire range of development issues may be relevant in this connection. Based on the central problem of a given emergency, it must be determined which approach is fitting and feasible within the transi-tional phase. In almost all cases, accompanying measures for crisis and disaster prevention are to be included in the intervention package. The following areas are of outstanding importance:
5.1 Food Security
Grain, grain products, pulses and other food are provided through short-term food aid. Where possible, the items are to be procured in the region. The aid supplies are distributed directly or sold via normal marketing channels. Within the framework of food-for-work or cash-for-work programs, men and women taking part in reconstruction work receive food or money as payment. In this way they are involved in the program. It is also possible to provide seeds, fer-tilizer and agricultural inputs. This is intended to alleviate acute needs and at the same time strengthen people’s capacity for self-help. Medium-term food security programs come into play in the context of crises, conflicts and natural disasters if the central problem in a longer-term emergency situation is food secu-rity for the people concerned. Because of the multiple causes of malnutrition, the programs take a multisector approach. In addition to fostering food self-sufficiency, the projects also support the reconstruction of economic, social and institutional infrastructure. Further elements include support for economic
activi-ties as well as for market and social structures. Through their grass-roots approach, food secu-rity programs have a good chance of achieving lasting success.
Food insecurity is one of the most serious results of conflicts and natural disasters, but can also itself prompt conflicts. Because of this close connection it is necessary not only to achieve food security for a population but also to try to counter potential conflicts and disasters.
5. Creation or Restoration of Basic Social and Infrastructural Services, Particularly in the Areas of Drinking Water Supply and Sanitation, Social Services, Housing and Transportation
Relevant projects typically consist mainly of
construction work for the provision of basic social and infrastructural services, that is, basic health posts, schools, shelters/housing, produc-tion facilities and roads. Depending on the situ-ation, destroyed infrastructure can be rebuilt through highly short-term measures. In other cases, multi-year programs are needed. Often, the physical reconstruction measures only lead to success if they are paralleled by administra-tive and social capacity building and broad par-ticipation of the population.
In the case of interventions following natural disasters, planners must examine whether disaster prevention can be included in the program. For example, when it comes to reconstruction after earthquakes, structures should be built that are as earthquake-resist-ant as possible. Risk or vulnerability analysis should take place as early as in the reconstruc-tion phase.
5. Strengthening Self-Help Capacity
Participation of the target group is a basic princi-ple of German development cooperation. It is crucial to the sustainability of projects and pro-grams. In the area of development-oriented emergency and transitional aid, too, participa-tory methods are necessary to help the people affected assert their rights and to enable them to play a role in decision-making processes. Partic-ipation helps strengthen the population’s self-help capacity. In-depth and gender-sensitive
analysis of the stakeholders and their needs, of the environment and the conflicts makes it possi-ble to plan appropriate emergency aid measures. In fragile states and in crisis situations, the pop-ulation often does not trust public institutions. Civil society organizations take over central areas of state responsibility. This is, however, not a sustainable solution and cannot be a substitute for the establishment of functioning, demo-cratically legitimate government institu-tions. One aspect of support is thus the strength-ening of decentralized competencies and capac-ities. Related efforts endeavor to include govern-ment bodies that are open to reform. Depending on the situation, such bodies can be found at the local, regional or central level.
5.4 Assistance for Refugees
The strategic partnership with UNHCR is not only concerned with assistance in acute
refu-gee situations. Rather, the goal is to find lasting solutions for the problems of refugees, prefera-bly by enabling their return to their home coun-tries, or else their integration in the receiving countries. Thus, issues such as general educa-tion and vocaeduca-tional training, income-generat-ing activities, water supply and sanitation, health, environmental advice and crisis preven-tion are gaining increasing importance.
In protracted refugee situations, it is not only the self-sufficiency and self-help capacity of the refugees that is at stake. The concerns of the population of the receiving country must also be taken into consideration. The challenge is to work against the intrinsic dynamics of the situ-ation, which often tend to give rise to conflict. Another goal is the restoration of confidence in state and non-state structures and in their effi-ciency.
