Humanitarian Negotiations in Complex Emergencies

1. Humanitarian Negotiations in Complex Emergencies Presented by: WHO Health Action in Crisis Pre-Deployment Training Geneva, 26 November – 8 December 2006 and

2. Objectives • Present structured approach to humanitarian negotiations (the “what” and “how”) • Highlight key principles of humanitarian negotiations • Explore techniques for humanitarian negotiation (more on “how”) • Highlight opportunities and resources for further learning and training • Stimulate discussion and exchange of ideas

3. Case: Neutrality of Humanitarian Facilities Food warehouse Hut H

4. A Structured Approach to Humanitarian Negotiations

5. Humanitarian Negotiations NEGOTIATION IS ABOUT INFLUENCE NOT CONTROL • Negotiation – • Arrive at an agreed outcome • Where parties are not in complete accord to begin with! • Communication and relationship building • Purposes of humanitarian negotiations: • Ensure the provision of humanitarian assistance and protection to vulnerable populations • Preserve humanitarian space and • Promote better respect for international law

6. Humanitarian Negotiations: Motivations and Partners • Knowing when to adopt a more cautious approach • Being clear about reasons for negotiating • Focus on HUMANITARIAN OUTCOMES • Separation of political- and humanitarian negotiations • Learning about the other party • Motivations; Structure; Principles of Action; Interests; Constituency; Needs; Cultural and Ethnic Dimensions; Control of Population and Territory • Humanitarian partners in negotiations • Coordinating approach • Agreement on process and intended outcomes

7. Framing the Negotiations • Framing components • Humanitarian principles • Elements of international law • Humanitarian policies • Three phases • nine-steps for humanitarian negotiations

8. Boundaries and Framing Components for Humanitarian Negotiations • Humanitarian Principles • Humanity, Neutrality, Impartiality • Operational Independence, Participation, Accountability … • Humanitarian Policies • Elements of International Law • International Humanitarian Law • E.g. Four Geneva Conventions of 1949 • International Human Rights Law • E.g. Convention on the Rights of the Child • International Criminal Law • E.g. Rome Statute of the ICC How can these components ‘frame’ humanitarian negotiations ?

9. Humanitarian Principles, Policies Assist in framing the negotiations by … • Providing guidance on HOW negotiations can be undertaken • Defining boundaries within which to seek agreement • Providing criteria for developing options

10. Elements of International Law Assist in framing the negotiations by … • Defining boundaries within which to seek agreement • Defining the legal obligations of parties to a conflict and other groups • Identifying the substantive issues for negotiation • Providing benchmarks for developing options and monitoring implementation • Providing incentives to negotiate

11. Negotiation: Three Phases IMPLEMENTATION P R E P A R A T I O N SEEKING AGREEMENT

12. Page 51 of Manual

13. Three Phases of Humanitarian Negotiation Phase I – PREPARATION STEP I: COORDINATE APPROACH WITH HUMANITARIAN PARTNERS STEP 2: DECIDE ON OBJECTIVES AND STRATEGY STEP 3: LEARN ABOUT, ANALYZE YOUR NEGOTIATING PARTNER Phase II – SEEKING AGREEMENT STEP 4: BUILD CONCENSUS ON THE PROCESS OF NEGOTIATION STEP 5: IDENTIFY THE ISSUES STEP 6: DEVELOP OPTIONS STEP 7: WORK TO SEEK AGREEMENT ON OPTION THAT BEST MEETS THE HUMANITARIAN OBJECTIVES Phase III – IMPLEMENTATION STEP 8: DEFINE CRITERIA FOR IMPLEMENTATION STEP 9: FOLLOW-UP: MONITORING AND RELATIONSHIP BUILDING

14. Page 51 of Manual

15. Neutrality of Humanitarian Facilities Food warehouse Hut H

16. Assisting the PROCESS of Negotiation: The Interest-Based Approach

17. Arm Exercise • Pair Up • Objective: • Get as many points for yourself as possible • Rules: • No talking • One point for each touch of their hand to the table • 20 seconds

19. Guidelines for Negotiation • Clarify INTERESTS Not Positions • Ask why?, why not? • Capitalize on joint interests, reconcile differing interests • Look to CRITERIA and creative OPTIONS to deal with conflicting interests • Invent OPTIONS for Mutual Gain • Separate inventing from deciding • Generate options through “brainstorming” • no evaluation, no commitment, no attributions

20. Guidelines for Negotiation (cont …) • Use CRITERIA to Help Evaluate Options • Look to humanitarian principles and elements of international law as objective criteria • Ask “Why is that objective/fair?” • Use the test of reciprocity

21. Role Play:Humanitarian Access

22. Role Play • Example from UNICEF PATH learning system • Identify issues • Negotiating with armed group • Small groups at your table • Discuss approach and use of framing elements / interest-based approach • Focus on Diagnosis and Prescription • Nominate one spokesperson to participate in “fishbowl” exercise

23. Negotiation: Three Phases IMPLEMENTATION P R E P A R A T I O N SEEKING AGREEMENT REVIEW

24. Review of Key Principles

25. Key PrinciplesHumanitarian Negotiations - I PRE-NEGOTIATION CONSIDERATIONS • Humanitarian negotiation with armed groups can often be a HUMANITARIAN NECESSITY • Humanitarian negotiations focus on humanitarian OUTCOMES • Humanitarian negotiations DO NOT CONFER LEGITIMACY on the other party (Government / armed group etc.) STRATEGIC CONSIDERATIONS • Negotiation is about INFLUENCE, not control • Your counterpart is your PARTNER in the negotiations • Keep political- and humanitarian negotiations separate

26. Key PrinciplesHumanitarian Negotiations - II “BIG PICTURE” CONSIDERATIONS • A COORDINATED APPROACH among humanitarian partners is essential • Humanitarian principles, policies and elements of international law FRAME humanitarian negotiations • Humanitarian principles, protections and international law cannot be negotiated • Keep the end OBJECTIVES clearly in sight!

27. Contact Information • This Briefing / Humanitarian Negotiations General / UN Manual  • Advanced Training on Humanitarian Negotiations 

28. Additional / Reference Slides

29. Negotiating on Specific Issues • Negotiation and 2 inter-connected dimensions of humanitarian action • Assistance • Protection • PROTECTIONS AFFORDED TO CIVILIANS CANNOT BE NEGOTIATED! (cannot negotiate international law!) • Approaches, activities, strategies can be negotiated • Humanitarian negotiations generally touch on several issues (in one round of negotiations) • Specific examples • Ground Rules • Humanitarian Access • Protection of Civilians

30. Guidelines for Negotiation (cont …) • Make COMMITMENTS At the End of the Process • Talk first, decide later • No commitments until interests and options are fully explored • Think of how, as well as what • Give them a stake in the outcome by including them in the process • Know your Best Alternative To a Negotiated Agreement (BATNA) • Evaluate their BATNA • Reality-Test both BATNAs

31. Guidelines for Negotiation (cont …) • Facilitate Good Two-Way COMMUNICATION • Listen actively and inquire • Balance advocacy with inquiry • Explain our reasoning, inquire into theirs • Frame what we say in light of what they will hear • Separate the People from the Problem • Deal with the RELATIONSHIPand the substance each on its own merits • Attack the problem, not the people • Use people techniques to deal with people problems