Humanitarian Negotiations

in Complex Emergencies

Presented by:

and

WHO Health Action in Crisis Pre-Deployment Training

Geneva, 26 November – 8 December 2006
 Objectives
1. Present structured approach to humanitarian
negotiations (the “what” and “how”)
2. Highlight key principles of humanitarian
negotiations
3. Explore techniques for humanitarian negotiation
(more on “how”)
4. Highlight opportunities and resources for further
learning and training
5. Stimulate discussion and exchange of ideas

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Case: Neutrality of Humanitarian Facilities

Food warehouse

Hut

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3
A Structured Approach to
Humanitarian Negotiations
 Humanitarian Negotiations
 Negotiation –
NEGOTIATION
IS ABOUT INFLUENCE
 Arrive at an agreed outcome NOT CONTROL
– 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

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 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

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 Framing the Negotiations

 Framing components

 Humanitarian principles
 Elements of international law
 Humanitarian policies

 Three phases
 nine-steps for humanitarian negotiations

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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?

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 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

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 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

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 Negotiation: Three Phases
I
P M
R P
SEEKING AGREEMENT L
E
P E
A M
R E
A N
T T
I A
O T
N I
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N

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Page 51 of Manual

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 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 STEP 4: BUILD CONCENSUS ON THE PROCESS OF NEGOTIATION

AGREEMENT
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 – STEP 8: DEFINE CRITERIA FOR IMPLEMENTATION

IMPLEMENTATION
STEP 9: FOLLOW-UP: MONITORING AND RELATIONSHIP BUILDING

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Page 51 of Manual

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 Neutrality of Humanitarian Facilities

Food warehouse

Hut

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H
 Assisting the PROCESS of
Negotiation: The Interest-Based
Approach
 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

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30 November 2006 18
 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

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 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

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 Role Play:
Humanitarian Access
 Role Play

 Example from UNICEF PATH learning system

 Identify issues
 Negotiating with armed group

1. Small groups at your table

2. Discuss approach and use of framing elements / interest-based
approach
 Focus on Diagnosis and Prescription
3. Nominate one spokesperson to participate in “fishbowl” exercise

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 Negotiation: Three Phases
I
P M
R P
SEEKING AGREEMENT L
E
P E
A M
R E
A N
T T
I A
O T
N I
REVIEW O
N

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Review of Key Principles
 Key Principles
Humanitarian Negotiations - I

PRE-NEGOTIATION CONSIDERATIONS

1. Humanitarian negotiation with armed groups can often be a

HUMANITARIAN NECESSITY
2. Humanitarian negotiations focus on humanitarian OUTCOMES
3. Humanitarian negotiations DO NOT CONFER LEGITIMACY on the
other party (Government / armed group etc.)

STRATEGIC CONSIDERATIONS

4. Negotiation is about INFLUENCE, not control

5. Your counterpart is your PARTNER in the negotiations
6. Keep political- and humanitarian negotiations separate

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 Key Principles
Humanitarian Negotiations - II

“BIG PICTURE” CONSIDERATIONS

7. A COORDINATED APPROACH among humanitarian

partners is essential
8. Humanitarian principles, policies and elements of
international law FRAME humanitarian negotiations
9. Humanitarian principles, protections and international law
cannot be negotiated
10. Keep the end OBJECTIVES clearly in sight!

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 Contact Information
 This Briefing / Humanitarian Negotiations General / UN Manual 
Gerard Mc Hugh Manuel Bessler
Conflict Dynamics International, Inc. Policy Development and Studies Branch (PDSB)
111 Rice Street Office for the Coordination of Humanitarian Affairs (OCHA)
Cambridge, MA 02140, USA United Nations
Ph: +1 (617) 661-1066 New York, NY 10017, USA
Fax: +1 (617) 661-1686 Phone: +1 (212) 963-1249
Cell: +1 (617) 306-3157 Fax: +1 (917) 367-5274
Email: gmchugh@cdint.org Email: bessler@un.org
www.cdint.org

 Advanced Training on Humanitarian Negotiations 

Gerard Mc Hugh Ruth Allen
Jim Tull Program Officer
Conflict Dynamics International, Inc. Civil Society and Conflict Management Team
111 Rice Street Mercy Corps
Cambridge, MA 02140, USA 9 Waterhouse Street
Ph: +1 (617) 661-1066 Cambridge, MA 02138
Fax: +1 (617) 661-1686 Ph: +1 617-354-5444x130
Cell: +1 (617) 306-3157 Fax: +1 617-354-8467
Email: gmchugh@cdint.org www.mercycorps.org
www.cdint.org

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Additional / Reference Slides
 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

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 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

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 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 RELATIONSHIP and the substance each on its own
merits
 Attack the problem, not the people
 Use people techniques to deal with people problems

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