An important issue in regions of crisis and con-flict is the reintegration of former male and female combatants, particularly child soldiers. Additional issues are efforts to foster reconcili-ation and address injustice as well as improve-ment of the security situation at the local level. Sustainable assistance for refugees can also be a useful tool for the prevention of violence. If in refugee situations joint projects with UNHCR exist alongside those of bilateral devel-opment cooperation or emergency aid, it is necessary to have close coordination and com-plementary planning.
6. Implementing Agencies
and Cooperation Partners
Measures of development-oriented emergency and transitional aid are carried out primarily by GTZ, by German nonprofit nongovernmen-tal organizations or by international organiza-tions. GTZ is charged with implementation within the framework of its General Agreement with the BMZ. Nongovernmental organiza-tions receive earmarked allocations of funds based on the guideline for the support of projects for development-oriented emergency and transitional aid from Chapter 2302, Title 68720. In the case of international organiza-tions, agreements are signed.
Implementing agencies and cooperation part-ners must be capable of competent project planning and implementation. This includes proof of the appropriate use of funds in accor-dance with the provisions of budgetary law. As implementing agencies are chosen, consid-eration must be given to special knowledge and experience related to the region and project type in questions. Logistical capacity plays a role as well. The experts employed must have the requisite sensitivity and competence to work under conditions of crisis and conflict. As far as possible, cooperation is to be sought with experienced and nonprofit project execut-ing organizations in the partner countries.
Close cooperation with multilateral organiza-tions facilitates a rapid, internationally embed-ded response. Because of their neutrality, UN organizations are especially suited to working in countries with difficult political situations or conflict situations. The World Food Programme (WFP) is the most important international part-ner of the BMZ in development-oriented emer-gency and transitional aid. The organization is characterized by professional procurement, delivery and distribution of great quantities of food, even under the most difficult circum-stances. It is able to deliver assistance quickly in emergency situations all over the world. Also of great importance are the UN High Commis-sioner for Refugees (UNHCR) and the Interna-tional Committee of the Red Cross (ICRC). Since 2004, projects have been funded jointly by UNHCR and the BMZ and carried out by GTZ under what is called combined financing. This partnership initiative helps intensify the interlocking of ref-ugee assistance and development cooperation. The thematic expansion of assistance measures broadens the range of possible cooperation partners, particularly in the multilateral realm. Depending on the situation at hand, new stra-tegic partnerships can result, for example with UNDP and other UN organizations as well as in the context of the European Union.
7. Planning Criteria and Working Principles
With a view to the design of development-ori-ented emergency and transitional aid, the fol-lowing planning criteria and working princi-ples arise from the fundamental strategic pre-cepts set out above:
In order to achieve visible success, activities in each annual plan focus on specific geo
graphic and thematic areas. This type of plan-ning must however incorporate a certain degree of flexibility for coping with sudden,
unforeseen emergency situations.
Development-oriented emergency and transi-tional aid is intended for special transition sit-uations following an acute emergency. Support for longer-term development cooperation can-not, as a rule, be financed from Title 68720.
Funds from Title 68720 are allocated on short notice and disbursed quickly. The planning and approval process is designed to proceed more quickly than for Technical or Financial Coopera-tion. There is no requirement to comply with the BMZ’s fixed country allocations or to make agreements through government negotiations or exchanges of notes. However, the measures should normally be carried out in agreement with partner governments and other donors. It is important to engage in dialogue, in accord-ance with the situation at hand, about the causes of the emergency.
The period of assistance is generally between six months and three years. This calls for realis-tic, not overly ambitious objectives. Goals must include the aspects of sustainability laid out in the present Strategy, and be achievable. Continued support for emergency and transi-tional aid beyond the said period can be consid-ered, but requires explicit justification.
In order to create a fluid transition to longer-term development cooperation, options for subsequent development projects must be discussed in time. This requires intensive inter-nal BMZ coordination, particularly with regional divisions. As far as possible, country strategies and Poverty Reduction Strategy Papers should be considered as early as in the planning of emergency and transitional aid. Coordination is also needed with other devel-opment cooperation players active in the region. Emergency and transitional aid activi-ties should be carried out only if financing within the framework of longer-term devel-opment cooperation is not possible.
There are naturally many instances where the Federal Foreign Office’s (AA’s) humanitarian assistance and the BMZ’s development-oriented emergency and transitional aid intersect. This is why there is close coordination between the AA’s Task Force for Humanitarian Aid and the BMZ’s Emergency and Transitional Aid Division. In complex emergency situations, coordination may extend to other departments, for example the Ministry of Defense when troop deployments abroad are concerned.
If activities are to be successful, it is vital to inte-grate them into broader international initia-tives. This applies particularly to activities which, for foreign-policy reasons, take place below a level at which there is visible official cooperation.
Just like other fields of cooperation, and maybe more so, activities in the area of development-oriented emergency and transitional aid are an area in which an effort must be made to achieve compliance with general human rights prin-ciples. This relates particularly to the human
rights of children and women, which are often violated. In accordance with the relevant UN resolutions, the BMZ works towards ensuring that the fundamental right to gender equality
is also applied in the framework of develop-ment-oriented emergency and transitional aid. High prevalence of HIV/AIDS places considera-ble strain on social and economic conditions. So in the field of emergency and transitional aid, too, HIV/AIDS must be considered in the plan-ning and realization of measures.
With natural disasters, it must always be exam-ined whether emergency aid measures can be oriented toward prevention of possible future disasters.
In crisis and conflict situations, development-oriented emergency and transitional aid gen-erally requires the inclusion of conflict preven-tion, conflict management and peacebuilding
activities. The focus is on efforts to foster dia-logue, because the process of reconciliation must be supported by all levels of society and all parties in order to be effective. Appropriate strategies of peaceful and gender-sensitive con-flict resolution are essential, as is the strength-ening of institutions that make a long-term contribution to the peaceful resolution of con-flicts of interest.
The projects are organized in a conflict-sensi-tive manner, in line with the do-no-harm prin-ciple. The possible mutual impacts between the conflict and the activities must be con-sidered so as to prevent unintended impacts that exacerbate the conflict, and to further impacts that contribute to de-escalation. Important factors include the choice of project regions and activities, partners and target groups, but also the attitude of the project
team. A choice of partner organizations that is not sensitive to the conflict may lead, for exam-ple, to the project’s being associated with par-ticular parties to the conflict, thus undermin-ing its general acceptance. Principles of non-partisanship and objectivity must always be observed.
a conflictrelated impact assessment is car-ried out in the form of a Peace and Conflict Impact Assessment (PCIA). On this basis, the project can be managed in a conflict-sensitive manner.
In line with the principle of participation, all men and women affected by the disaster or conflict must have the opportunity to partici-pate and be included in the projects. Their self-help capacity must be strengthened and func-tioning institutions, built. As decentralized institutions are created, civil society should be supported as much as possible; governmen-tal structures must be considered and, where appropriate, included. There should be an attempt to rebuild people’s confidence in state and non-state structures and their effectiveness (see 5.3. above).
In the projects, gender-sensitive stakeholder and needs analyses should be carried out. Exact knowledge of all relevant players and their perceptions and attitudes can help avoid mistakes in planning.
Special attention must be given to the security
of the people working in the projects, which often involve danger. Their personal security takes precedence over the implementation of the project. Armed protection of civilian per-sonnel is only justifiable in exceptional cases, so as to avoid implicit endorsement of the force of arms.
8. Outlook
Development-oriented emergency and transi-tional aid enables situation-specific assistance in crises, conflicts and natural disasters. Past experience is to be recorded and made avail-able for the planning of comparavail-able future spe-cial situations. To that end, the BMZ carries out evaluations of concrete projects. In the interna-tional context, the German government con-tributes to the development of standards that
help improve the quality of services delivered by the donor community. Processes of particu-lar importance in this regard are the further development of the Principles and Good Practice of Humanitarian Donorship as well as the devel-opment of Principles for Good International Engagement in Fragile States within the frame-work of the OECD/DAC.
Editor
Federal Ministry for Economic Cooperation and Development Division of Development Education and Information
Office Bonn Adenauerallee 139 - 141 D - 53113 Bonn Phone: + 49 (0) 18 88 5 35 - 0 Fax: + 49 (0) 18 88 10 5 35 - 35 00 Office Berlin Stresemannstraße 94 D - 10963 Berlin Phone: + 49 (0) 18 88 25 03 - 0 Fax: + 49 (0) 18 88 10 25 03 - 25 95 [email protected] www.bmz.de/en Editing Daniel Kempken Final editing Jutta Wagner Responsible Horst Müller As of January 2006
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